Significant Activist Hedge Fund Activity (Last 7 Days)

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by badpauly

These are the latest Schedule 13D forms filed by activist investors in the last 7 days. Activist investors are investors that make an investment with the intention of influencing management in some way. There is evidence that following activist investors into investments can generate excess returns. Schedule 13G forms, in contrast, are filed by significant investors with no intention of influencing management (such as Index funds).

There is always a lot of interest in insider trades, but what a lot of people probably don’t realize is that hedge fund activity is probably more predictive of future returns than insider activity. The reason is that hedge funds (a) have large research budgets, and (b) have a choice where to put their money. In contract, insiders have no choice where to put their money, but only when to time their transactions.

New Filings

This table lists new 13D filings in the last week. A new filing does not necessarily indicate a new position, as investors frequently accumulate in advance before reaching the filing threshold.

Date	Form	Company	Investor	Shares	Ownership	Change
11‑19	13D	NCSM / NCS Multistage Holdings, Inc.	Nipper Robert	2,268,454	5.0%
11‑16	13D	PACB / Pacific Biosciences of California, Inc.	Magnetar Financial LLC	9,421,984	6.33%
11‑16	13D	EMCI / EMC Insurance Group, Inc.	Employers Mutual Casualty Co	11,771,778	54.5%
11‑15	13D	DVMT / Dell Technologies Inc.	DODGE & COX	16,010,647	8.0%	14.29
11‑15	13D	QKLS / QKL Stores, Inc.	LITTLE GLENN	159,974	10.5%
11‑14	13D	GRHY / Green Hygienics, Inc.	Loudoun Ronald	22,512,320	65.0%
11‑14	13D	CCCL / China Ceramics Co., Ltd	Flinker Howard	232,823	5.0%	-19.35
11‑14	13D	SLGD / Scott’s Liquid Gold, Inc.	Summers Value Fund Lp	724,504	6.0%
11‑14	13D	DWCH / Datawatch Corp.	Altair Engineering Inc.	1,817,324	14.3%
11‑14	13D	EQM / EQT Midstream Partners LP	EQT GP Holdings, LP	37,245,455	30.9%	0.00
11‑14	13D	EQGP / EQT GP Holdings LP	EQT Gathering Holdings, LLC	276,008,766	91.3%	0.00
11‑14	13D	ADIL / ADIAL PHARMACEUTICALS, INC.	Johnson Bankole A.	1,511,485	22.3%
11‑14	13D	ADIL / ADIAL PHARMACEUTICALS, INC.	Newman James W. Jr.	683,064	9.78%
11‑14	13D	ADIL / ADIAL PHARMACEUTICALS, INC.	Schuyler Kevin	1,446,477	19.18%
11‑14	13D	ADIL / ADIAL PHARMACEUTICALS, INC.	Stilley William B. Iii	934,239	13.65%
11‑13	13D	ACA / Arcosa, Inc.	VA Partners I, LLC	7,135,963	14.6%
11‑13	13D	L / Loews Corp.	Tisch Andrew H	15,698,819	5.0%
11‑13	13D	INTX / Intersections, Inc.	General Catalyst Group Ix, L.p.	18,485,567	59.75%
11‑13	13D	INTX / Intersections, Inc.	Isubscribed Inc.	18,485,567	59.75%
11‑13	13D	INTX / Intersections, Inc.	Wndrco Holdings, Llc	18,485,567	59.75%
11‑13	13D	LMFA / LM Funding America, Inc.	Craven House Capital North America Llc	640,000	31.45%
11‑13	13D	BNVI / BioNovo, Inc.	Avalon Energy, Llc	13,125,000	25.0%
11‑13	13D	NZF / Nuveen Dividend Advantage Municipal Fund III	WELLS FARGO & COMPANY/MN	2,688	19.65%	611.96
11‑13	13D	ESIO / Electro Scientific Industries, Inc.	Magnetar Financial LLC	2,328,793	6.79%

Amended Filings

This table lists amended filings in the last week, and is useful for monitoring changes in existing investments or when a fund closes a position. I have eliminated all filings with less than a 5% change in ownership.

Date	Form	Company	Investor	Shares	Ownership	Change
11‑19	13D/A	MPEL / Melco Crown Entertainment Ltd.	Melco International Development LTD	768,922,052	54.6%	5.20
11‑19	13D/A	CBPO / China Biologic Products, Inc.	Centurium Capital Partners 2018, L.p.	3,600,262	9.1%	15.19
11‑16	13D/A	PHII / PHI, Inc.	Alesia Value Fund LLC	684,316	5.3%	15.22
11‑16	13D/A	RRTS / Roadrunner Transportation Systems, Inc.	Elliott Associates, L.P.	3,565,140	9.2%	41.54
11‑16	13D/A	DBD / Diebold, Inc.	ATLANTIC INVESTMENT MANAGEMENT INC	3,773,027	4.96%	-28.12
11‑16	13D/A	ICUI / ICU Medical, Inc.	PFIZER INC	0	0.0%	-100.00
11‑16	13D/A	GPP / Green Plains Partners LP	Green Plains Inc.	11,586,548	50.1%	-21.35
11‑16	13D/A	NOG / Northern Oil and Gas, Inc.	TRT Holdings Inc	73,713,619	19.11%	-31.01
11‑16	13D/A	SOFO / Sonic Foundry, Inc.	Sonic Foundry Inc	1,387,893	24.7%
11‑16	13D/A	MSN / Emerson Radio Corporation	S&T INTERNATIONAL DISTRIBUTION LTD.	15,243,283	71.0%	5.19
11‑16	13D/A	BPY / Brookfield Property Partners L.P.	Future Fund Board of Guardians	17,776,898	4.8%	200.00
11‑15	13D/A	UFPT / UFP Technologies, Inc.	Ancora Advisors, LLC	464,769	6.3%	-17.11
11‑15	13D/A	WSR / Whitestone REIT	KBS Strategic Opportunity REIT, Inc.	2,497,187	6.28%	-17.59
11‑15	13D/A	CALL / magicJack VocalTec Ltd.	B. Riley Fbr, Inc.	0	100.0%
11‑15	13D/A	DHCP / Ditech Holding Corporation	Baker Street Capital Management, LLC	1,538,131	22.9%	-31.64
11‑15	13D/A	AT / Atlantic Power Corp.	MANGROVE PARTNERS	7,977,910	7.3%	17.74
11‑15	13D/A	EGKPF / Eagle Bulk Shipping, Inc.	GOLDENTREE ASSET MANAGEMENT LP	12,288,589	16.93%	11.45
11‑15	13D/A	GHL / Greenhill & Co., Inc.	GREENHILL ROBERT F	2,311,263	11.3%	15.31
11‑14	13D/A	SHVLF / Starcore International Mines, Ltd.	STARCORE INTERNATIONAL MINES LTD.	3,196,617	6.44%	7.33
11‑14	13D/A	WAB / Wabtec Corp.	GENERAL ELECTRIC CO	0	0.0%	-100.00
11‑14	13D/A	EXTN / Exterran Corp.	CHAI TRUST CO LLC	4,261,068	11.79%	28.99
11‑14	13D/A	PHII / PHI, Inc.	Alesia Value Fund LLC	588,933	4.6%	15.00
11‑14	13D/A	AR / Antero Resources Corporation	RADY PAUL M	14,925,387	4.7%	-17.54
11‑14	13D/A	APTI / Apptio, Inc.	Gupta Sachin	5,170,848	11.2%	-6.67
11‑14	13D/A	LYB / LyondellBasell Industries NV	AI INTERNATIONAL CHEMICALS S.A.R.L.	76,693,367	19.99%	10.14
11‑14	13D/A	EQM / EQT Midstream Partners LP	Eqt Corp	0	0.0%	-100.00
11‑14	13D/A	EQGP / EQT GP Holdings LP	Eqt Corp	0	0.0%
11‑14	13D/A	CASI / CASI Pharmaceuticals, Inc.	SPARKLE BYTE LTD	10,198,518	11.8%	-28.48
11‑13	13D/A	SRRA / Sierra Oncology	Frazier Life Sciences Viii, L.p.	8,112,121	10.9%
11‑13	13D/A	ROSE / Rosehill Resources Inc.	GEODE CAPITAL MANAGEMENT LP	688,348	4.8%	-5.88
11‑13	13D/A	VRAY / ViewRay, Inc.	ORBIMED ADVISORS LLC	5,556,554	5.78%	-16.35
11‑13	13D/A	AWI / Armstrong World Industries, Inc.	VA Partners I, LLC	2,244,910	4.5%	-56.73
11‑13	13D/A	AMGP / Antero Midstream GP LP	RADY PAUL M	19,996,619	10.7%	-14.40
11‑13	13D/A	NEO / NeoGenomics, Inc.	GENERAL ELECTRIC CO	10,835,145	11.6%	-37.63
11‑13	13D/A	VKTX / Viking Therapeutics, Inc.	LIGAND PHARMACEUTICALS INC	7,558,083	10.4%	-73.87
11‑13	13D/A	GHDX / Genomic Health, Inc.	Baker Brothers Advisors LP	13,354,508	36.8%	-8.91
11‑13	13D/A	CNDT / Conduent	ICAHN CARL C	22,306,000	10.56%	8.09
11‑13	13D/A	GHL / Greenhill & Co., Inc.	Bok Scott L	1,596,537	7.8%	30.00
11‑13	13D/A	HBM / HudBay Minerals Inc.	Waterton Mining Parallel Fund Offshore Master, Lp	22,506,171	8.6%	16.22
11‑13	13D/A	CDTX / Cidara Therapeutics, Inc.	Frazier Healthcare VII, L.P.	1,312,258	4.7%	-27.47
11‑13	13D/A	EDGW / Edgewater Technology, Inc.	GAMCO INVESTORS, INC. ET AL	0	0.0%	-100.00
11‑13	13D/A	ESL / Esterline Technologies Corp.	First Pacific Advisors, LLC	2,551,790	8.7%	-16.35
11‑13	13D/A	TNLX / Trans-Lux Corp.	GAMCO INVESTORS, INC. ET AL	419,052	10.67%	-34.01
11‑13	13D/A	INAP / Internap Corporation	GAMCO INVESTORS, INC. ET AL	3,043,604	11.93%	6.71
11‑13	13D/A	BSPK / Bespoke Extracts, Inc.	Yahr Marc	4,000,000	8.0%
11‑13	13D/A	PI / Impinj, Inc.	Sylebra HK Co Ltd	4,231,582	19.7%	13.87
11‑13	13D/A	TRMR / Tremor Video, Inc.	Edenbrook Capital, LLC	4,275,841	8.63%	16.94
11‑13	13D/A	RISE / Sit Rising Rate ETF	SIT INVESTMENT ASSOCIATES INC	1,919,500	67.35%	-11.61
11‑13	13D/A	LITB / LightInTheBox Holding Co., Ltd.	Zall Development Group Ltd	54,174,423	40.6%	-30.12
11‑13	13D/A	HHC / Howard Hughes Corp. (The)	Pershing Square Capital Management, L.P.	1,233,589	2.9%	-43.14

Source: Fintel.io/activists

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