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.

DateFormCompanyInvestorSharesOwnershipChange
11‑3013DMYAN / MYnd Analytics, Inc.Smith Robin L6.5%
11‑3013DEFOI / Energy Focus, Inc.Tu James1,017,3908.4%
11‑3013DGPIC / Gaming Partners International Corp.Angel Holdings Godo Kaisha4,068,22650.6%
11‑3013DIVFH / Innovative Food Holdings, Inc.JCP Investment Management, LLC1,712,2335.1%
11‑3013DHZN / Horizon Global Corp.Atlas Capital Resources Ii Lp1,678,6486.68%
11‑3013DGSI / General Steel Holdings, Inc.Hummingbird Holdings Ltd7,352,94129.68%
11‑3013DBW / Babcock & Wilcox Enterprises Inc.B. Riley Financial, Inc.10,851,7136.4%
11‑2913DALCO / Alico, Inc.Arlon Valencia Holdings Llc3,219,15743.22%
11‑2913DXOXO / XO Group Inc.GAMCO INVESTORS, INC. ET AL800,7633.09%
11‑2913DNNUP / NoCopi Technologies, Inc.Srk Fund I, Lp.5,637,9189.61%
11‑2813DMDCA / MDC Partners, Inc.FrontFour Capital Group LLC3,009,5005.2%
11‑2713DREN / Resolute Energy CorporationCimarex Energy Co6,147,23625.9%
11‑2713DGIFI / Gulf Island Fabrication, Inc.STARBOARD ENTERPRISES LLC753,9714.99%
11‑2713DKRBF / Kreido Biofuels, Inc.Zhang Chao21,438,62510.96%
11‑2713DLCA / Landcadia Holdings, Inc.Luxor Capital Group, LP6,041,6739.99%
11‑2613DDFIN / Donnelley Financial SolutionsSimcoe Capital Management, LLC2,000,0005.9%
11‑2613DCYDY / CytoDyn Inc.Pestell Richard Md27,000,0009.4%
11‑2613DTDW / Tidewater, Inc.Raging Capital Management, LLC2,585,0577.1%
11‑2613DNHLD / National Holdings Corp.Nhc Holdings, Llc3,010,05424.0%
11‑2613DBRPA / Big Rock Partners Acquisition Corp.Brac Lending Group Llc1,638,00018.1%
11‑2613DSYNC / Synacor, Inc.HARRIS & HARRIS GROUP INC /NY/2,741,400%

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.

DateFormCompanyInvestorSharesOwnershipChange
12‑0313D/ACGC / Canopy Growth CorporationGreenstar Canada Investment Limited Partnership281,999,25556.9%
11‑3013D/APRTS / U.S. Auto Parts Network, Inc.Philotimo Fund, LP4,605,56713.2%76.00
11‑3013D/ACTXS / Citrix Systems, Inc.Elliott Associates, L.P.4,481,8803.3%13.79
11‑3013D/ASKY / Skyline Corp.Centerbridge Capital Partners L P4,775,5718.4%-28.21
11‑3013D/AMCEP / Mid-Con Energy Partners, LPGOFF JOHN C14,071,74331.6%130.66
11‑3013D/ASKY / Skyline Corp.BAIN CAPITAL CREDIT MEMBER, LLC5,049,6318.9%-25.83
11‑3013D/ASKY / Skyline Corp.MAK CAPITAL ONE LLC5,689,75910.0%-15.25
11‑3013D/AINSW / International Seaways, Inc.PAULSON & CO. INC.2,909,1009.97%-20.87
11‑3013D/AYUMA / Yuma Energy, Inc.Evercore Partners II LLC2,027,4448.72%-47.47
11‑3013D/AAFSI / AmTrust Financial Services, Inc.Zyskind Barry D00.0%-100.00
11‑3013D/ARDC / Rowan Companies plcCANYON CAPITAL ADVISORS LLC9,040,1787.1%18.33
11‑3013D/ADHCP / Ditech Holding CorporationPhoenix Investment Adviser LLC484,0458.5%-75.22
11‑3013D/ACUTR / Cutera, Inc.GAMCO INVESTORS, INC. ET AL972,8007.0%12.36
11‑3013D/AEGN / Energen Corp.ICAHN CARL C00.0%-100.00
11‑3013D/ANDLS / Noodles & CoMill Road Capital II, L.P.4,819,82911.0%-31.68
11‑3013D/ALMFA / LM Funding America, Inc.Rodgers Bruce M.238,4347.1%-89.70
11‑3013D/ABAS / Basis Energy Services, Inc.Ascribe Capital LLC4,165,23815.7%6.08
11‑3013D/AGLF / GulfMark Offshore, Inc.Tidewater Inc0%
11‑2913D/AEGN / Energen Corp.Corvex Management LP00.0%-100.00
11‑2913D/ASBLK / Star Bulk Carriers Corp.Oaktree Capital Management LP29,073,06931.8%-25.35
11‑2913D/ADHXM / DHX Media Ltd.Fine Capital Partners, L.P.36,532,55027.2%5.84
11‑2913D/ALAUR / LAUREATE EDUCATION, INC.Bregal Europe Co-Investment Limited Partnership112,102,11651.4%-11.23
11‑2913D/AJONE / Jones Energy, Inc.FIR TREE INC.143,6522.9%-50.00
11‑2913D/ASYY / SYSCO Corp.TRIAN FUND MANAGEMENT, L.P.28,303,3085.45%-24.72
11‑2913D/ANDLS / Noodles & CoChu James Michael8,173,85817.8%-18.72
11‑2913D/ARCKT / Rocket Pharmaceuticals, Inc.RTW INVESTMENTS, LLC16,407,31936.6%
11‑2913D/ATR / Tootsie Roll Industries, Inc.GAMCO INVESTORS, INC. ET AL997,0442.58%
11‑2913D/AATLS / Atlas Energy Group, LLCCOOPERMAN LEON G574,3431.77%-86.61
11‑2813D/AOMP / Oasis Midstream Partners LPOasis Petroleum Inc.22,825,00067.6%
11‑2813D/AOIBR.C / Oi S.A.GOLDENTREE ASSET MANAGEMENT LP260,613,02511.5%22.34
11‑2813D/APAC / Grupo Aeroportuario del Pacifico S.A.B. de CVWeston Hill Equity Holdings, Lp57,276,96612.0%
11‑2813D/AMRUS / Merus N.V.BAY CITY CAPITAL LLC2,113,5749.3%-29.01
11‑2813D/Ana / Golub Capital Investment CorpSTRS OHIO16,744,09425.0%-9.75
11‑2813D/APVAC / Penn VA CorpMangrove Partners Master Fund, Ltd.1,615,49710.7%12.63
11‑2713D/ACORI / Corium International, Inc.Gurnet Merger Sub, Inc.36,629,505100.0%
11‑2713D/AASYS / Amtech Systems, Inc.PITON CAPITAL PARTNERS LLC2,418,00016.1%
11‑2713D/ALUB / Luby’s, Inc.Bandera Partners LLC2,629,7218.9%25.35
11‑2713D/AUSEL / usell.com, Inc.PITON CAPITAL PARTNERS LLC12,957,83737.3%
11‑2713D/ANPTN / NeoPhotonics Corp,RUSNANO2,617,1055.7%-41.84
11‑2713D/AATEA / Astea International Inc.Philotimo Fund, LP367,90910.2%12.09
11‑2713D/AGLOP / GasLog Partners LPGaslog Ltd.11,843,69126.1%-5.43
11‑2713D/ABIOS / BioScrip, Inc.GAMCO INVESTORS, INC. ET AL8,024,2206.27%-13.52
11‑2713D/AEPC / Edgewell Personal Care CompanyGAMCO INVESTORS, INC. ET AL1,811,0253.35%-5.10
11‑2713D/AGMT / GATX Corp.GAMCO INVESTORS, INC. ET AL2,326,7906.19%
11‑2713D/ASSP / Scripps CompanyGAMCO INVESTORS, INC. ET AL7,470,45010.87%-6.70
11‑2713D/AESL / Esterline Technologies Corp.First Pacific Advisors, LLC2,095,2737.1%-18.39
11‑2713D/AABY / Abengoa Yield plcStichting Seville00.0%-100.00
11‑2713D/AABY / Abengoa Yield plcABENGOA, S.A.00.0%-100.00
11‑2713D/ALAUR / LAUREATE EDUCATION, INC.Sterling Capital Partners II L P113,086,15051.7%-11.17
11‑2613D/AAMRS / Amyris, Inc.Dsm International B.v.20,943,58524.9%
11‑2613D/ADWCH / Datawatch Corp.WC CAPITAL LLC793,3886.2%-27.91
11‑2613D/ANHLD / National Holdings Corp.Fortress Biotech, Inc.4,027,42832.1%-48.89
11‑2613D/AIRCP / IRSA Propiedades Comerciales S.A.ELSZTAIN EDUARDO S106,452,36884.48%
11‑2613D/ASILC / Silicom LimitedZISAPEL ZOHAR802,78210.63%-13.22

Source: Fintel.io/activists

 

 

 

 

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