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.
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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 |
| 07‑20 |
13D |
CALM / Cal-Maine Foods, Inc. |
ADAMS FRED R JR |
15,825,369 |
32.9% |
0.00 |
| 07‑20 |
13D |
STON / StoneMor Partners L.P. |
Oaktree Capital Management LP |
4,477,857 |
11.8% |
11.32 |
| 07‑20 |
13D |
NS / NuStar Energy L.P. |
GREEHEY WILLIAM E |
8,953,485 |
8.4% |
|
| 07‑19 |
13D |
KDP / Keurig Dr Pepper Inc. |
Maple Holdings B.v. |
1,005,923,440 |
72.5% |
|
| 07‑19 |
13D |
WKHS / Workhorse Group Inc. |
Arosa Capital Management LP |
5,350,358 |
9.99% |
|
| 07‑19 |
13D |
KDP / Keurig Dr Pepper Inc. |
Mondelez International, Inc. |
191,631,181 |
13.8% |
|
| 07‑19 |
13D |
GPIW / Grand Perfecta, Inc. |
Masayuki Tsuda |
350,000 |
7.0% |
|
| 07‑19 |
13D |
EYRYY / Erytech Pharma |
Biotechnology Value Fund L P |
36,306,621 |
20.2% |
5.21 |
| 07‑18 |
13D |
MARK / Remark Media, Inc. |
Tao Kai-Shing |
10,200,634 |
26.0% |
-20.00 |
| 07‑17 |
13D |
CGC / Canopy Growth Corporation |
Greenstar Canada Investment Limited Partnership |
28,315,352 |
13.5% |
|
| 07‑16 |
13D |
ARCK / ARC Group, Inc. |
Kasturi Seenu G. |
1,534,950 |
20.7% |
-57.30 |
| 07‑16 |
13D |
ABDC / Alcentra Capital Corp. |
Bank of New York Mellon Corp |
682,521 |
5.03% |
14.58 |
| 07‑16 |
13D |
GPT / Gramercy Property Trust Inc. |
Magnetar Financial LLC |
8,158,033 |
5.07% |
|
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 |
| 07‑20 |
13D/A |
FLY / Fly Leasing Ltd. |
Summit Aviation Partners LLC |
2,195,864 |
% |
|
| 07‑20 |
13D/A |
ORMP / Oramed Pharmaceuticals, Inc. |
KIDRON NADAV |
2,632,060 |
14.8% |
-17.32 |
| 07‑20 |
13D/A |
BH.A / Biglari Holdings Inc. Class A |
GAMCO INVESTORS, INC. ET AL |
8,964 |
4.33% |
|
| 07‑20 |
13D/A |
ORMP / Oramed Pharmaceuticals, Inc. |
Slager David Mark |
1,327,616 |
7.6% |
-23.23 |
| 07‑20 |
13D/A |
SVA / Sinovac Biotech Ltd. |
Vivo Capital, LLC |
4,539,456 |
6.6% |
-22.35 |
| 07‑20 |
13D/A |
RISE / Sit Rising Rate ETF |
SIT INVESTMENT ASSOCIATES INC |
1,971,900 |
93.9% |
16.30 |
| 07‑20 |
13D/A |
MZF / Managed Duration Investment Grade Municipal Fund |
Karpus Management, Inc. |
998,129 |
14.66% |
-41.17 |
| 07‑20 |
13D/A |
NSH / NuStar GP Holdings, LLC |
GREEHEY WILLIAM E |
0 |
0.0% |
-100.00 |
| 07‑20 |
13D/A |
RMNI / Rimini Street, Inc. (DE) |
Ravin Seth A. |
13,580,880 |
21.5% |
-5.29 |
| 07‑20 |
13D/A |
RMNI / Rimini Street, Inc. (DE) |
Shay Thomas C. |
5,218,318 |
8.2% |
-5.75 |
| 07‑19 |
13D/A |
TFLG / Trafalgar Resources, Inc. |
Escobar Anthony B |
0 |
0.0% |
|
| 07‑19 |
13D/A |
PRVB / Provention Bio, Inc. |
Mdb Capital Group Llc |
16,452,891 |
4.4% |
-72.50 |
| 07‑18 |
13D/A |
SBLK / Star Bulk Carriers Corp. |
Oaktree Capital Management LP |
27,323,069 |
42.6% |
-16.96 |
| 07‑18 |
13D/A |
ENLK / EnLink Midstream Partners, LP |
DEVON ENERGY CORP/DE |
0 |
0.0% |
-100.00 |
| 07‑18 |
13D/A |
ENLC / Enlink Midstream, LLC |
DEVON ENERGY CORP/DE |
0 |
0.0% |
-100.00 |
| 07‑18 |
13D/A |
HFC / HollyFrontier Corp. |
TCTC Holdings, LLC |
12,605,755 |
7.1% |
|
| 07‑18 |
13D/A |
MTSL / MER Telemanagement Solutions Ltd. |
FRIEDMAN TZVIKA |
115,703 |
3.2% |
-46.22 |
| 07‑18 |
13D/A |
PCOM / Points International Ltd. |
BONANZA CAPITAL LTD |
660,625 |
4.58% |
-13.58 |
| 07‑17 |
13D/A |
BRK.A / Berkshire Hathaway, Inc. |
BUFFETT WARREN E |
270,644 |
36.25% |
|
| 07‑17 |
13D/A |
SSW / Seaspan Corp. |
FAIRFAX FINANCIAL HOLDINGS LTD/ CAN |
64,139,560 |
32.2% |
11.81 |
| 07‑17 |
13D/A |
CZICF / Canadian Zinc Corp. |
Resource Capital Fund VI L.P. |
151,630,000 |
41.4% |
107.52 |
| 07‑17 |
13D/A |
GLF / GulfMark Offshore, Inc. |
Raging Capital Management, LLC |
2,350,054 |
30.7% |
-6.40 |
| 07‑17 |
13D/A |
CRVW / Careview Communications, Inc. |
HealthCor Management, L.P. |
33,030,112 |
19.2% |
-50.52 |
| 07‑17 |
13D/A |
HRG / Harbinger Group Inc. |
CF Turul LLC |
5,320,562 |
9.96% |
-39.27 |
| 07‑16 |
13D/A |
ETRM / EnteroMedics Inc |
HealthCor Partners Management LP |
349,139 |
% |
|
| 07‑16 |
13D/A |
NVLN / NOVELION THERAPEUTICS INC. |
EdgePoint Investment Group Inc. |
2,456,062 |
4.83% |
-34.02 |
| 07‑16 |
13D/A |
SPKE / Spark Energy, Inc. |
Crow Point Partners, LLC |
0 |
0.0% |
-100.00 |
| 07‑16 |
13D/A |
CALI / China Auto Logistics Inc. |
Barna Capital Group Ltd. |
1,210,100 |
25.0004% |
28.21 |
Source: Fintel.io/activists