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 |
| 08‑31 |
13D |
NXEO / Nexeo Solutions, Inc. |
Legion Partners Asset Management, LLC |
4,737,139 |
5.04% |
|
| 08‑31 |
13D |
SLTK / Solis Tek Inc. |
Lien Alan |
12,689,594 |
26.71% |
|
| 08‑31 |
13D |
ANW / Aegean Marine Petroleum Network, Inc. |
Mercuria Asset Holdings (hong Kong) Ltd |
17,458,038 |
30.0% |
|
| 08‑31 |
13D |
VERI / Veritone, Inc. |
Acacia Research Corp |
4,239,952 |
21.8% |
|
| 08‑31 |
13D |
MOG.B / Moog Inc., Class B |
Moog Inc. Supplemental Retirement Plan Trust |
8,825,972 |
21.15% |
|
| 08‑31 |
13D |
SING / Singlepoint, Inc. |
Lofdahl Eric |
237,030,000 |
17.3% |
|
| 08‑31 |
13D |
OBLN / Obalon Therapeutics, Inc. |
DOMAIN PARTERS VII L P |
5,654,178 |
24.3% |
1.67 |
| 08‑31 |
13D |
SCPD / Star Century Pandaho Corporation |
Zhang Wei |
12,100,000 |
23.1% |
|
| 08‑31 |
13D |
NAVG / Navigators Group, Inc. (The) |
Hartford Financial Services Group Inc/de |
6,718,150 |
22.57% |
|
| 08‑31 |
13D |
HFFG / HF Foods Group Inc. |
Irrevocable Trust For Raymond Ni |
5,591,553 |
25.0% |
|
| 08‑31 |
13D |
HFFG / HF Foods Group Inc. |
Lam Wah |
1,397,888 |
6.0% |
|
| 08‑31 |
13D |
HFFG / HF Foods Group Inc. |
Ni Zhou Min |
6,689,896 |
30.0% |
|
| 08‑31 |
13D |
HFFG / HF Foods Group Inc. |
Ht Group Holding, L.l.c. |
1,897,134 |
8.6% |
|
| 08‑30 |
13D |
LBCC / Long Blockchain Corp. |
Court Cavendish Ltd |
9,616,045 |
34.7% |
|
| 08‑30 |
13D |
MOG.B / Moog Inc., Class B |
MOOG INC. STOCK EMPLOYEE COMPENSATION TRUST |
10,617,282 |
25.45% |
54.15 |
| 08‑30 |
13D |
BEAG / Blue Eagle Lithium, Inc. |
Ireland Rupert |
40,000,000 |
53.3% |
|
| 08‑29 |
13D |
MCHX / Marchex, Inc. |
HARBERT MICROCAP PARTNERS FUND, LP |
1,917,978 |
5.2% |
|
| 08‑29 |
13D |
PFSW / PFSweb, Inc. |
Engine Capital, L.P. |
1,075,329 |
5.6% |
12.22 |
| 08‑29 |
13D |
CSIQ / Canadian Solar Inc. |
Lion Point Capital, LP |
3,548,327 |
6.0% |
|
| 08‑29 |
13D |
AEEI / American Environmental Energy, Inc. |
Yu Wenyi |
54,612,422 |
54.0% |
|
| 08‑28 |
13D |
XSPT / XSport Global, Inc. |
Bosch Devin |
3,750,000 |
4.1% |
|
| 08‑28 |
13D |
XSPT / XSport Global, Inc. |
Fickle Kevin |
3,750,000 |
4.1% |
|
| 08‑27 |
13D |
CTXR / Citius Pharmaceuticals Inc. |
Mazur Leonard L |
11,074,173 |
54.2% |
|
| 08‑27 |
13D |
CTXR / Citius Pharmaceuticals Inc. |
Holubiak Myron Z |
2,149,236 |
12.6% |
|
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 |
| 08‑31 |
13D/A |
WHF / WhiteHorse Finance, Inc. |
MNAYMNEH SAMI |
10,795,638 |
52.5% |
-17.84 |
| 08‑31 |
13D/A |
WHF / WhiteHorse Finance, Inc. |
TAMER ANTHONY |
10,785,839 |
52.5% |
-17.84 |
| 08‑31 |
13D/A |
GCO / Genesco Inc. |
Legion Partners Asset Management, LLC |
865,144 |
4.34% |
-13.72 |
| 08‑31 |
13D/A |
INFU / InfuSystems Holdings, Inc. |
Shuda Scott |
3,419,313 |
17.35% |
|
| 08‑31 |
13D/A |
ANY / Sphere 3D Corp. |
CYRUS CAPITAL PARTNERS, L.P. |
22,049,401 |
14.4% |
-11.11 |
| 08‑31 |
13D/A |
SMTX / SMTC Corp. |
Red Oak Partners, LLC |
5,598,666 |
24.3% |
29.46 |
| 08‑31 |
13D/A |
KAMN / Kaman Corp. |
GAMCO INVESTORS, INC. ET AL |
3,074,240 |
10.98% |
-6.79 |
| 08‑31 |
13D/A |
VRAY / ViewRay, Inc. |
ORBIMED ADVISORS LLC |
6,515,891 |
6.91% |
-15.53 |
| 08‑31 |
13D/A |
IOTS / Adesto Technologies Corporation |
ARCH VENTURE FUND VI LP |
2,291,002 |
7.8% |
-29.09 |
| 08‑31 |
13D/A |
SMI / Semiconductor Manufacturing International Corp. |
Xinxin (hong Kong) Capital Co., Ltd |
980,233,304 |
18.2% |
21.33 |
| 08‑30 |
13D/A |
GGP / General Growth Properties, Inc. |
BROOKFIELD ASSET MANAGEMENT INC. |
0 |
0.0% |
-100.00 |
| 08‑30 |
13D/A |
PGLC / Pershing Gold Corporation |
Honig Barry C |
14,280,390 |
42.46% |
27.16 |
| 08‑30 |
13D/A |
RNET / RigNet, Inc. |
KKR Fund Holdings L.P. |
4,968,239 |
25.7% |
|
| 08‑30 |
13D/A |
WMS / Advanced Drainage Systems Inc. |
Berkshire Partners Holdings LLC |
10,513,775 |
18.5% |
15.62 |
| 08‑30 |
13D/A |
USAC / USA Compression Partners LP |
USA Compression Holdings, LLC |
0 |
0.0% |
-100.00 |
| 08‑30 |
13D/A |
CMG / Chipotle Mexican Grill, Inc. |
Pershing Square Capital Management, L.P. |
2,059,106 |
7.4% |
-26.00 |
| 08‑30 |
13D/A |
RDUS / Radius Health, Inc. |
MPM BIOVENTURES III-QP L.P. |
100,000 |
0.0% |
-100.00 |
| 08‑30 |
13D/A |
RLH / Red Lion Hotels Corp. |
Columbia Pacific Opportunity Fund, L.P. |
1,177,213 |
4.8% |
-8.40 |
| 08‑29 |
13D/A |
NWL / Newell Brands Inc. |
ICAHN CARL C |
38,304,111 |
8.1% |
|
| 08‑29 |
13D/A |
UPLD / Upland Software, Inc. |
ESW Capital, LLC |
1,803,574 |
8.4% |
-37.78 |
| 08‑29 |
13D/A |
EYES / Second Sight Medical Products, Inc. |
Williams Gregg |
36,837,722 |
47.77% |
5.85 |
| 08‑28 |
13D/A |
HALO / Halozyme Therapeutics, Inc. |
KIRK RANDAL J |
14,092,771 |
9.8% |
-10.91 |
| 08‑28 |
13D/A |
SUMR / Summer Infant, Inc. |
Privet Fund LP |
1,068,485 |
5.7% |
-35.96 |
| 08‑28 |
13D/A |
H / Hyatt Hotels Corp. |
Linn Lewis M. |
5,434,544 |
4.9% |
|
| 08‑28 |
13D/A |
BPY / Brookfield Property Partners L.P. |
BROOKFIELD ASSET MANAGEMENT INC. |
507,977,632 |
63.1% |
-10.88 |
| 08‑28 |
13D/A |
ARCI / Appliance Recycling Centers of America, Inc. |
Isaac Capital Group, LLC |
805,169 |
% |
|
| 08‑28 |
13D/A |
RHE / Regional Health Properties, Inc. |
Frischer Charles |
321,974 |
11.45% |
32.98 |
| 08‑28 |
13D/A |
CRNX / Crinetics Pharmaceuticals, Inc. |
PERCEPTIVE ADVISORS LLC |
2,587,953 |
11.2% |
13.13 |
| 08‑27 |
13D/A |
AMRS / Amyris, Inc. |
DOERR L JOHN |
7,419,340 |
14.0% |
31.58 |
| 08‑27 |
13D/A |
PBSK / Poage Bankshares, Inc. |
STILWELL JOSEPH |
152,895 |
4.4% |
-25.42 |
| 08‑27 |
13D/A |
MEDP / Medpace Holdings, Inc. |
Cinven Capital Management (V) General Partner Ltd |
0 |
0.0% |
-100.00 |
| 08‑27 |
13D/A |
AYX / Alteryx Inc. |
Insight Venture Partners VIII, L.P. |
11,594,099 |
27.1% |
-5.90 |
| 08‑27 |
13D/A |
USAC / USA Compression Partners LP |
Argonaut Private Equity, L.L.C. |
1,957,678 |
2.18% |
-72.41 |
| 08‑27 |
13D/A |
MDGS / Medigus Ltd. |
L.i.a. Pure Capital Ltd |
5,647,920 |
8.8% |
22.22 |
| 08‑27 |
13D/A |
TCI / Transcontinental Realty Investors, Inc. |
American Realty Investors Inc |
7,375,402 |
84.6% |
|
| 08‑27 |
13D/A |
CBPO / China Biologic Products, Inc. |
Pw Medtech Group Ltd |
5,521,000 |
14.8% |
-11.38 |
| 08‑27 |
13D/A |
CBPO / China Biologic Products, Inc. |
CITIC Capital Holdings Ltd |
2,680,863 |
6.82% |
33.73 |
Source: Fintel.io/activists