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
09‑28 13D FTXP / Foothills Exploration, Inc Total Belief Ltd 2,083,334 13.8%
09‑28 13D MDM / Mountain Province Diamonds Inc. Vertigol Unlimited Co 22,343,720 13.9%
09‑28 13D OIBR.C / Oi S.A. BROOKFIELD ASSET MANAGEMENT INC. 123,396,285 5.7%
09‑28 13D STKS / ONE Group Hospitality, Inc. Maguire Asset Management, LLC 1,446,897 5.2%
09‑28 13D CSU / Capital Senior Living Corp. Cove Street Capital, LLC 2,664,187 8.5%
09‑27 13D NESR / National Energy Services Reunited Corp. Mubbadrah Investment Llc 17,863,636 20.9%
09‑27 13D APRI / Apricus Biosciences, Inc. ARMISTICE CAPITAL, LLC 4,600,000 16.3% 191.59
09‑27 13D IFF / International Flavors & Fragrances, Inc Winder Investment Pte Ltd 18,799,353 20.3% 33.55
09‑26 13D SNMX / Senomyx, Inc. Firmenich Inc 9,137,581 16.4%
09‑26 13D AKBA / Akebia Therapeutics, Inc. Nantahala Capital Management, LLC 5,575,211 9.8% 139.02
09‑26 13D NXNN / Nexeon Medsystems Inc Rosellini William 774,067 38.73% -32.06
09‑25 13D PRNB / Principia Biopharma Inc. GLAXOSMITHKLINE PLC 2,654,336 11.7%
09‑25 13D NRE / NorthStar Realty Europe Corp. Senvest Management, LLC 4,757,009 9.55% 11.18
09‑24 13D RSRT / RealSource Residential, Inc. M1 Advisors Llc 9,760,670 60.14%
09‑24 13D RSRT / RealSource Residential, Inc. Cooper Piers 4,674,330 28.8%
09‑24 13D LYL / Dragon Victory International Limited Cyn Cherish Capital Ltd 2,312,164 20.24%
09‑24 13D FVCB / FVCBankcorp, Inc. Pijor David W 696,045 5.29%
09‑24 13D XRM / Xerium Technologies, Inc. GAMCO INVESTORS, INC. ET AL 604,755 3.68%
09‑24 13D EFR / Eaton Vance Senior Floating-Rate Fund BANK OF AMERICA CORP /DE/ 614 20.25%
09‑24 13D IVTY / Invuity, Inc. GARDNER LEWIS ASSET MANAGEMENT L P 2,228,716 9.3%
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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
10‑01 13D/A RISE / Sit Rising Rate ETF SIT INVESTMENT ASSOCIATES INC 1,700,200 68.69% -13.63
09‑29 13D/A BRK.B / Berkshire Hathaway, Inc. Gates William H Iii 68,603,974 4.999% -7.43
09‑28 13D/A LPI / Laredo Petroleum, Inc. Warburg Pincus Private Equity IX, L.P. 51,240,020 21.8% -19.26
09‑28 13D/A CVNA / Carvana Co. Ddfs Partnership Lp 1,759,510 4.5% -26.23
09‑28 13D/A JEQ / Aberdeen Japan Equity Fund, Inc. Bulldog Investors, LLC 691,025 %
09‑28 13D/A MDM / Mountain Province Diamonds Inc. Vertigol Unlimited Co 58,778,659 28.0%
09‑28 13D/A HEAR / Turtle Beach Corporation SG VTB Holdings, LLC 3,470,766 24.0% -13.04
09‑28 13D/A SALM / Salem Media Group, Inc. GAMCO INVESTORS, INC. ET AL 865,800 4.2% -13.58
09‑28 13D/A RGRX / RegeneRx Biopharmaceuticals, Inc. Essetifin Spa 34,989,080 28.7% -6.21
09‑28 13D/A GSB / GlobalSCAPE, Inc. 210/GSB Acquisition Partners, LLC 4,000,407 22.3% 21.20
09‑28 13D/A CNNX / CONE Midstream Partners LP NOBLE ENERGY INC 0.0% -100.00
09‑27 13D/A FATE / Fate Therapeutics, Inc. Redmile Group, LLC 10,359,666 16.2% 28.57
09‑27 13D/A PIRS / Pieris Pharmaceuticals, Inc. ORBIMED ADVISORS LLC 2,455,900 4.55% -21.82
09‑27 13D/A SUMR / Summer Infant, Inc. Privet Fund LP 806,268 4.3% -24.56
09‑27 13D/A HGR / Hanger, Inc. KKR Fund Holdings L.P. 1,085,897 3.0% -56.52
09‑27 13D/A CERC / Cerecor Inc. ARMISTICE CAPITAL, LLC 31,786,114 57.8% -10.66
09‑26 13D/A NEPT / Neptune Technologies & Bioressources Inc. Schottenfeld Richard 3,480,740 4.4% -18.52
09‑26 13D/A FSFR / Fifth Street Senior Floating Rate Corp. TANNENBAUM LEONARD M 7,716,159 26.2%
09‑26 13D/A COHN / Cohen & Company Inc COHEN DANIEL G 842,468 43.87%
09‑26 13D/A VRTV / Veritiv Corporation UWW Holdings, LLC 2,783,840 17.6% -35.53
09‑26 13D/A MTEM / Molecular Templates, Inc. Longitude Capital Partners Iii, Llc 47,223,022 12.4%
09‑26 13D/A AFMD / Affimed N.V. SGR Sagittarius Holding AG 6,746,482 10.8% -9.24
09‑26 13D/A SILC / Silicom Limited ZISAPEL ZOHAR 1,209,294 16.02% -11.88
09‑25 13D/A ZIVO / Zivo Bioscience, Inc. Maggiore Christopher D. 46,074,950 25.2% 11.01
09‑25 13D/A SKY / Skyline Corp. Centerbridge Capital Partners L P 6,600,571 11.7% -37.10
09‑25 13D/A SKY / Skyline Corp. MAK CAPITAL ONE LLC 6,689,759 11.8% -36.22
09‑25 13D/A SKY / Skyline Corp. BAIN CAPITAL CREDIT MEMBER, LLC 6,799,631 12.0% -36.17
09‑25 13D/A KRP / Kimbell Royalty Partners, LP Kkr Upstream Associates Llc 4,913,559 26.1% 42.62
09‑25 13D/A VALE / Vale S.A. Bndes Participacoes S.a. 2,122,735,288 41.1%
09‑25 13D/A MDGS / Medigus Ltd. L.i.a. Pure Capital Ltd 6,757,920 10.4% 18.18
09‑25 13D/A AFI / Armstrong Flooring, Inc. GAMCO INVESTORS, INC. ET AL 1,282,874 4.98% -11.39
09‑25 13D/A CMT / Core Molding Technologies, Inc. GAMCO INVESTORS, INC. ET AL 423,700 5.3% 13.01
09‑25 13D/A SODI / Solitron Devices, Inc. Olesen Value Fund L.P. 182,449 9.6% 15.66
09‑24 13D/A CVNA / Carvana Co. Ddfs Partnership Lp 2,410,927 6.1% -17.57
09‑24 13D/A LYL / Dragon Victory International Limited Honesty Heart Ltd. 2,487,836 21.8%
09‑24 13D/A PGLC / Pershing Gold Corporation Honig Barry C 14,280,390 38.08% -10.32
09‑24 13D/A USMN / U.S. Rare Earth Minerals, Inc. Afcc, Llc 2,350,000 2.76% -95.88
09‑24 13D/A APRN / Blue Apron Holdings Inc Salzberg Barry 27,992,225 31.0% 16.54
09‑24 13D/A CBPO / China Biologic Products, Inc. Pw Medtech Group Ltd 6,321,000 16.08% 8.65
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Source: Fintel.io/activists

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