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
10‑05 13D EXXP / Edgar Express, Inc. Cohen Peter A 5,424,100 38.2%
10‑05 13D EXXP / Edgar Express, Inc. Peter A. Cohen Revocable Trust 5,424,100 38.2%
10‑05 13D EXXP / Edgar Express, Inc. Schmerin Daniel E. 5,424,100 38.2%
10‑05 13D EXXP / Edgar Express, Inc. Windber National Llc 5,424,100 38.2%
10‑05 13D EXXP / Edgar Express, Inc. Blumenthal George S 2,924,100 25.0%
10‑05 13D EXXP / Edgar Express, Inc. Piermont Jeffrey Charles 5,424,100 38.2%
10‑05 13D PRSS / CafePress Inc. Snapfish, Llc 11,634,250 58.3%
10‑05 13D ETTX / Entasis Therapeutics Holdings Inc. ASTRAZENECA PLC 2,164,855 16.6%
10‑05 13D SIC / Select Interior Concepts, Inc. Solace Capital Partners, L.p. 4,036,439 15.7%
10‑04 13D VSAT / ViaSat, Inc. Baupost Group LLC/MA 13,732,068 23.06% -1.87
10‑04 13D KTWO / K2M Group Holdings, Inc. GAMCO INVESTORS, INC. ET AL 1,329,775 3.04%
10‑04 13D IVTY / Invuity, Inc. GAMCO INVESTORS, INC. ET AL 823,500 3.42%
10‑04 13D PRSS / CafePress Inc. Subin Neil S 3,371,420 19.7% -1.45
10‑03 13D ICD / Independence Contract Drilling Inc MSD CAPITAL L P 4,471,800 6.0%
10‑03 13D ICD / Independence Contract Drilling Inc MSD Partners, L.P. 18,747,134 25.0%
10‑03 13D CCB / COASTAL FINANCIAL CORP Cja Private Equity Restructuring Master Fund I Lp 964,955 8.12%
10‑02 13D BSGM / BioSig Technologies, Inc. Cherry David 1,030,728 6.26%
10‑02 13D YMAB / Y-mAbs Therapeutics, Inc. Sofinnova Venture Partners X, L.p. 2,111,389 6.3%
10‑01 13D TEN / Tenneco, Inc. ICAHN CARL C 5,651,177 9.9%
10‑01 13D PZZA / Papa John’s International, Inc. Legion Partners Asset Management, LLC 1,726,086 5.46%
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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
10‑05 13D/A SAEXW / SAExploration Holdings, Inc. BlueMountain Capital Management, LLC 269,345 9.9% -25.56
10‑05 13D/A SIC / Select Interior Concepts, Inc. Solace Capital Partners, L.p. 4,036,439 15.7%
10‑05 13D/A APPN / Appian Corp. Abdiel Qualified Master Fund LP 6,354,492 25.7% 6.64
10‑05 13D/A JAGX / Jaguar Animal Health, Inc. Sagard Capital Partners, L.P. 3,314,956 12.7% -43.56
10‑05 13D/A KALA / Kala Pharmaceuticals, Inc. RA Capital Management, LLC 4,537,478 14.1% 54.95
10‑05 13D/A JEQ / Aberdeen Japan Equity Fund, Inc. Bulldog Investors, LLC 552,666 %
10‑05 13D/A ETRM / EnteroMedics Inc HealthCor Partners Management LP 349,139 %
10‑05 13D/A ROSE / Rosehill Resources Inc. Rosemore, Inc. 39,814,924 77.9% -13.25
10‑05 13D/A NERV / Minerva Neurosciences, Inc. Index Venture Associates III Ltd 2,488,963 6.4% -12.33
10‑05 13D/A GRBK / Green Brick Partners, Inc. Brickman James R. 2,173,674 4.3%
10‑04 13D/A AIRT / Air T, Inc. AO Partners I, LP 833,405 40.8% 17.58
10‑04 13D/A JCDAF / Jacada Ltd. IGP DIGITAL INTERACTION L.P. 2,063,934 35.5% 21.58
10‑04 13D/A AVHI / A V Homes, Inc. TPG Advisors VI, Inc. 0.0% -100.00
10‑04 13D/A HRMNU / Harmony Merger Corp. Halcyon Capital Management Lp 9,807,088 8.98%
10‑04 13D/A ROSE / Rosehill Resources Inc. Hanna Gary C 1,454,317 10.5% -45.88
10‑04 13D/A KRP / Kimbell Royalty Partners, LP Fortson Ben J. 3,044,768 15.3% 36.61
10‑04 13D/A JHG / Janus Henderson Group plc DAI ICHI LIFE INSURANCE CO., LTD. 30,668,922 15.3% -19.90
10‑03 13D/A ARPO / Aerpio Pharmaceuticals Inc Kearny Venture Partners LP 270,907 0.07%
10‑03 13D/A ANDV / Andeavor Corp. Marathon Petroleum Corp 100 100.0%
10‑03 13D/A KANP / Kaanapali Land LLC Kaanapali Land Llc 136,017 7.6%
10‑03 13D/A TOPS / TOP Ships, Inc. SOVEREIGN HOLDINGS INC. 30,570,912 61.1% 15.50
10‑03 13D/A ROSEU / Rosehill Resources Anchorage Capital Group, L.L.C. 8,824,330 41.8% -31.25
10‑03 13D/A TNLX / Trans-Lux Corp. GAMCO INVESTORS, INC. ET AL 419,052 16.17% -47.84
10‑03 13D/A AFMD / Affimed N.V. SGR Sagittarius Holding AG 6,085,323 9.8% -9.26
10‑03 13D/A AER / AerCap Holdings N.V. Waha Capital PJSC 19,967,718 13.45% -7.37
10‑03 13D/A BHR / Braemar Hotels & Resorts Inc. Sessa Capital (Master), L.P. 1,599,863 4.9%
10‑02 13D/A MEDP / Medpace Holdings, Inc. Troendle August J. 8,751,758 24.4% -9.96
10‑02 13D/A NQP / Nuveen Pennsylvania Investment Quality Municipal Fund, Inc. WELLS FARGO & COMPANY/MN 3,045 100.0%
10‑02 13D/A MCHX / Marchex, Inc. Edenbrook Capital, LLC 4,821,505 13.1% 11.97
10‑02 13D/A MEOH / Methanex Corp. M&G INVESTMENT MANAGEMENT LTD 12,827,152 16.12% -6.17
10‑02 13D/A CXRX / Concordia Healthcare Corporation Cinven Capital Management (V) General Partner Ltd 21,873 0.04% -99.69
10‑02 13D/A RAS / RAIT Financial Trust Frischer Charles 254,101 13.73% 32.02
10‑01 13D/A ROSE / Rosehill Resources Inc. GEODE CAPITAL MANAGEMENT LP 681,479 5.1% -46.32
10‑01 13D/A AB / AllianceBernstein Holding L.P. Axa Equitable Holdings, Inc. 3,756,520 3.8%
10‑01 13D/A VAC / Marriott Vacations Worldwide Corp Liberty Interactive Corp 0.0% -100.00
10‑01 13D/A TWNK / Hostess Brands, Inc. Gores Sponsor Llc 6,525,864 6.4% -14.67
10‑01 13D/A DENR / Discovery Energy Corp. DEC Funding LLC 62,106,071 %
10‑01 13D/A RISE / Sit Rising Rate ETF SIT INVESTMENT ASSOCIATES INC 1,700,200 68.69% -13.63
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Source: Fintel.io/activists

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