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 |
| 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% |
|
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 |
0.0% |
-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 |
0.0% |
-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 |
Source: Fintel.io/activists