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.

DateFormCompanyInvestorSharesOwnershipChange
10‑1213DDVMT / Dell Technologies Inc.ICAHN CARL C16,538,4928.3%
10‑1213DGRTS / Gritstone Oncology, Inc.Clarus Lifesciences III, L.P.2,567,4458.9%
10‑1213DCTACU / ChaSerg Technology Acquisition Corp. UnitChaserg Technology Sponsor Llc6,250,00023.7%
10‑1213DKALA / Kala Pharmaceuticals, Inc.Longitude Capital Partners II, LLC28,953,6629.0%-3.23
10‑1213DFRBK / Republic First Bancorp, Inc.CPV Holdings, LLC5,606,0019.5%-4.04
10‑1113DNNVC / NanoViricides, Inc.Boniuk Milton10,462,86915.2%
10‑1113DKOD / Kodiak Sciences Inc.Baker Brothers Advisors LP9,295,11524.4%
10‑1113DINFN / Infinera Corp.Oaktree Optical Holdings, L.p.20,975,38412.1%
10‑1113DANDV / Andeavor Corp.Marathon Petroleum Corp156,173,12863.6%-36.40
10‑1113DQIWI / QIWI plcSolonin Sergey12,106,82220.7%2.88
10‑1013DUROV / Urovant Sciences Ltd.Lo Andrew22,703,66975.6%
10‑1013DUROV / Urovant Sciences Ltd.Dexxon Holdings Ltd.22,703,66975.6%
10‑1013DUROV / Urovant Sciences Ltd.Viking Global Investors LP22,703,66975.6%
10‑1013DUROV / Urovant Sciences Ltd.Svf Investments (uk) Ltd22,703,66975.6%
10‑1013DUROV / Urovant Sciences Ltd.Roivant Sciences Ltd.22,703,66975.6%
10‑1013DUROV / Urovant Sciences Ltd.Machado Patrick22,703,66975.6%
10‑1013DAXON / Axovant Sciences Ltd.QVT Financial LP22,703,66975.6%3.42
10‑1013DEMKR / EMCORE Corp.Northern Right Capital Management, L.P.1,507,9695.5%14.58
10‑1013DEXDW / Exceed World, Inc.E-learning Laboratory Co., Ltd.0%
10‑1013DETTX / Entasis Therapeutics Holdings Inc.Sofinnova Venture Partners IX, L.P.1,180,1789.0%
10‑1013DEXDW / Exceed World, Inc.Yoshida Tomoo28,994,000%
10‑1013DEXDW / Exceed World, Inc.Koga Keiichi28,994,000%
10‑1013DEXDW / Exceed World, Inc.Force International Holdings Ltd0%
10‑1013DEXDW / Exceed World, Inc.Force Internationale Ltd27,594,000%
10‑0913DETTX / Entasis Therapeutics Holdings Inc.Clarus Lifesciences III, L.P.1,623,40512.4%
10‑0913DFRLF / Freedom Leaf Inc.Merida Capital Partners Ii Lp17,000,0008.7%
10‑0913DSTRO / SUTRO BIOPHARMA INCSVLSF V, LLC942,7894.1%
10‑0913DETTX / Entasis Therapeutics Holdings Inc.TPG Group Holdings (SBS) Advisors, Inc.1,020,7487.81%
10‑0913DICAD / icad, inc.SASSINE ANDY1,275,7747.6%33.33
10‑0913DETTX / Entasis Therapeutics Holdings Inc.Frazier Life Sciences Viii, L.p.1,349,95310.3%

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.

DateFormCompanyInvestorSharesOwnershipChange
10‑1513D/ARISE / Sit Rising Rate ETFSIT INVESTMENT ASSOCIATES INC1,973,70079.74%16.09
10‑1213D/AACY / Aerocentury Corp.JetFleet Holding Corp.00.0%-100.00
10‑1213D/ABIOC / Biocept, Inc.Ally Bridge LB Healthcare Master Fund Ltd96,7103.13%-78.35
10‑1213D/AASTC / Astrotech Corp.Pickens Thomas Boone III1,619,18429.83%
10‑1213D/ASODI / Solitron Devices, Inc.Olesen Value Fund L.P.225,32011.8%22.92
10‑1213D/AFRED / Fred’s, Inc.Alden Global Capital LLC9,506,61725.5%
10‑1213D/ADAVE / Famous Dave’s of America, Inc.PW Partners Atlas Fund LP632,3767.0%-20.45
10‑1213D/AMDM / Mountain Province Diamonds Inc.Vertigol Unlimited Co59,078,65928.1%102.16
10‑1213D/AAZRE / Azure Power Global LimitedCAISSE DE DEPOT ET PLACEMENT DU QUEBEC16,443,56740.3%24.00
10‑1113D/AAMGP / Antero Midstream GP LPWarren Glen C Jr14,931,0798.0%
10‑1113D/AAMGP / Antero Midstream GP LPRADY PAUL M23,212,41712.5%
10‑1113D/AVLT / Invesco Van Kampen High Income Trust IISaba Capital Management, L.P.666,8038.21%-16.99
10‑1113D/AHSGX / Histogenics CorporationWilmslow Estates Ltd5,258,8598.3%-36.64
10‑1113D/ANX / Quanex Building Products Corp.Praesidium Investment Management Company, LLC1,580,1804.8%-50.00
10‑1113D/AACOR / Acorda Therapeutics, Inc.SCOPIA CAPITAL MANAGEMENT LP6,608,45313.9%-9.74
10‑1113D/AFG / FGL HoldingsBlackstone Holdings III L.P.43,966,89419.8%
10‑1113D/AHRI / Herc Holdings Inc.GAMCO INVESTORS, INC. ET AL3,547,29112.46%7.69
10‑1113D/AMCN / Madison Covered Call & Equity Strategy FundKarpus Management, Inc.4,572,64216.37%53.42
10‑1113D/ARLJE / RLJ Entertainment, Inc.Sudbury Capital Fund, LP1,210,1955.1%-35.44
10‑1013D/AGCP / GCP Applied Technologies Inc.40 North Management LLC10,102,08214.0%14.75
10‑1013D/ATRQ / Turquoise Hill Resources Ltd.SailingStone Capital Partners LLC282,693,212%
10‑1013D/ACSIQ / Canadian Solar Inc.Lion Point Capital, LP4,507,0557.7%28.33
10‑1013D/ABBDC / Barings BDC, Inc.BABSON CAPITAL MANAGEMENT LLC9,095,18117.7%
10‑1013D/AADAP / Adaptimmune Therapeutics plcORBIMED ADVISORS LLC29,407,8584.69%-13.79
10‑1013D/AAKP / Alliance California Municipal Income Fund, Inc.Bulldog Investors, LLC1,061,436%
10‑0913D/APHII / PHI, Inc.Alesia Value Fund LLC378,9212.9%11.54
10‑0913D/AOPNT / Opiant Pharmaceuticals, Inc.Pollack Kevin148,8344.99%-81.72
10‑0913D/AMDXG / MiMedx Group, Inc.PETIT PARKER H4,310,5953.94%-40.66
10‑0913D/AGALE / Galena Biopharma, Inc.Equilibria Capital Management Ltd673,6713.4%-85.15
10‑0913D/APTE / POLARITYTE, INC.Stetson John258,5631.2%
10‑0913D/AAFW / American Financial Group, Inc.Lindner Carl H Iii6,618,7117.41%
10‑0913D/ARLJE / RLJ Entertainment, Inc.GAMCO INVESTORS, INC. ET AL415,0001.83%-36.46
10‑0913D/ASWX / Southwest Gas Corp.GAMCO INVESTORS, INC. ET AL1,325,2002.7%-13.74
10‑0913D/AATRC / AtriCure, Inc.Hudson Executive Capital LP1,882,494%
10‑0913D/ACPB / Campbell Soup Co.Third Point LLC21,000,0006.98%23.54
10‑0913D/ASYNT / Syntel, Inc.Atos S.e.100100.0%95.81
10‑0913D/AINSW / International Seaways, Inc.BlueMountain Capital Management, LLC3,104,54810.6%-9.40
10‑0913D/ANITE / Nightstar Therapeutics plcNew Enterprise Associates 15, L.p.6,662,53220.3%
10‑0913D/AAT / Atlantic Power Corp.MANGROVE PARTNERS6,896,0936.2%21.57
10‑0913D/AAIRI / Air Industries GroupRichmond Brothers, Inc.5,451,55819.5%21.12
10‑0913D/ACUTR / Cutera, Inc.GAMCO INVESTORS, INC. ET AL752,6005.44%16.74
10‑0913D/ACSU / Capital Senior Living Corp.Levinson Sam2,939,4909.4%20.51

Source: Fintel.io/activists

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