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
10‑12 13D DVMT / Dell Technologies Inc. ICAHN CARL C 16,538,492 8.3%
10‑12 13D GRTS / Gritstone Oncology, Inc. Clarus Lifesciences III, L.P. 2,567,445 8.9%
10‑12 13D CTACU / ChaSerg Technology Acquisition Corp. Unit Chaserg Technology Sponsor Llc 6,250,000 23.7%
10‑12 13D KALA / Kala Pharmaceuticals, Inc. Longitude Capital Partners II, LLC 28,953,662 9.0% -3.23
10‑12 13D FRBK / Republic First Bancorp, Inc. CPV Holdings, LLC 5,606,001 9.5% -4.04
10‑11 13D NNVC / NanoViricides, Inc. Boniuk Milton 10,462,869 15.2%
10‑11 13D KOD / Kodiak Sciences Inc. Baker Brothers Advisors LP 9,295,115 24.4%
10‑11 13D INFN / Infinera Corp. Oaktree Optical Holdings, L.p. 20,975,384 12.1%
10‑11 13D ANDV / Andeavor Corp. Marathon Petroleum Corp 156,173,128 63.6% -36.40
10‑11 13D QIWI / QIWI plc Solonin Sergey 12,106,822 20.7% 2.88
10‑10 13D UROV / Urovant Sciences Ltd. Lo Andrew 22,703,669 75.6%
10‑10 13D UROV / Urovant Sciences Ltd. Dexxon Holdings Ltd. 22,703,669 75.6%
10‑10 13D UROV / Urovant Sciences Ltd. Viking Global Investors LP 22,703,669 75.6%
10‑10 13D UROV / Urovant Sciences Ltd. Svf Investments (uk) Ltd 22,703,669 75.6%
10‑10 13D UROV / Urovant Sciences Ltd. Roivant Sciences Ltd. 22,703,669 75.6%
10‑10 13D UROV / Urovant Sciences Ltd. Machado Patrick 22,703,669 75.6%
10‑10 13D AXON / Axovant Sciences Ltd. QVT Financial LP 22,703,669 75.6% 3.42
10‑10 13D EMKR / EMCORE Corp. Northern Right Capital Management, L.P. 1,507,969 5.5% 14.58
10‑10 13D EXDW / Exceed World, Inc. E-learning Laboratory Co., Ltd. %
10‑10 13D ETTX / Entasis Therapeutics Holdings Inc. Sofinnova Venture Partners IX, L.P. 1,180,178 9.0%
10‑10 13D EXDW / Exceed World, Inc. Yoshida Tomoo 28,994,000 %
10‑10 13D EXDW / Exceed World, Inc. Koga Keiichi 28,994,000 %
10‑10 13D EXDW / Exceed World, Inc. Force International Holdings Ltd %
10‑10 13D EXDW / Exceed World, Inc. Force Internationale Ltd 27,594,000 %
10‑09 13D ETTX / Entasis Therapeutics Holdings Inc. Clarus Lifesciences III, L.P. 1,623,405 12.4%
10‑09 13D FRLF / Freedom Leaf Inc. Merida Capital Partners Ii Lp 17,000,000 8.7%
10‑09 13D STRO / SUTRO BIOPHARMA INC SVLSF V, LLC 942,789 4.1%
10‑09 13D ETTX / Entasis Therapeutics Holdings Inc. TPG Group Holdings (SBS) Advisors, Inc. 1,020,748 7.81%
10‑09 13D ICAD / icad, inc. SASSINE ANDY 1,275,774 7.6% 33.33
10‑09 13D ETTX / Entasis Therapeutics Holdings Inc. Frazier Life Sciences Viii, L.p. 1,349,953 10.3%
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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
10‑15 13D/A RISE / Sit Rising Rate ETF SIT INVESTMENT ASSOCIATES INC 1,973,700 79.74% 16.09
10‑12 13D/A ACY / Aerocentury Corp. JetFleet Holding Corp. 0.0% -100.00
10‑12 13D/A BIOC / Biocept, Inc. Ally Bridge LB Healthcare Master Fund Ltd 96,710 3.13% -78.35
10‑12 13D/A ASTC / Astrotech Corp. Pickens Thomas Boone III 1,619,184 29.83%
10‑12 13D/A SODI / Solitron Devices, Inc. Olesen Value Fund L.P. 225,320 11.8% 22.92
10‑12 13D/A FRED / Fred’s, Inc. Alden Global Capital LLC 9,506,617 25.5%
10‑12 13D/A DAVE / Famous Dave’s of America, Inc. PW Partners Atlas Fund LP 632,376 7.0% -20.45
10‑12 13D/A MDM / Mountain Province Diamonds Inc. Vertigol Unlimited Co 59,078,659 28.1% 102.16
10‑12 13D/A AZRE / Azure Power Global Limited CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 16,443,567 40.3% 24.00
10‑11 13D/A AMGP / Antero Midstream GP LP Warren Glen C Jr 14,931,079 8.0%
10‑11 13D/A AMGP / Antero Midstream GP LP RADY PAUL M 23,212,417 12.5%
10‑11 13D/A VLT / Invesco Van Kampen High Income Trust II Saba Capital Management, L.P. 666,803 8.21% -16.99
10‑11 13D/A HSGX / Histogenics Corporation Wilmslow Estates Ltd 5,258,859 8.3% -36.64
10‑11 13D/A NX / Quanex Building Products Corp. Praesidium Investment Management Company, LLC 1,580,180 4.8% -50.00
10‑11 13D/A ACOR / Acorda Therapeutics, Inc. SCOPIA CAPITAL MANAGEMENT LP 6,608,453 13.9% -9.74
10‑11 13D/A FG / FGL Holdings Blackstone Holdings III L.P. 43,966,894 19.8%
10‑11 13D/A HRI / Herc Holdings Inc. GAMCO INVESTORS, INC. ET AL 3,547,291 12.46% 7.69
10‑11 13D/A MCN / Madison Covered Call & Equity Strategy Fund Karpus Management, Inc. 4,572,642 16.37% 53.42
10‑11 13D/A RLJE / RLJ Entertainment, Inc. Sudbury Capital Fund, LP 1,210,195 5.1% -35.44
10‑10 13D/A GCP / GCP Applied Technologies Inc. 40 North Management LLC 10,102,082 14.0% 14.75
10‑10 13D/A TRQ / Turquoise Hill Resources Ltd. SailingStone Capital Partners LLC 282,693,212 %
10‑10 13D/A CSIQ / Canadian Solar Inc. Lion Point Capital, LP 4,507,055 7.7% 28.33
10‑10 13D/A BBDC / Barings BDC, Inc. BABSON CAPITAL MANAGEMENT LLC 9,095,181 17.7%
10‑10 13D/A ADAP / Adaptimmune Therapeutics plc ORBIMED ADVISORS LLC 29,407,858 4.69% -13.79
10‑10 13D/A AKP / Alliance California Municipal Income Fund, Inc. Bulldog Investors, LLC 1,061,436 %
10‑09 13D/A PHII / PHI, Inc. Alesia Value Fund LLC 378,921 2.9% 11.54
10‑09 13D/A OPNT / Opiant Pharmaceuticals, Inc. Pollack Kevin 148,834 4.99% -81.72
10‑09 13D/A MDXG / MiMedx Group, Inc. PETIT PARKER H 4,310,595 3.94% -40.66
10‑09 13D/A GALE / Galena Biopharma, Inc. Equilibria Capital Management Ltd 673,671 3.4% -85.15
10‑09 13D/A PTE / POLARITYTE, INC. Stetson John 258,563 1.2%
10‑09 13D/A AFW / American Financial Group, Inc. Lindner Carl H Iii 6,618,711 7.41%
10‑09 13D/A RLJE / RLJ Entertainment, Inc. GAMCO INVESTORS, INC. ET AL 415,000 1.83% -36.46
10‑09 13D/A SWX / Southwest Gas Corp. GAMCO INVESTORS, INC. ET AL 1,325,200 2.7% -13.74
10‑09 13D/A ATRC / AtriCure, Inc. Hudson Executive Capital LP 1,882,494 %
10‑09 13D/A CPB / Campbell Soup Co. Third Point LLC 21,000,000 6.98% 23.54
10‑09 13D/A SYNT / Syntel, Inc. Atos S.e. 100 100.0% 95.81
10‑09 13D/A INSW / International Seaways, Inc. BlueMountain Capital Management, LLC 3,104,548 10.6% -9.40
10‑09 13D/A NITE / Nightstar Therapeutics plc New Enterprise Associates 15, L.p. 6,662,532 20.3%
10‑09 13D/A AT / Atlantic Power Corp. MANGROVE PARTNERS 6,896,093 6.2% 21.57
10‑09 13D/A AIRI / Air Industries Group Richmond Brothers, Inc. 5,451,558 19.5% 21.12
10‑09 13D/A CUTR / Cutera, Inc. GAMCO INVESTORS, INC. ET AL 752,600 5.44% 16.74
10‑09 13D/A CSU / Capital Senior Living Corp. Levinson Sam 2,939,490 9.4% 20.51
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Source: Fintel.io/activists

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