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 |
| 07‑06 |
13D |
AUTL / Autolus Therapeutics plc |
Arix Bioscience Plc |
3,161,533 |
7.9% |
|
| 07‑06 |
13D |
PLT / Plantronics, Inc. |
Triangle Private Holdings Ii, Llc |
6,352,201 |
16.0% |
|
| 07‑06 |
13D |
BSTG / Biostage, Inc. |
Du Xiaoyu |
750,000 |
13.2% |
|
| 07‑06 |
13D |
TCDA / Tricida, Inc. |
Longitude Capital Partners II, LLC |
30,219,242 |
7.2% |
|
| 07‑06 |
13D |
BSTG / Biostage, Inc. |
Zhou Heping |
500,000 |
8.8% |
|
| 07‑06 |
13D |
LITB / LightInTheBox Holding Co., Ltd. |
Guo Quji |
7,456,641 |
5.5% |
0.00 |
| 07‑05 |
13D |
XRM / Xerium Technologies, Inc. |
Andritz Ag |
3,541,255 |
21.6% |
|
| 07‑05 |
13D |
EPRT / ESSENTIAL PROPERTIES REALTY TRUST, INC. |
Eldridge Industries, Llc |
26,842,163 |
44.7% |
|
| 07‑05 |
13D |
RDGL / Vivos Inc |
Yee Kwan Hon |
5,116,260 |
6.3% |
|
| 07‑05 |
13D |
AVRO / AVROBIO, Inc. |
Clarus Lifesciences III, L.P. |
2,962,325 |
12.8% |
|
| 07‑03 |
13D |
APTX / Aptinyx Inc. |
Frazier Life Sciences Viii, L.p. |
3,190,079 |
9.5% |
|
| 07‑03 |
13D |
PRVB / Provention Bio, Inc. |
Mdb Capital Group Llc |
16,452,891 |
16.0% |
|
| 07‑03 |
13D |
CETY / Clean Energy Technologies, Inc. |
Mgw Investment I Ltd |
|
% |
|
| 07‑03 |
13D |
BIVI / BioVie, Inc. |
Peizer Terren S |
400,833,333 |
80.3% |
|
| 07‑03 |
13D |
OMF / OneMain Holdings, Inc. |
Apollo Management Holdings GP, LLC |
54,937,500 |
40.5% |
|
| 07‑03 |
13D |
INUV / Inuvo, Inc. |
TOCQUEVILLE ASSET MANAGEMENT L.P. |
451,509 |
1.6% |
-80.27 |
| 07‑03 |
13D |
APTX / Aptinyx Inc. |
New Leaf Ventures III, L.P. |
3,290,079 |
9.8% |
|
| 07‑03 |
13D |
APTX / Aptinyx Inc. |
Bain Capital Life Sciences Fund, L.P. |
2,018,481 |
6.2% |
|
| 07‑03 |
13D |
OMF / OneMain Holdings, Inc. |
Uniform Investco Lp |
11,355,568 |
8.37% |
|
| 07‑03 |
13D |
LBUY / Leafbuyer Technologies, Inc. |
Rossner Kurt |
8,450,020 |
18.8% |
|
| 07‑03 |
13D |
LBUY / Leafbuyer Technologies, Inc. |
Breen Mark |
8,450,020 |
18.8% |
|
| 07‑02 |
13D |
WCC / Wesco International, Inc. |
Blue Harbour Group, L.P. |
3,388,647 |
7.2% |
|
| 07‑02 |
13D |
TWLVU / Twelve Seas Investment Co |
Twelve Seas Sponsor I Llc |
5,604,000 |
20.9% |
|
| 07‑02 |
13D |
APTX / Aptinyx Inc. |
Longitude Capital Partners II, LLC |
31,900,792 |
9.5% |
|
| 07‑02 |
13D |
MICT / Micronet Enertec Technologies, Inc. |
Bnn Technology Plc |
1,363,000 |
14.89% |
|
| 07‑02 |
13D |
JASN / Jason Industries, Inc. |
WYNNEFIELD PARTNERS SMALL CAP VALUE LP |
4,766,578 |
17.4% |
-2.25 |
| 07‑02 |
13D |
HHER / Her Imports |
Terry Malaika |
1,000,000 |
11.6% |
|
| 07‑02 |
13D |
BSPM / Biostar Pharmaceuticals, Inc. |
Liu Waiping |
426,999 |
16.2% |
|
| 07‑02 |
13D |
EIDX / Eidos Therapeutics, Inc. |
RA Capital Management, LLC |
2,162,671 |
5.9% |
|
| 07‑02 |
13D |
LTRE / Learning Tree International, Inc. |
Kevin Ross Gruneich Legacy Trust |
9,675,047 |
63.5% |
|
| 07‑02 |
13D |
BNKL / Bionik Laboratories Corp. |
Solomar Sa |
16,316,695 |
5.61% |
|
| 07‑02 |
13D |
JCDAF / Jacada Ltd. |
Hollander Gideon |
562,946 |
9.6% |
|
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 |
| 07‑06 |
13D/A |
XON / Intrexon Corp. |
KIRK RANDAL J |
66,789,237 |
48.8% |
6.78 |
| 07‑06 |
13D/A |
OCIP / OCI Partners LP |
OCI N.V. |
86,064,387 |
98.93% |
|
| 07‑06 |
13D/A |
CLUB / Town Sports International Holdings, Inc. |
PW Partners Atlas Fund III, LP |
2,791,453 |
10.3% |
-19.53 |
| 07‑06 |
13D/A |
PAVM / PAVmed Inc. |
Aklog Lishan |
7,772,467 |
26.6% |
-37.56 |
| 07‑06 |
13D/A |
PAVM / PAVmed Inc. |
Greenspan Ira Scott |
1,292,765 |
4.7% |
-59.83 |
| 07‑06 |
13D/A |
BSTG / Biostage, Inc. |
Dst Capital Llc |
2,025,722 |
49.99% |
|
| 07‑06 |
13D/A |
LITB / LightInTheBox Holding Co., Ltd. |
ZheJiang AoKang Shoes Co., Ltd. |
24,553,810 |
18.1% |
-29.46 |
| 07‑06 |
13D/A |
CEL / Cellcom Israel, Ltd. |
DISCOUNT INVESTMENT CORP LTD |
56,547,802 |
48.61% |
6.95 |
| 07‑05 |
13D/A |
TOPS / TOP Ships, Inc. |
SOVEREIGN HOLDINGS INC. |
14,987,516 |
43.8% |
229.32 |
| 07‑05 |
13D/A |
XPLR / Xplore Technologies Corp. |
Phoenix Venture Fund LLC |
1,290,023 |
13.14% |
|
| 07‑05 |
13D/A |
AQMS / Aqua Metals, Inc. |
Interstate Batteries, Inc. |
3,483,452 |
8.61% |
-42.79 |
| 07‑05 |
13D/A |
XCO / EXCO Resources, Inc. |
WL ROSS & CO LLC |
1,059,883 |
4.9% |
-31.94 |
| 07‑05 |
13D/A |
HCOM / Hawaiian Telcom Holdco, Inc. |
TWIN HAVEN SPECIAL OPPORTUNITIES FUND III, L.P. |
0 |
0.0% |
-100.00 |
| 07‑05 |
13D/A |
SHAK / Shake Shack, Inc. |
Select Equity Group, L.P. |
570,958 |
1.5% |
-46.43 |
| 07‑03 |
13D/A |
EYPT / EyePoint Pharmaceuticals, Inc. |
Essex Woodlands Fund IX, L.P. |
25,470,390 |
34.2% |
|
| 07‑03 |
13D/A |
TGLO / theglobe.com, inc. |
Delfin Midstream Inc. |
312,825,952 |
70.9% |
|
| 07‑03 |
13D/A |
INTX / Intersections, Inc. |
Osmium Partners, LLC |
3,119,266 |
12.8% |
-12.15 |
| 07‑03 |
13D/A |
AZRE / Azure Power Global Limited |
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC |
8,443,567 |
32.5% |
60.10 |
| 07‑03 |
13D/A |
DVCR / Diversicare Healthcare Services Inc. |
Osmium Partners, LLC |
583,141 |
9.0% |
-9.55 |
| 07‑03 |
13D/A |
TEGP / Tallgrass Energy GP, LP |
Tallgrass Holdings, LLC |
46,821,232 |
23.21% |
-47.88 |
| 07‑03 |
13D/A |
AKBA / Akebia Therapeutics, Inc. |
Satter Muneer A |
3,067,043 |
5.4% |
-16.67 |
| 07‑03 |
13D/A |
ARPO / Aerpio Pharmaceuticals Inc |
Satter Muneer A |
5,078,017 |
13.1% |
|
| 07‑03 |
13D/A |
TEGP / Tallgrass Energy GP, LP |
Tallgrass KC, LLC |
31,452,405 |
16.88% |
-52.14 |
| 07‑03 |
13D/A |
TEGP / Tallgrass Energy GP, LP |
Kelso GP VIII, LLC |
46,727,603 |
23.2% |
-47.98 |
| 07‑03 |
13D/A |
TEP / Tallgrass Energy Partners, LP |
Tallgrass Equity, Llc |
25,644,863 |
100.0% |
185.71 |
| 07‑03 |
13D/A |
RIG / Transocean, Inc. |
Perestroika |
67,740,289 |
% |
|
| 07‑03 |
13D/A |
CIR / CIRCOR International, Inc. |
GAMCO INVESTORS, INC. ET AL |
1,782,843 |
8.99% |
10.04 |
| 07‑03 |
13D/A |
VNTV / Vantiv, Inc. |
FIFTH THIRD BANCORP |
10,264,471 |
3.3% |
-61.63 |
| 07‑03 |
13D/A |
EPM / Evolution Petroleum Corp. |
Lovoi John |
3,608,033 |
10.88% |
-9.41 |
| 07‑03 |
13D/A |
SMI / Semiconductor Manufacturing International Corp. |
Datang Telecom Technology & Industry Holdings Co., Ltd. |
982,483,326 |
19.2% |
18.52 |
| 07‑03 |
13D/A |
LITB / LightInTheBox Holding Co., Ltd. |
Zall Development Group Ltd |
78,728,233 |
58.1% |
59.18 |
| 07‑03 |
13D/A |
MIC / Macquarie Infrastructure Company LLC |
Macquarie Infrastructure Management (USA) INC |
9,862,666 |
11.57% |
15.70 |
| 07‑02 |
13D/A |
RMNI / Rimini Street, Inc. (DE) |
ADAMS STREET PARTNERS LLC |
23,280,574 |
39.1% |
|
| 07‑02 |
13D/A |
EYRYY / Erytech Pharma |
Baker Brothers Advisors LP |
3,085,969 |
17.2% |
-37.00 |
| 07‑02 |
13D/A |
BOMN / Boston Omaha Corporation |
MAGNOLIA CAPITAL FUND, LP |
7,614,556 |
35.0% |
-30.97 |
| 07‑02 |
13D/A |
FIBK / First Interstate BancSystem, Inc. |
Scott James R |
4,943,840 |
12.7% |
-8.63 |
| 07‑02 |
13D/A |
ARPO / Aerpio Pharmaceuticals Inc |
ORBIMED ADVISORS LLC |
5,193,946 |
13.37% |
|
| 07‑02 |
13D/A |
NTN / NTN Communications, Inc. |
Berg Jeffrey Alan |
435,346 |
15.19% |
-13.00 |
| 07‑02 |
13D/A |
WTNW / Water Now Inc |
King David Gary |
9,136,650 |
28.0% |
|
| 07‑02 |
13D/A |
CTGO / Contango Ore, Inc. |
Gillen Donald |
122,451 |
2.0% |
|
| 07‑02 |
13D/A |
CPER / United States Copper Index Fund |
Counsel Portfolio Services Inc. |
21,943 |
3.9896% |
-34.53 |
| 07‑02 |
13D/A |
YHOO / Yahoo! Inc. |
TCI Fund Management Ltd |
57,057,273 |
% |
|
| 07‑02 |
13D/A |
TDW / Tidewater, Inc. |
ROBOTTI ROBERT |
1,235,104 |
4.6% |
-11.54 |
| 07‑02 |
13D/A |
PSEC / Prospect Capital Corp. |
Barry John F |
56,589,667 |
15.58% |
7.45 |
| 07‑02 |
13D/A |
YY / YY Inc. |
Li David Xueling |
169,605,973 |
13.4% |
|
Source: Fintel.io/activists