Significant Activist Hedge Fund Activity (Last 7 Days) for the week ending July 6

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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
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%
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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
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% -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%
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Source: Fintel.io/activists

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