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 |
| 07‑13 |
13D |
INTB / Intelligent Buying, Inc. |
Romanzi Philip |
5,653,333 |
77.9% |
|
| 07‑13 |
13D |
NXNN / Nexeon Medsystems Inc |
Rosellini William |
1,136,492 |
57.01% |
|
| 07‑13 |
13D |
BTLN / Brightlane Corp. |
Helm Stephen Craig |
1,250,000 |
6.69% |
|
| 07‑13 |
13D |
FTSV / Forty Seven, Inc. |
SUTTER HILL VENTURES |
3,301,419 |
11.0% |
|
| 07‑12 |
13D |
FTSV / Forty Seven, Inc. |
Lightspeed Venture Partners X, L.p. |
4,346,318 |
14.5% |
|
| 07‑12 |
13D |
GLBD / Global Seed Corp |
Leung Kwok Hei |
2,125,000 |
42.5% |
|
| 07‑12 |
13D |
EGC / Energy XXI Gulf Coast, Inc. |
Magnetar Financial LLC |
1,819,238 |
5.47% |
|
| 07‑12 |
13D |
FTSV / Forty Seven, Inc. |
Clarus Lifesciences III, L.P. |
3,837,596 |
12.8% |
|
| 07‑12 |
13D |
MDWT / Midwest Holding Inc. |
Vespoint Llc |
101,996,264 |
81.69% |
|
| 07‑11 |
13D |
TCDA / Tricida, Inc. |
Sibling Capital Ventures Llc |
7,391,819 |
17.6% |
|
| 07‑11 |
13D |
SVA / Sinovac Biotech Ltd. |
Vivo Capital, LLC |
5,900,000 |
8.5% |
|
| 07‑11 |
13D |
RVI / Retail Ventures Inc |
Otto Alexander |
3,262,456 |
17.7% |
|
| 07‑11 |
13D |
WDLF / Social Life Network, Inc. |
Somerset Private Fund Ltd |
13,270,000 |
13.35% |
|
| 07‑11 |
13D |
TCDA / Tricida, Inc. |
ORBIMED ADVISORS LLC |
10,889,280 |
25.96% |
|
| 07‑11 |
13D |
BLKU / Blink Couture, Inc. |
Toh Kok Soon |
1,250,000,000 |
47.62% |
|
| 07‑10 |
13D |
LBUY / Leafbuyer Technologies, Inc. |
Goerner Michael |
8,450,020 |
18.8% |
|
| 07‑10 |
13D |
PLYA / Playa Hotels & Resorts NV |
Sagicor Financial Corp Ltd |
20,000,000 |
15.1% |
|
| 07‑10 |
13D |
PED / Pedevco Corp. |
Sk Energy Llc |
7,262,500 |
49.9% |
|
| 07‑09 |
13D |
BFMC / B4MC Gold Mines Inc. |
Funk Gert |
5,100,394 |
22.5% |
|
| 07‑09 |
13D |
BFMC / B4MC Gold Mines Inc. |
Page Joseph E |
5,100,394 |
22.5% |
|
| 07‑09 |
13D |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Patel Chirag K. |
21,269,420 |
15.6% |
|
| 07‑09 |
13D |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Patel Dipan |
26,905,073 |
19.0% |
|
| 07‑09 |
13D |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Patel Chintu |
24,753,252 |
17.7% |
|
| 07‑09 |
13D |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Patel Tushar Bhikhubhai |
53,578,209 |
31.8% |
|
| 07‑09 |
13D |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Patel Gautam |
30,384,769 |
20.9% |
|
| 07‑09 |
13D |
NTGN / Neon Therapeutics, Inc. |
Access Industries Holdings LLC |
3,097,913 |
10.99% |
|
| 07‑09 |
13D |
ZYXI / Zynex, Inc. |
Sandgaard Thomas |
17,723,142 |
52.7% |
|
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 |
| 07‑13 |
13D/A |
SPB / Spectrum Brands Holdings, Inc. |
HRG GROUP, INC. |
100 |
100.0% |
68.63 |
| 07‑13 |
13D/A |
SPA / Sparton Corp. |
GAMCO INVESTORS, INC. ET AL |
225,748 |
2.3% |
16.16 |
| 07‑13 |
13D/A |
COWNL / Cowen Group, Inc. |
ConvergEx Holdings, LLC |
1,086,444 |
3.7% |
-53.28 |
| 07‑12 |
13D/A |
PZG / Paramount Gold Nevada Corp. |
Seabridge Gold Inc |
2,384,963 |
9.28% |
16.00 |
| 07‑12 |
13D/A |
MRVL / Marvell Technology Group Ltd. |
Starboard Value LP |
33,753,990 |
5.2% |
-24.64 |
| 07‑12 |
13D/A |
LOXO / Loxo Oncology, Inc. |
AISLING CAPITAL III LP |
2,038,920 |
6.8% |
-44.72 |
| 07‑12 |
13D/A |
VRA / Vera Bradley, Inc. |
Barbara B. Baekgaard 2009 Grantor Retained Annuity Trust |
4,009,999 |
11.3% |
-18.71 |
| 07‑12 |
13D/A |
ORCCII / Owl Rock Capital Corp II |
Trinity Christian Center Of Santa Ana Inc |
1,260,364 |
4.92% |
|
| 07‑12 |
13D/A |
FRBK / Republic First Bancorp, Inc. |
HILL VERNON W II |
4,777,150 |
8.1% |
|
| 07‑12 |
13D/A |
YHOO / Yahoo! Inc. |
TCI Fund Management Ltd |
39,882,103 |
% |
|
| 07‑12 |
13D/A |
MLNX / Mellanox Technologies, Ltd. |
Starboard Value LP |
4,576,389 |
8.6% |
-18.10 |
| 07‑11 |
13D/A |
AMRH / Ameri Holdings, Inc. |
Lone Star Value Management LLC |
100,000 |
7.6% |
11.76 |
| 07‑11 |
13D/A |
GRIF / Griffin Industrial Realty, Inc. |
GAMCO INVESTORS, INC. ET AL |
810,321 |
16.11% |
-5.18 |
| 07‑11 |
13D/A |
BSET / Bassett Furniture Industries, Inc. |
GAMCO INVESTORS, INC. ET AL |
852,274 |
7.94% |
11.36 |
| 07‑11 |
13D/A |
EQFN / Equitable Financial Corp. |
ELKHORN PARTNERS LIMITED PARTNERSHIP |
325,012 |
% |
|
| 07‑11 |
13D/A |
NICK / Nicholas Financial, Inc. |
MAGNOLIA CAPITAL FUND, LP |
1,526,039 |
19.3% |
6.63 |
| 07‑11 |
13D/A |
VKIN / Viking Investments Group, Inc. |
Coal Creek Energy, LLC |
0 |
4.44% |
-53.12 |
| 07‑11 |
13D/A |
TGTX / TG Therapeutics, Inc. |
LFB Biotechnologies S.A.S.U. |
2,614,855 |
3.4% |
-65.31 |
| 07‑10 |
13D/A |
EDUC / Educational Development Corp. |
Red Oak Partners, LLC |
316,417 |
7.7% |
7.69 |
| 07‑10 |
13D/A |
SDLP / Seadrill Partners LLC |
Seadrill Ltd |
26,275,750 |
34.9% |
|
| 07‑10 |
13D/A |
TREE / LendingTree, Inc. |
Gci Liberty, Inc. |
3,443,989 |
27.6% |
6.98 |
| 07‑10 |
13D/A |
ASCMB / Ascent Capital Group, Inc. |
GAMCO INVESTORS, INC. ET AL |
464,922 |
3.87% |
-9.58 |
| 07‑10 |
13D/A |
AVEO / AVEO Pharmaceuticals, Inc. |
Growth Equity Opportunities IV, LLC |
28,146,416 |
21.8% |
-5.22 |
| 07‑10 |
13D/A |
OLBK / Old Line Bancshares, Inc. |
HOVDE ERIC D |
1,047,727 |
6.17% |
-14.31 |
| 07‑10 |
13D/A |
MCN / Madison Covered Call & Equity Strategy Fund |
Karpus Management, Inc. |
2,056,688 |
10.67% |
16.10 |
| 07‑09 |
13D/A |
HCOM / Hawaiian Telcom Holdco, Inc. |
BLACK DIAMOND CAPITAL MANAGEMENT, L.L.C. |
0 |
0.0% |
-100.00 |
| 07‑09 |
13D/A |
TUSK / Mammoth Energy Services, Inc. |
GULFPORT ENERGY CORP |
9,943,645 |
22.2% |
-11.55 |
| 07‑09 |
13D/A |
DM / Dominion Midstream Partners LP |
DOMINION RESOURCES INC /VA/ |
771,524,991 |
60.9% |
19.65 |
| 07‑09 |
13D/A |
OLBK / Old Line Bancshares, Inc. |
H Bancorp LLC |
1,041,047 |
6.1% |
-8.96 |
| 07‑09 |
13D/A |
AMRX / Amneal Pharmaceuticals, Inc. Class A |
Aphc Holdings, Llc |
0 |
0.0% |
-100.00 |
| 07‑09 |
13D/A |
FLNT / Fluent, Inc. |
Conlin Matthew |
7,685,020 |
10.2% |
|
| 07‑09 |
13D/A |
FLNT / Fluent, Inc. |
Schulke Ryan |
9,001,537 |
12.0% |
|
| 07‑09 |
13D/A |
PEG / Pattern Energy Group Inc |
Pattern Renewables LP |
4,810,162 |
4.9% |
-20.97 |
| 07‑09 |
13D/A |
GYRO / Gyrodyne, LLC |
GAMCO INVESTORS, INC. ET AL |
87,994 |
5.93% |
7.04 |
| 07‑09 |
13D/A |
ARPO / Aerpio Pharmaceuticals Inc |
Novartis Bioventures Ltd |
5,805,550 |
14.95% |
|
| 07‑09 |
13D/A |
WOR / Worthington Industries, Inc. |
MCCONNELL JOHN P/OH |
17,703,021 |
29.8% |
11.19 |
| 07‑09 |
13D/A |
CBK / Christopher & Banks Corp. |
Macellum Retail Opportunity Fund, LP |
4,701,076 |
12.3% |
8.85 |
| 07‑09 |
13D/A |
GPIW / Grand Perfecta, Inc. |
Ozawa Takashi |
0 |
0.0% |
-100.00 |
| 07‑09 |
13D/A |
GPIW / Grand Perfecta, Inc. |
Watanabe Shuya |
0 |
0.0% |
-100.00 |
| 07‑09 |
13D/A |
RRC / Range Resources Corp. |
SailingStone Capital Partners LLC |
41,621,584 |
% |
|
| 07‑09 |
13D/A |
YHOO / Yahoo! Inc. |
TCI Fund Management Ltd |
46,682,103 |
% |
|
Source: Fintel.io/activists