Activist Investor 13D Filings


This table shows recent activist investor (Schedule 13D) filings made in this industry. Any investor or hedge fund that makes an investment with the intention of influencing management is considered an activist investor and must file a 13D.

DateFormInvestorTargetSharesOwnership
(Percent)
Ownership Change
(Percent)
2018‑02‑15 SC 13D Ipgl Ltd GCAP / Gain Capital Holdings 5,482,981 12.2
2018‑02‑12 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,319,800 87.98 -0.75
2018‑02‑06 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 157,940 45.1257 2.23
2018‑01‑26 SC 13D/A Kennedy Cabot Acquisition, LLC SIEB / Siebert Financial 21,783,432 80.2 -3.17
2018‑01‑22 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 154,496 38.624 4.42
2018‑01‑19 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,329,800 94.98 7.26
2018‑01‑17 SC 13D/A d.Quant Special Opportunities Fund, LP ZAIS / ZAIS Group Holdings 9,585,287 65.8 0.00
2018‑01‑16 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.6 0.00
2018‑01‑11 SC 13D/A Kennedy Cabot Acquisition, LLC SIEB / Siebert Financial 22,497,132 82.8 11.69
2018‑01‑11 SC 13D/A Schwab Charles R SCHW / Schwab Charles 150,577,477 -6.15
2018‑01‑10 SC 13D Bok Scott L GHL / Greenhill & Co. 1,352,196
2018‑01‑08 SC 13D/A Johnson Craig R JMPB / JMP Group 1,432,628 6.63
2018‑01‑08 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 147,959 36.9897 -9.92
2018‑01‑05 SC 13D/A Ricciardi Christopher IFMI / Institutional Financial Markets 151,813 11.38 15.17
2018‑01‑02 SC 13D/A Ricciardi Christopher IFMI / Institutional Financial Markets 131,813 9.88 -87.05
2018‑01‑02 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,239,800 88.55 8.02
2017‑12‑29 SC 13D/A SOFTBANK GROUP CORP FIG / Fortress Investment Group 0 0.0 -100.00
2017‑12‑26 SC 13D/A Shanda Payment Investment Ltd LM / Legg Mason 6,424 0.0 -99.88
2017‑12‑20 SC 13D/A COHEN DANIEL G IFMI / Institutional Financial Markets 682,277 37.22 -90.23
2017‑12‑18 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.6 0.00
2017‑12‑13 SC 13D/A AXA FINANCIAL INC AB / AllianceBernstein Holding 3,756,519 4.0 49.33
2017‑12‑08 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,147,800 85.02 10.60
2017‑12‑04 SC 13D/A GOLDMAN SACHS GROUP INC GS / Goldman Sachs Group 22,753,385 5.99 21.67
2017‑12‑01 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,037,800 90.24
2017‑11‑29 SC 13D/A VA Partners I, LLC KKR / KKR & CO. 47,750,000 9.99 13.95
2017‑11‑28 SC 13D/A MITSUBISHI UFJ FINANCIAL GROUP INC MS / Morgan Stanley 435,610,060 23.26 0.07
2017‑11‑22 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.6 0.00
2017‑11‑17 SC 13D GREENHILL ROBERT F GHL / Greenhill & Co. 2,086,459 42.32
2017‑11‑15 SC 13D/A Raging Capital Management, LLC SMGI / SMG Indium Resources 783,884 9.0 0.00
2017‑11‑15 SC 13D/A HNA Group Co., Ltd. OMAA / OM Asset Management 27,375,229 24.9
2017‑11‑08 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 40,562,256 60.8 -8.63
2017‑11‑08 SC 13D/A HL VOTING TRUST HLI / Houlihan Lokey 39,747,831 60.4 -11.85
2017‑10‑20 SC 13D/A TANNENBAUM LEONARD M FSAM / Fifth Street Asset Management 10,404,147 51.8 2.78
2017‑10‑20 SC 13D/A Berman Bernard D FSAM / Fifth Street Asset Management 2,080,541 10.4 2.53
2017‑10‑19 SC 13D Counsel Portfolio Services Inc. UGA / United States Gasoline Fund 97,609 5.0055
2017‑10‑13 SC 13D/A Shanda Payment Investment Ltd LM / Legg Mason 5,574,077 6.0 0.05
2017‑10‑04 SC 13D/A Counsel Portfolio Services Inc. USCI / United States Commodity Index Fund 144,709 36.1772 7.77
2017‑10‑02 SC 13D Womack Leo B SMGI / SMG Indium Resources 760,000 10.7 0.00
2017‑10‑02 SC 13D Samuels Jody SMGI / SMG Indium Resources 600,000 8.4 0.00
2017‑10‑02 SC 13D Christian Stephen SMGI / SMG Indium Resources 1,408,276 19.8 0.00
2017‑10‑02 SC 13D Flemming Matthew C SMGI / SMG Indium Resources 600,000 8.4 0.00
2017‑09‑29 SC 13D Christian Stephen SMGI / SMG Indium Resources 1,408,276 19.8
2017‑09‑29 SC 13D Samuels Jody SMGI / SMG Indium Resources 600,000 8.4
2017‑09‑29 SC 13D Flemming Matthew C SMGI / SMG Indium Resources 600,000 8.4
2017‑09‑29 SC 13D Womack Leo B SMGI / SMG Indium Resources 760,000 10.7
2017‑09‑28 SC 13D Berman Bernard D FSAM / Fifth Street Asset Management 2,029,268 11.8 0.00
2017‑09‑28 SC 13D TANNENBAUM LEONARD M FSAM / Fifth Street Asset Management 10,123,047 57.1 0.00
2017‑09‑28 SC 13D/A Berman Bernard D FSAM / Fifth Street Asset Management
2017‑09‑27 SC 13D Berman Bernard D FSAM / Fifth Street Asset Management 2,029,268 11.8
2017‑09‑27 SC 13D TANNENBAUM LEONARD M FSAM / Fifth Street Asset Management 10,123,047 57.1