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)
2018‑06‑11 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,695,500 82.71 8.82
2018‑06‑06 SC 13D/A HL VOTING TRUST HLI / Houlihan Lokey 32,752,706 49.5 -8.07
2018‑06‑06 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 32,689,520 49.4 -8.25
2018‑06‑05 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 142,224 40.6354 -5.88
2018‑05‑31 SC 13D/A GAMCO INVESTORS, INC. ET AL LM / Legg Mason 2,181,849 2.55
2018‑05‑25 SC 13D/A GREENHILL ROBERT F GHL / Greenhill & Co. 2,091,493 8.8 0.24
2018‑05‑25 SC 13D/A CANTOR FITZGERALD, L. P. BGCP / BGC Partners 124,428,570 32.0 -1.07
2018‑05‑24 SC 13D/A Jolson Joseph A JMPB / JMP Group 6,124,089 28.4 4.09
2018‑05‑21 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.6 0.00
2018‑05‑15 SC 13D/A Viola Vincent J VIRT / Virtu Financial 80,173,939 43.5 -15.49
2018‑05‑15 SC 13D/A Temasek Holdings (Private) Ltd VIRT / Virtu Financial 16,880,503 16.2 -16.97
2018‑05‑14 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,558,100 76.0 6.54
2018‑05‑14 SC 13D/A GAMCO INVESTORS, INC. ET AL WISH / Wright Investors' Service Holdings 828,000 4.25 -33.60
2018‑05‑10 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 35,627,779 54.2 -5.36
2018‑05‑04 SC 13D/A CANYON CAPITAL ADVISORS LLC NAVI / Navient 25,435,480 9.6 24.43
2018‑05‑03 SC 13D/A d.Quant Special Opportunities Fund, LP ZAIS / ZAIS Group Holdings 3,085,287 21.2 -67.81
2018‑05‑03 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 151,117 37.7792 -5.34
2018‑04‑25 SC 13D/A Kennedy Cabot Acquisition, LLC SIEB / Siebert Financial 17,414,577 64.1 0.00
2018‑04‑25 SC 13D/A AXA FINANCIAL INC AB / AllianceBernstein Holding 3,756,520 3.9 0.00
2018‑04‑18 SC 13D/A MITSUBISHI UFJ FINANCIAL GROUP INC MS / Morgan Stanley 435,084,709 24.53 0.03
2018‑04‑09 SC 13D/A HL VOTING TRUST HLI / Houlihan Lokey 35,627,779 54.2 -5.36
2018‑04‑09 SC 13D/A SIT INVESTMENT ASSOCIATES INC RISE / Sit Rising Rate ETF 1,462,400 86.02 10.80
2018‑04‑04 SC 13D CANYON CAPITAL ADVISORS LLC NAVI / Navient 20,441,712 7.8 34.04
2018‑04‑04 SC 13D/A Raging Capital Management, LLC SMGI / SMG Indium Resources 783,884 7.8 0.00
2018‑04‑04 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 159,644 39.911 -4.40
2018‑04‑03 SC 13D/A Colson Eric R APAM / Artisan Partners Asset Management 14,536,304 23.2 -13.49
2018‑03‑22 SC 13D/A HL VOTING TRUST HLI / Houlihan Lokey 37,645,411 55.5 -5.29
2018‑03‑16 SC 13D/A Colson Eric R APAM / Artisan Partners Asset Management 16,803,098 26.1 -1.22
2018‑03‑15 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 37,647,411 58.6 -7.19
2018‑03‑13 SC 13D/A GGCP, INC. GBL / GAMCO Investors 4,343,480 41.4 -16.08
2018‑03‑13 SC 13D/A GGCP, INC. AC.WD / Associated Capital Group 18,928,887 81.8 -0.05
2018‑03‑06 SC 13D/A AXA FINANCIAL INC AB / AllianceBernstein Holding 3,756,520 3.9 0.00
2018‑03‑05 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 166,991 41.7477 0.00
2018‑03‑05 SC 13D/A GOLDMAN SACHS GROUP INC GS / Goldman Sachs Group 19,035,336 5.0 -16.34
2018‑03‑05 SC 13D/A MITSUBISHI UFJ FINANCIAL GROUP INC MS / Morgan Stanley 434,972,685 24.28 -0.15
2018‑03‑03 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 166,991 41.7477 5.73
2018‑02‑26 SC 13D/A Kennedy Cabot Acquisition, LLC SIEB / Siebert Financial 17,414,577 64.1 -20.06
2018‑02‑23 SC 13D/A COHEN DANIEL G IFMI / Institutional Financial Markets 722,468 39.01 5.89
2018‑02‑23 SC 13D/A Brafman Lester Raymond IFMI / Institutional Financial Markets 349,156 22.19 -89.13
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