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)
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 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
2017‑09‑26 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 164,253 54.751 10.52
2017‑09‑25 SC 13D/A TORONTO DOMINION BANK AMTD / TD AmeriTrade Holding
2017‑09‑22 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 148,616 49.5386 12.00
2017‑09‑21 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 44,395,231 66.3 -1.51
2017‑09‑21 SC 13D/A Raging Capital Management, LLC SMGI / SMG Indium Resources 783,884 11.7 0.00
2017‑09‑21 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 132,690 44.23 13.33
2017‑09‑20 SC 13D/A TORONTO DOMINION BANK AMTD / TD AmeriTrade Holding 233,993,484 41.27 4.96
2017‑09‑19 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 117,085 39.0283 33.60
2017‑09‑18 SC 13D/A VA Partners I, LLC KKR / KKR 41,905,916 8.9 19.20
2017‑09‑06 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.8 0.00
2017‑09‑06 SC 13D/A Counsel Portfolio Services Inc. USCI / United States Commodity Index Fund 134,272 29.8382 -4.83
2017‑09‑06 SC 13D/A d.Quant Special Opportunities Fund, LP ZAIS / ZAIS Group Holdings 9,585,287 66.2 0.00
2017‑09‑05 SC 13D/A Zugel Christian ZAIS / ZAIS Group Holdings 7,631,250 49.8 574.59
2017‑09‑05 SC 13D/A VA Partners I, LLC KKR / KKR 35,155,916 7.5 23.11
2017‑08‑29 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 87,636 43.818 57.48
2017‑08‑22 SC 13D/A Warburg Pincus Private Equity X, L.P. FNGN / Financial Engines 0 0.0 -100.00
2017‑08‑21 SC 13D VA Partners I, LLC KKR / KKR 28,555,916 6.1
2017‑08‑18 SC 13D/A Warburg Pincus Private Equity X, L.P. FNGN / Financial Engines 4,109,128 6.5 0.00
2017‑08‑17 SC 13D/A Warburg Pincus Private Equity X, L.P. FNGN / Financial Engines 4,109,128 6.5 0.00
2017‑08‑17 SC 13D/A Warburg Pincus (bermuda) Private Equity X, L.p. FNGN / Financial Engines 4,109,128 6.5
2017‑08‑17 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 55,648 27.824 39.98
2017‑08‑16 SC 13D/A Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 39,753 19.8765 66.62
2017‑08‑15 SC 13D Counsel Portfolio Services Inc. UHN / United States Diesel Heating Oil Fund 23,858 11.929 223.59
2017‑08‑11 SC 13D/A Colson Eric R APAM / Artisan Partners Asset Management 17,011,230 27.3 -4.40
2017‑08‑11 SC 13D/A Temasek Holdings (Private) Ltd VIRT / Virtu Financial 20,330,503 22.5 8.93
2017‑08‑04 SC 13D/A ORIX HLHZ Holding LLC HLI / Houlihan Lokey 45,074,298 67.3 2.48