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MabVax Therapeutics Holdings, Inc. (MBVX) reports 4.99% activist investor; Ritter Pharmaceuticals, Inc. (RTTR) reports new 5.7% investor

Honig Barry C has filed an SC 13D form with the Securities and Exchange Commission (SEC) disclosing ownership of 1,208,904 shares of MabVax Therapeutics Holdings, Inc. (NASDAQ:MBVX). This represents 4.99 percent ownership of the company. Previously, Honig Barry C had reported owning 391,648 shares, indicating an increase of 208.67 percent. MabVax Therapeutics Holdings, Inc. has declared a standard industrial code (sic) of 2834 which is the “Pharmaceutical Preparations” industry.

Baker Brothers Advisors LP has filed an SC 13G form with the Securities and Exchange Commission (SEC) disclosing ownership of 2,800,000 shares of Ritter Pharmaceuticals, Inc. (NASDAQ:RTTR). This represents 5.7 percent ownership of the company. Ritter Pharmaceuticals, Inc. has declared a standard industrial code (sic) of 2834 which is the “Pharmaceutical Preparations” industry.

When a person or group of persons acquires beneficial ownership of more than 5% of a company’s equity securities, they are required to file a Schedule 13D or 13G with the SEC. If these groups intend to influence management into changing the business strategy, they are considered “activist” investors. There is considerable academic research that suggest activist investors contribute to excess returns in equities in the subsequent twelve months after the event.

Investors that acquire 10% or more of a company’s shares, or that gain a board seat, are considered insiders by the SEC and are subject to stricter insider trading filing requirements.

New Activist Investor Filings

Investors that acquire more than 5% of the shares of a company and intend to influence management are considered activist investors and must file a 13D.

G1 Therapeutics, Inc. (GTHX) – Eshelman Fredric N has filed a new SC 13D, reporting a 13.00% ownership stake in G1 Therapeutics.

Marrone Bio Innovations, Inc. (MBII) – Marrone Pamela G has filed a new SC 13D, reporting a 1.38% ownership stake in Marrone Bio Innovations.

MabVax Therapeutics Holdings, Inc. (MBVX) – Honig Barry C has filed a new SC 13D, reporting a 4.99% ownership stake in MabVax Therapeutics Holdings. This is a decrease of 19.77% from their previous filing.

China Commercial Credit, Inc. (CCCR) – Zhang Shuxiang has filed a new SC 13D, reporting a 12.77% ownership stake in China Commercial Credit.

China Commercial Credit, Inc. (CCCR) – Ma Qun has filed a new SC 13D, reporting a 8.84% ownership stake in China Commercial Credit.

New Passive Investor Filings

Investors that acquire more than 5% of the shares of a company but have no intention of influencing management are considered passive investors and must file a 13G.

Tonix Pharmaceuticals Holding Corp. (TNXP) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 8.90% ownership stake in Tonix Pharmaceuticals Holding.

Colony NorthStar, Inc. (CLNS) – Baupost Group LLC/MA has filed a new SC 13G, reporting a 8.78% ownership stake in Colony NorthStar.

Aeglea BioTherapeutics, Inc. (AGLE) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 6.80% ownership stake in Aeglea BioTherapeutics.

Qorvo, Inc. (QRVO) – Baupost Group LLC/MA has filed a new SC 13G, reporting a 8.65% ownership stake in Qorvo.

Cymabay Therapeutics Inc. (CBAY) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 6.80% ownership stake in Cymabay Therapeutics.

Medgenics, Inc. (MDGN) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 6.80% ownership stake in Medgenics.

Rhythm Pharmaceuticals, Inc. (RYTM) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 7.50% ownership stake in Rhythm Pharmaceuticals.

Antero Resources Corporation (AR) – Baupost Group LLC/MA has filed a new SC 13G, reporting a 7.83% ownership stake in Antero Resources. This is an increase of 69.48% from their previous filing.

AMC Entertainment Holdings, Inc. (AMC) – Baupost Group LLC/MA has filed a new SC 13G, reporting a 9.40% ownership stake in AMC Entertainment Holdings.

Ritter Pharmaceuticals, Inc. (RTTR) – Baker Brothers Advisors LP has filed a new SC 13G, reporting a 5.70% ownership stake in Ritter Pharmaceuticals.

Celadon Group, Inc. (CGI) – Towle & Co has filed a new SC 13G, reporting a 9.09% ownership stake in Celadon Group.

Alteryx Inc. (AYX) – Keenan Capital, LLC has filed a new SC 13G, reporting a 3.90% ownership stake in Alteryx.

American Renal Associates Holdings, Inc. (ARA) – Van Berkom & Associates Inc. has filed a new SC 13G, reporting a 8.13% ownership stake in American Renal Associates Holdings. This is an increase of 15.98% from their previous filing.

Alexandria Real Estate Equities, Inc. (ARE) – State Street Corp has filed a new SC 13G, reporting a 5.53% ownership stake in Alexandria Real Estate Equities.

Yelp, Inc. (YELP) – Stoppelman Jeremy has filed a new SC 13G, reporting a 6.30% ownership stake in Yelp. This is a decrease of 16.00% from their previous filing.

Renewable Energy Group, Inc. (REGI) – Towle & Co has filed a new SC 13G, reporting a 4.60% ownership stake in Renewable Energy Group. This is a decrease of 10.51% from their previous filing.

Industrea Acquisition Corp. (INDU) – Industrea Alexandria Llc has filed a new SC 13G, reporting a 19.50% ownership stake in Industrea Acquisition.

Sierra Oncology (SRRA) – Orbimed Advisors Llc has filed a new SC 13G, reporting a 6.13% ownership stake in Sierra Oncology.

Enable Midstream Partners, LP (ENBL) – Oge Energy Corp. has filed a new SC 13G, reporting a new ownership stake in Enable Midstream Partners.

Parker Drilling Co. (PKD) – Towle & Co has filed a new SC 13G, reporting a 7.89% ownership stake in Parker Drilling Co.. This is an increase of 51.15% from their previous filing.

Gentherm Inc. (THRM) – Van Berkom & Associates Inc. has filed a new SC 13G, reporting a 5.42% ownership stake in Gentherm. This is an increase of 2.46% from their previous filing.

Ironwood Pharmaceuticals, Inc. (IRWD) – Henderson Group Plc has filed a new SC 13G, reporting a 6.10% ownership stake in Ironwood Pharmaceuticals.

Bandwidth Inc. (BAND) – Bowen James A has filed a new SC 13G, reporting a new ownership stake in Bandwidth.

KKR Real Estate Finance Trust (KREF) – KKR Fund Holdings L.P. has filed a new SC 13G, reporting a 44.30% ownership stake in KKR Real Estate Finance Trust.

LHC Group, Inc. (LHCG) – LHC Group, Inc has filed a new SC 13G, reporting a 8.10% ownership stake in LHC Group. This is an increase of 1.25% from their previous filing.

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