Bulldog Investors, LLC has filed an SC 13D/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 7,782,988 shares of Emergent Capital, Inc. (NYSE:EMG). Previously, Bulldog Investors, LLC had reported owning 8,837,537 shares, indicating a decrease of -11.93 percent. Emergent Capital, Inc. has declared a standard industrial code (sic) of 6311 which is the “Life Insurance” industry.
Paragon Associates & Paragon Associates Ii Joint Venture has filed an SC 13D/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 1,133,000 shares of CareDx, Inc. (NASDAQ:CDNA). This represents 3.9 percent ownership of the company. Previously, Paragon Associates & Paragon Associates Ii Joint Venture had reported owning 1,431,350 shares, indicating a decrease of -20.84 percent. CareDx, Inc. has declared a standard industrial code (sic) of 8071 which is the "Medical Laboratories" 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.
Basis Energy Services, Inc. (BAS) - Silver Point Capital L.P. has filed a new SC 13D, reporting a new ownership stake in Basis Energy Services.
Amended Activist Investor Filings
Inspired Entertainment, Inc. (INSE) - Landgame S.a.r.l. has filed an amended Schedule 13D/A, reporting a 28.49% ownership stake in Inspired Entertainment. This is a decrease of 39.50% from their previous filing.
Emergent Capital, Inc. (EMG) - Bulldog Investors, LLC has filed an amended Schedule 13D/A, reporting an updated ownership stake in Emergent Capital.
CareDx, Inc. (CDNA) - Paragon Associates & Paragon Associates Ii Joint Venture has filed an amended Schedule 13D/A, reporting a 3.90% ownership stake in CareDx. This is a decrease of 26.42% from their previous filing.
Finjan Holdings, Inc. (FNJN) - Israel Seed Iv L P has filed an amended Schedule 13D/A, reporting a 9.88% ownership stake in Finjan Holdings.
Performant Financial Corp (PFMT) - Philadelphia Financial Management of San Francisco, LLC has filed an amended Schedule 13D/A, reporting a 5.62% ownership stake in Performant Financial. This is a decrease of 23.22% from their previous filing.
Halcon Resources Corporation (HK) - Franklin Resources Inc has filed an amended Schedule 13D/A, reporting a 10.90% ownership stake in Halcon Resources. This is a decrease of 14.84% from their previous filing.
Porter Bancorp, Inc. (PBIB) - Patriot Financial Partners Gp, Lp has filed an amended Schedule 13D/A, reporting a 2.06% ownership stake in Porter Bancorp.
Rosehill Resources Inc. (ROSE) - Geode Capital Management Lp has filed an amended Schedule 13D/A, reporting a 13.20% ownership stake in Rosehill Resources. This is a decrease of 13.16% from their previous filing.
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.
Union Bankshares Corp (UBSH) - Anchorage Capital Group, L.L.C. has filed a new SC 13G, reporting a 6.00% ownership stake in Union Bankshares.
ViewRay, Inc. (VRAY) - Aisling Capital II LP has filed a new SC 13G, reporting a 11.10% ownership stake in ViewRay.
Social Capital Hedosophia Holdings (IPOA) - Sch Sponsor Corp. has filed a new SC 13G, reporting a 20.00% ownership stake in Social Capital Hedosophia Holdings.
Recon Technology, Ltd. (RCON) - Alpha Capital Anstalt has filed a new SC 13G, reporting a 8.40% ownership stake in Recon Technology.
TPG RE Finance Trust, Inc. (TRTX) - Altair Commercial Real Estate Lending Fund, Llc has filed a new SC 13G, reporting a 0.00% ownership stake in TPG RE Finance Trust.
PC Mall, Inc. (PCMI) - Jb Capital Partners Lp has filed a new SC 13G, reporting a 5.50% ownership stake in PC Mall.
Forbes Energy Services Ltd. (FES) - Phoenix Investment Adviser LLC has filed a new SC 13G, reporting a 7.41% ownership stake in Forbes Energy Services.
Illinois Tool Works, Inc. (ITW) - Briar Hall Management Llc has filed a new SC 13G, reporting a 7.60% ownership stake in Illinois Tool Works.
Unique Fabricating, Inc. (UFAB) - Royce & Associates LLC has filed a new SC 13G, reporting a 5.98% ownership stake in Unique Fabricating.
Switch Inc (SWCH) - Norges Bank has filed a new SC 13G, reporting a 5.13% ownership stake in Switch.
Wabash National Corp. (WNC) - Royce & Associates LLC has filed a new SC 13G, reporting a 7.75% ownership stake in Wabash National.
LendingTree, Inc. (TREE) - Baillie Gifford & Co has filed a new SC 13G, reporting a 5.84% ownership stake in LendingTree.
Amended Passive Investor Filings
First Savings Financial Group, Inc. (FSFG) - First Savings Bank Profit Sharing/401(k) Plan has filed an amended Schedule 13D/A, reporting a 6.10% ownership stake in First Savings Financial Group. This is a decrease of 4.69% from their previous filing.
Paramount Gold Nevada Corp. (PZG) - Fcmi Financial Corp Et Al has filed an amended Schedule 13D/A, reporting a 19.70% ownership stake in Paramount Gold Nevada. This is an increase of 16.57% from their previous filing.
Chesapeake Lodging Trust (CHSP) - Goldman Sachs Asset Management, L.p. has filed an amended Schedule 13D/A, reporting a 11.80% ownership stake in Chesapeake Lodging Trust. This is a decrease of 16.90% from their previous filing.
IF Bancorp, Inc. (IROQ) - IF Bancorp, Inc. has filed an amended Schedule 13D/A, reporting a 9.30% ownership stake in IF Bancorp. This is an increase of 38.81% from their previous filing.
First Savings Financial Group, Inc. (FSFG) - First Savings Bank FSB Employee Stock Ownership Plan Trust has filed an amended Schedule 13D/A, reporting a 7.00% ownership stake in First Savings Financial Group. This is a decrease of 10.26% from their previous filing.
Unifirst Corp. (UNF) - Royce & Associates LLC has filed an amended Schedule 13D/A, reporting a 4.93% ownership stake in Unifirst. This is a decrease of 6.27% from their previous filing.
Unisys Corp. (UIS) - Royce & Associates LLC has filed an amended Schedule 13D/A, reporting a 4.21% ownership stake in Unisys. This is a decrease of 20.72% from their previous filing.
Vishay Intertechnology, Inc. (VSH) - Royce & Associates LLC has filed an amended Schedule 13D/A, reporting a 4.77% ownership stake in Vishay Intertechnology. This is a decrease of 7.56% from their previous filing.
Westwood Holdings Group, Inc. (WHG) - Royce & Associates LLC has filed an amended Schedule 13D/A, reporting a 4.57% ownership stake in Westwood Holdings Group. This is a decrease of 22.15% from their previous filing.
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