Stocks

Cyclacel Pharmaceuticals, Inc. (CYCC) reports new 9.5% owner; Neuralstem, Inc. (CUR) reports new 5.83% owner

Hudson Bay Capital Management LP has filed an SC 13G form with the Securities and Exchange Commission (SEC) disclosing ownership of 1,250,000 shares of Cyclacel Pharmaceuticals, Inc. (NASDAQ:CYCC). This represents 9.5 percent ownership of the company. Cyclacel Pharmaceuticals, Inc. has declared a standard industrial code (sic) of 2834 which is the “Pharmaceutical Preparations” industry.

Hudson Bay Capital Management LP has filed an SC 13G form with the Securities and Exchange Commission (SEC) disclosing ownership of 937,500 shares of Neuralstem, Inc. (NASDAQ:CUR). This represents 5.83 percent ownership of the company. Neuralstem, Inc. has declared a standard industrial code (sic) of 2836 which is the “Biological Products, Except Diagnostic Substances (Biotech)” 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.

Orion Energy Systems, Inc. (OESX) – Kamin Peter H has filed a new SC 13D, reporting a 6.20% ownership stake in Orion Energy Systems.

Par Technology Corp. (PAR) – Voss Capital Llc has filed a new SC 13D, reporting a 6.90% ownership stake in Par Technology.

National Research Corp. (NRCIA) – Amandla Mk Trust has filed a new SC 13D, reporting a 53.20% ownership stake in National Research.

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.

Blue Apron Holdings Inc (APRN) – River & Mercantile Asset Management Llp has filed a new SC 13G, reporting a 7.40% ownership stake in Blue Apron Holdings.

SenesTech, Inc. (SNES) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 5.45% ownership stake in SenesTech.

I-AM Capital Acquisition Company (IAM) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 6.24% ownership stake in I-AM Capital Acquisition.

FuelCell Energy, Inc. (FCEL) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 8.99% ownership stake in FuelCell Energy.

Neuralstem, Inc. (CUR) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 5.83% ownership stake in Neuralstem.

Cyclacel Pharmaceuticals, Inc. (CYCC) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 9.50% ownership stake in Cyclacel Pharmaceuticals.

Saban Capital Acquisition Corp. (SCACU) – Hartford Mutual Funds Inc/ct has filed a new SC 13G, reporting a 0.00% ownership stake in Saban Capital Acquisition. This is a decrease of 100.00% from their previous filing.

Invuity, Inc. (IVTY) – Hartford Mutual Funds Inc/ct has filed a new SC 13G, reporting a 0.00% ownership stake in Invuity. This is a decrease of 100.00% from their previous filing.

Mattel, Inc. (MAT) – Vanguard Chester Funds has filed a new SC 13G, reporting a 7.05% ownership stake in Mattel.

Carvana Co. (CVNA) – Vanguard Explorer Fund has filed a new SC 13G, reporting a 8.07% ownership stake in Carvana Co..

Kindred Healthcare, Inc. (KND) – Vanguard Explorer Fund has filed a new SC 13G, reporting a 5.82% ownership stake in Kindred Healthcare.

Powell Industries, Inc. (POWL) – Heartland Advisors Inc has filed a new SC 13G, reporting a 5.00% ownership stake in Powell Industries.

CyrusOne Inc. (CONE) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 6.39% ownership stake in CyrusOne. This is an increase of 36.83% from their previous filing.

CSI Compressco LP (CCLP) – Hudson Bay Capital Management LP has filed a new SC 13G, reporting a 9.87% ownership stake in CSI Compressco.

Quantum Corp. (QTM) – Portolan Capital Management, LLC has filed a new SC 13G, reporting a 5.58% ownership stake in Quantum.

TAL International Group, Inc. (TAL) – Vanguard World Fund has filed a new SC 13G, reporting a 5.38% ownership stake in TAL International Group.

Coda Octopus Group, Inc. (CODA) – Forest Manor N.V. has filed a new SC 13G, reporting a 9.90% ownership stake in Coda Octopus Group.

Chicken Soup for the Soul Entertainment, Inc. (CSSE) – Vanguard Index Funds has filed a new SC 13G, reporting a 5.31% ownership stake in Chicken Soup for the Soul Entertainment.

TriMas Corp. (TRS) – Pzena Investment Management Llc has filed a new SC 13G, reporting a 5.20% ownership stake in TriMas.

UMH Properties, Inc. (UMH) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.89% ownership stake in UMH Properties.

JBG SMITH Properties (JBGS) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.39% ownership stake in JBG SMITH Properties.

Acadia Healthcare Company, Inc. (ACHC) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.23% ownership stake in Acadia Healthcare.

TESARO, Inc. (TSRO) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.51% ownership stake in TESARO.

Park Hotels & Resorts Inc. (PK) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.04% ownership stake in Park Hotels & Resorts.

Alexander & Baldwin, Inc. (ALEX) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 6.39% ownership stake in Alexander & Baldwin.

Altisource Residential Corp (RESI) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 6.38% ownership stake in Altisource Residential.

Preferred Apartment Communities, Inc. (APTS) – Vanguard Specialized Funds has filed a new SC 13G, reporting a 5.99% ownership stake in Preferred Apartment Communities.

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