RA Capital Management, LLC has filed an SC 13D/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 3,933,489 shares of Dicerna Pharmaceuticals, Inc. (NASDAQ:DRNA). This represents 7.6 percent ownership of the company. Previously, RA Capital Management, LLC had reported owning 4,462,313 shares, indicating a decrease of -11.85 percent. Dicerna Pharmaceuticals, Inc. has declared a standard industrial code (sic) of 2834 which is the “Pharmaceutical Preparations” industry.
Zucker Anita G has filed an SC 13D/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 0 shares of Vicon Industries, Inc. (AMEX:VII). This represents 0.0 percent ownership of the company. Previously, Zucker Anita G had reported owning 8,784,824 shares, indicating a decrease of -100.00 percent. Vicon Industries, Inc. has declared a standard industrial code (sic) of 3669 which is the “Communications Equipment, Not Elsewhere Classified” 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.
GenMark Diagnostics, Inc. (GNMK) – Casdin Capital, LLC has filed a new SC 13D, reporting a 7.00% ownership stake in GenMark Diagnostics.
Amended Activist Investor Filings
Appian Corp. (APPN) – Abdiel Qualified Master Fund LP has filed an amended Schedule 13D/A, reporting a 41.00% ownership stake in Appian. This is an increase of 4.33% from their previous filing.
NexPoint Residential Trust, Inc. (NXRT) – Highland Capital Management Lp has filed an amended Schedule 13D/A, reporting a 20.01% ownership stake in NexPoint Residential Trust. This is an increase of 5.54% from their previous filing.
Penske Automotive Group, Inc. (PAG) – Mitsui & Co Ltd has filed an amended Schedule 13D/A, reporting a 15.70% ownership stake in Penske Automotive Group. This is a decrease of 6.55% from their previous filing.
Penske Automotive Group, Inc. (PAG) – Penske Roger S has filed an amended Schedule 13D/A, reporting a 41.50% ownership stake in Penske Automotive Group. This is an increase of 0.97% from their previous filing.
Enersis Chile S.A. (ENIC) – Enel Societa Per Azioni has filed an amended Schedule 13D/A, reporting a 61.90% ownership stake in Enersis Chile S.A.. This is an increase of 2.11% from their previous filing.
BT Group Plc (BT) – Deutsche Telekom Ag has filed an amended Schedule 13D/A, reporting a 12.06% ownership stake in BT Group. This is an increase of 0.50% from their previous filing.
NEULION, INC. (NLN) – AvantaLion LLC has filed an amended Schedule 13D/A, reporting a 8.10% ownership stake in NEULION.
Ferro Corp. (FOE) – Gamco Investors, Inc. Et Al has filed an amended Schedule 13D/A, reporting a 5.40% ownership stake in Ferro. This is a decrease of 11.62% from their previous filing.
Dicerna Pharmaceuticals, Inc. (DRNA) – RA Capital Management, LLC has filed an amended Schedule 13D/A, reporting a 7.60% ownership stake in Dicerna Pharmaceuticals. This is a decrease of 11.63% from their previous filing.
Vicon Industries, Inc. (VII) – Zucker Anita G has filed an amended Schedule 13D/A, reporting a 0.00% ownership stake in Vicon Industries. This is a decrease of 100.00% from their previous filing.
Spectrum Pharmaceuticals, Inc. (SPPI) – Shrotriya Rajesh C Md has filed an amended Schedule 13D/A, reporting a 5.92% ownership stake in Spectrum Pharmaceuticals. This is an increase of 0.34% 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.
North American Energy Partners Inc. (NOA) – Claret Asset Management Corp has filed a new SC 13G, reporting a 6.43% ownership stake in North American Energy Partners.
Amended Passive Investor Filings
TrueCar, Inc. (TRUE) – Anthem Ventures Fund, L.P. has filed an amended Schedule 13D/A, reporting a 0.40% ownership stake in TrueCar. This is a decrease of 93.44% from their previous filing.
North American Energy Partners Inc. (NOA) – Claret Asset Management Corp has filed an amended Schedule 13D/A, reporting a 8.75% ownership stake in North American Energy Partners.
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