Alpha Capital Anstalt has filed an SC 13G/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 199,404 shares of Cleveland BioLabs, Inc. (NASDAQ:CBLI). This represents 1.77 percent ownership of the company. Previously, Alpha Capital Anstalt had reported owning 703,463 shares, indicating a decrease of -71.65 percent. Cleveland BioLabs, Inc. has declared a standard industrial code (sic) of 8731 which is the “Commercial Physical and Biological Research” industry.
Crystal Roger has filed an SC 13D form with the Securities and Exchange Commission (SEC) disclosing ownership of 733,475 shares of Opiant Pharmaceuticals, Inc. (NASDAQ:OPNT). This represents 22.5 percent ownership of the company. Opiant Pharmaceuticals, Inc. has declared a standard industrial code (sic) of 10 which is the “Metal Mining” 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.
Opiant Pharmaceuticals, Inc. (OPNT) – Crystal Roger has filed a new SC 13D, reporting a 22.50% ownership stake in Opiant Pharmaceuticals.
Entellus Medical, Inc. (ENTL) – Stryker Corp has filed a new SC 13D, reporting a 100.00% ownership stake in Entellus Medical. This is an increase of 178.55% from their previous filing.
Opiant Pharmaceuticals, Inc. (OPNT) – Sinclair Michael has filed a new SC 13D, reporting a 24.00% ownership stake in Opiant Pharmaceuticals.
Opiant Pharmaceuticals, Inc. (OPNT) – Pollack Kevin has filed a new SC 13D, reporting a 27.30% ownership stake in Opiant Pharmaceuticals.
Amended Activist Investor Filings
Spectrum Pharmaceuticals, Inc. (SPPI) – Shrotriya Rajesh C Md has filed an amended Schedule 13D/A, reporting a 5.90% ownership stake in Spectrum Pharmaceuticals. This is a decrease of 33.63% from their previous filing.
Scripps Company (SSP) – Gamco Investors, Inc. Et Al has filed an amended Schedule 13D/A, reporting a 11.77% ownership stake in Scripps. This is a decrease of 0.93% from their previous filing.
Crystal Rock Holdings, Ltd. (CRVP) – Rapaport Ross S has filed an amended Schedule 13D/A, reporting a 25.30% ownership stake in Crystal Rock Holdings. This is an increase of 33.86% from their previous filing.
Twin Disc, Incorporated (TWIN) – Gamco Investors, Inc. Et Al has filed an amended Schedule 13D/A, reporting a 11.32% ownership stake in Twin Disc. This is an increase of 8.53% from their previous filing.
Emerson Radio Corporation (MSN) – S&t International Distribution Ltd. has filed an amended Schedule 13D/A, reporting a 64.60% ownership stake in Emerson Radio. This is an increase of 4.87% from their previous filing.
PAVmed Inc. (PAVM) – Greenspan Ira Scott has filed an amended Schedule 13D/A, reporting a 33.90% ownership stake in PAVmed.
Acorda Therapeutics, Inc. (ACOR) – Scopia Capital Management Lp has filed an amended Schedule 13D/A, reporting a 18.10% ownership stake in Acorda Therapeutics. This is a decrease of 0.55% from their previous filing.
M III Acquisition Corp. (MIII) – M Iii Sponsor I Llc has filed an amended Schedule 13D/A, reporting a 21.08% ownership stake in M III Acquisition. This is a decrease of 9.53% 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.
Carolina Trust Bank (Lincolnton NC) (CART) – Pratt Brian has filed a new SC 13G, reporting a 5.70% ownership stake in Carolina Trust Bank.
AAC Holdings, Inc. (AAC) – Menz Victoria has filed a new SC 13G, reporting a 7.00% ownership stake in AAC Holdings.
Amended Passive Investor Filings
Internap Corporation (INAP) – Park West Asset Management LLC has filed an amended Schedule 13D/A, reporting a 5.10% ownership stake in Internap. This is a decrease of 43.96% from their previous filing.
Regal Entertainment Group (RGC) – ANSCHUTZ Corp has filed an amended Schedule 13D/A, reporting a 0.00% ownership stake in Regal Entertainment Group. This is a decrease of 100.00% from their previous filing.
Regal Entertainment Group (RGC) – Anschutz Foundation The has filed an amended Schedule 13D/A, reporting a 0.00% ownership stake in Regal Entertainment Group. This is a decrease of 100.00% from their previous filing.
Cleveland BioLabs, Inc. (CBLI) – Alpha Capital Anstalt has filed an amended Schedule 13D/A, reporting a 1.77% ownership stake in Cleveland BioLabs. This is a decrease of 72.98% from their previous filing.
Garmin Ltd. (GRMN) – Burrell Jonathan has filed an amended Schedule 13D/A, reporting a 13.80% ownership stake in Garmin. This is a decrease of 0.72% from their previous filing.
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