Security Brokers, Dealers, and Flotation Companies - Latest Activist Disclosures

This table shows recent activist investor (Schedule 13D) filings made in this industry. Any investor or hedge fund that makes an investment with the intention of influencing management is considered an activist investor and must file a 13D.

Date Form Target Company Investor Shares Ownership
(Percent)		 Ownership Change
(Percent)
2019-07-25 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 22,052,176 9.60 -14.02
2019-07-15 13D/A GDV / The Gabelli Dividend & Income Trust Bank Of America Corp /de/ 5,990 60.37 -4.66
2019-05-21 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,926,957 36.70 -15.28
2019-05-09 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,186,977 63.30 -0.05
2019-05-02 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 25,649,480 10.70 0.00
2019-04-04 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,195,377 63.30 -0.29
2019-03-21 13D FUTU / Futu Holdings Limited - Depositary Receipt (Common Stock) General Atlantic Llc 46,666,666 13.60
2019-02-21 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 25,649,480 10.40 0.00
2019-02-20 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 25,649,480 10.40 0.00
2019-02-19 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 25,649,480 10.40 0.84
2019-01-11 13D/A GS / The Goldman Sachs Group, Inc. Goldman Sachs Group Inc 17,822,738 4.79 -6.37
2019-01-07 13D/A GLU / The Gabelli Global Utility & Income Trust Gamco Investors, Inc. Et Al 357,736 6.66 37.79
2019-01-02 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,245,377 63.50 -1.03
2018-12-31 13D GLU / The Gabelli Global Utility & Income Trust Gamco Investors, Inc. Et Al 88,828 7.06
2018-12-28 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Vector Group Ltd 15,191,205 10.40 0.00
2018-12-27 13D/A LTSK / Osaic Financial Services, Inc. - Corporate Bond/Note Frost Phillip Md Et Al 7,024,630 4.79
2018-12-03 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 49,156 4.07
2018-11-19 13D/A GDV / The Gabelli Dividend & Income Trust Bank Of America Corp /de/ 6,283 52.17
2018-10-04 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 420,745,409 24.11 -3.30
2018-09-26 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 842,468 43.87
2018-09-11 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,424,577 64.20 0.06
2018-07-31 13D/A IBKR / Interactive Brokers Group, Inc. IBG Holdings LLC 1,537,727 82.20 -33.17
2018-06-08 13D/A GLU / The Gabelli Global Utility & Income Trust Gamco Investors, Inc. Et Al 259,623 6.31
2018-05-15 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 80,173,939 43.50 -15.49
2018-05-15 13D/A VIRT / Virtu Financial, Inc. Temasek Holdings (Private) Ltd 16,880,503 16.20 -16.97
2018-05-04 13D/A NAVI / Navient Corporation Canyon Capital Advisors Llc 25,435,480 9.60 24.43
2018-04-25 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,414,577 64.10 0.00
2018-04-18 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 435,084,709 24.53 0.03
2018-04-04 13D NAVI / Navient Corporation Canyon Capital Advisors Llc 20,441,712 7.80 34.04
2018-03-05 13D/A GS / The Goldman Sachs Group, Inc. Goldman Sachs Group Inc 19,035,336 5.00 -16.34
2018-03-05 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 434,972,685 24.28 -0.15
2018-02-26 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 17,414,577 64.10 -20.06
2018-02-23 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 349,156 22.19
2018-02-23 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 722,468 39.01
2018-02-23 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 722,468 39.01 5.89
2018-02-23 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 349,156 22.19 -89.13
2018-01-26 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 21,783,432 80.20 -3.17
2018-01-11 13D/A SIEB / Siebert Financial Corp. Kennedy Cabot Acquisition, LLC 22,497,132 82.80 11.69
2018-01-11 13D/A SCHW / The Charles Schwab Corporation Schwab Charles R 150,577,477 11.20 -6.15
2018-01-05 13D/A COHN / Cohen & Company Inc. Ricciardi Christopher 151,813 11.38
2018-01-05 13D/A COHN / Cohen & Company Inc. Ricciardi Christopher 151,813 11.38 15.17
2018-01-02 13D/A COHN / Cohen & Company Inc. Ricciardi Christopher 131,813 9.88
2018-01-02 13D/A COHN / Cohen & Company Inc. Ricciardi Christopher 131,813 9.88 -87.05
2017-12-20 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 682,277 37.22
2017-12-20 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 682,277 37.22 -90.23
2017-12-04 13D/A GS / The Goldman Sachs Group, Inc. Goldman Sachs Group Inc 22,753,385 5.99 21.67
2017-11-28 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 435,610,060 23.26 0.07
2017-11-14 13D/A FRHC / Freedom Holding Corp. Turlov Timur R 45,405,112 87.40
2017-10-10 13D/A GGT / The Gabelli Multimedia Trust Inc. Gamco Investors, Inc. Et Al 779,874 3.21
2017-09-18 13D/A FRHC / Freedom Holding Corp. Turlov Timur R 29,647,101 93.00