Security Brokers, Dealers, And Flotation - 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)
2023-07-11 13D/A XP / XP Inc. XP Control LLC 18.90
2023-07-06 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 819,001 17.83 190.63
2023-07-05 13D/A JEF / Jefferies Financial Group Inc. Steinberg Joseph S 9.97
2023-06-29 13D/A SIEB / Siebert Financial Corp. Gebbia Richard 16,996,323 42.00 839.84
2023-06-28 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.20 0.00
2023-06-21 13D/A SIEB / Siebert Financial Corp. Gebbia John M. 16,996,323 42.00 -2.54
2023-06-09 13D/A XP / XP Inc. General Atlantic Llc 29,617,733 7.10 16.98
2023-06-08 13D/A XP / XP Inc. Itausa S.A. 23,470,985 5.20 -33.83
2023-05-30 13D SIEB / Siebert Financial Corp. Kakaopay Corp 8,075,607
2023-05-12 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.20 0.00
2023-04-14 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.20 0.00
2023-04-13 13D/A SIEB / Siebert Financial Corp. Gebbia John M. 17,439,200 54.00 1,021.76
2023-02-27 13D/A SCHW / The Charles Schwab Corporation Schwab Charles R 107,999,275 6.10 -18.39
2023-02-14 13D/A XP / XP Inc. XP Control LLC 18.50
2023-02-07 13D GCV / The Gabelli Convertible and Income Securities Fund Inc. Gamco Investors, Inc. Et Al 200,000 13.33 -82.14
2022-12-28 13D DOMH / Dominari Holdings Inc. Wool Kyle Michael 281,799 5.09
2022-12-21 13D/A SIEB / Siebert Financial Corp. Siebert Financial Corp 17,539,200 54.00 -1.68
2022-12-16 13D/A WT / WisdomTree, Inc. ETFS Capital (Holdings) Ltd 15,250,000 10.40 0.00
2022-12-05 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,237,734 72.03 2.34
2022-12-05 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 195,702 11.40 34.09
2022-11-17 13D/A XP / XP Inc. Itausa S.A. 35,470,985 7.90 -30.41
2022-10-05 13D/A XP / XP Inc. Itausa S.A. 50,970,985 11.40 -11.31
2022-09-20 13D/A GCV / The Gabelli Convertible and Income Securities Fund Inc. Gamco Investors, Inc. Et Al 1,120,000 5.88
2022-08-24 13D XP / XP Inc. General Atlantic Llc 25,317,733 5.70 -59.75
2022-08-08 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 378,708,971 22.06 0.06
2022-08-04 13D/A IBKR / Interactive Brokers Group, Inc. IBG Holdings LLC 316,609,102 76.10 -2.87
2022-08-03 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 175,778,751 9.60 -1.03
2022-07-07 13D/A XP / XP Inc. Itausa S.A. 57,470,985 12.90 -10.86
2022-07-01 13D/A GLU / The Gabelli Global Utility & Income Trust Gamco Investors, Inc. Et Al 486,810 8.16 36.08
2022-05-27 13D/A WT / WisdomTree, Inc. ETFS Capital (Holdings) Ltd 15,250,000 10.40
2022-05-12 13D HOOD / Robinhood Markets, Inc. Emergent Fidelity Technologies Ltd. 56,273,469 7.60
2022-05-06 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.40 0.00
2022-05-05 13D/A HOOD / Robinhood Markets, Inc. New Enterprise Associates 15, L.P.
2022-04-29 13D/A XP / XP Inc. XP Control LLC 18.50
2022-04-18 13D/A NAVI / Navient Corporation Sherborne Investors LP 29,449,997 19.70 0.00
2022-04-04 13D/A NAVI / Navient Corporation Sherborne Investors LP 29,449,997 19.40 109.22
2022-03-24 13D/A XP / XP Inc. Itausa S.A. 64,470,985 15.20 -15.69
2022-03-22 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.50 0.00
2022-03-22 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,140,951 72.95 33.30
2022-03-18 13D/A NAVI / Navient Corporation Sherborne Investors LP 14,076,326 9.30 13.28
2022-03-11 13D/A NAVI / Navient Corporation Sherborne Investors LP 12,426,285 8.20 20.15
2022-03-10 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.50 0.00
2022-03-07 13D/A XP / XP Inc. XP Control LLC 19.40
2022-03-04 13D NAVI / Navient Corporation Sherborne Investors LP 10,342,681 6.80
2022-02-09 13D/A HOOD / Robinhood Markets, Inc. New Enterprise Associates 15, L.P. 48,068,749 6.50 -35.73
2022-01-24 13D WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.50 0.00
2022-01-13 13D/A SIEB / Siebert Financial Corp. Siebert Financial Corp 17,838,473 55.00
2021-12-27 13D XP / XP Inc. XP Control LLC 19.40
2021-12-20 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 68,742,107 38.40 -0.94
2021-12-16 13D/A XP / XP Inc. Itausa S.A. 76,470,985 18.00 -9.26