Services Allied With The Exchange Of Securities - 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)
2023-01-31 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 40,758,634 8.96 -16.11
2023-01-25 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 48,586,677 10.68 -12.47
2022-11-18 13D/A STEP / StepStone Group Inc. Brem Monte M 53,116,849 48.40 -1.41
2022-11-15 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 31,867,800 19.24 0.00
2022-11-07 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 10,976,577 15.10 -21.43
2022-10-20 13D/A STEP / StepStone Group Inc. Brem Monte M 53,875,521 49.10 0.87
2022-09-21 13D/A APO / Apollo Global Management, Inc. Heritage Trust u/a/d 11/12/2018 26,643,280 4.70 0.00
2022-09-21 13D TURN / 180 Degree Capital Corp. Rendino Kevin 530,011
2022-08-22 13D ENDI / CrossingBridge Advisors, LLC Kiel Steven L 754,015 10.40
2022-08-22 13D ENDI / CrossingBridge Advisors, LLC Sherman David K. 4,704,000 54.02 0.00
2022-08-22 13D ENDI / CrossingBridge Advisors, LLC Cohanzick Management, Llc 6,250,000 67.19 0.00
2022-08-22 13D ENDI / CrossingBridge Advisors, LLC David K. Sherman 1997 Family Trust 1,000,000 13.19 0.00
2022-08-18 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 9,575,491 13.60 -4.88
2022-08-16 13D/A APO / Apollo Global Management, Inc. Black Leon D 52,776,773 9.20 0.00
2022-06-29 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 20,238,188 29.00 8.30
2022-06-15 13D/A IVZ / Invesco Ltd. Massachusetts Mutual Life Insurance Co 81,387,016 17.90 7.56
2022-06-14 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 152,131,004 42.10 -2.39
2022-05-27 13D/A APO / Apollo Global Management, Inc. Heritage Trust u/a/d 11/12/2018 26,643,280 4.60 128.83
2022-05-27 13D/A APO / Apollo Global Management, Inc. Black Leon D 52,776,773 9.20 -22.13
2022-05-25 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,752,493 9.86 -2.00
2022-05-17 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,808,603 10.06 11.31
2022-05-09 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 13,969,644 18.60 -3.71
2022-04-22 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 18,686,408 27.30 4.89
2022-04-01 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 55,508,572 12.05 14.44
2022-03-31 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 31,867,800 18.85 7.04
2022-03-25 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 48,504,114 10.53 6.66
2022-03-09 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 29,772,648 17.61 5.31
2022-03-03 13D APO / Apollo Global Management, Inc. Heritage Trust u/a/d 11/12/2018 11,643,280 2.00 0.00
2022-03-03 13D APO / Apollo Global Management, Inc. Ldb 2014 Llc 6,647,120 1.20 0.00
2022-02-25 13D EVR / Evercore Inc. Hyman Edward S 2,105,693 5.20
2022-02-02 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,523,281 9.14 18.04
2022-02-01 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 28,272,648 16.72 0.00
2022-02-01 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 45,473,859 9.86 0.00
2022-01-11 13D APO / Apollo Global Management, Inc. Rowan Marc J 35,082,816 6.10
2022-01-11 13D APO / Apollo Global Management, Inc. Heritage Trust u/a/d 11/12/2018 11,643,280 2.00
2022-01-11 13D APO / Apollo Global Management, Inc. Ldb 2014 Llc 6,647,120 1.20
2022-01-11 13D APO / Apollo Global Management, Inc. Black Leon D 67,776,773 11.90
2022-01-11 13D APO / Apollo Global Management, Inc. Harris Joshua 38,390,365 6.70
2022-01-06 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 28,272,648 16.72 0.00
2022-01-05 13D/A WHG / Westwood Holdings Group, Inc. JCP Investment Management, LLC 860,416 10.40 0.00
2021-12-16 13D OWL / Blue Owl Capital Inc. NBSH Acquisition, LLC 0 0.00
2021-12-15 13D/A IVZ / Invesco Ltd. Trian Fund Management, L.p. 45,473,859 9.86 0.04
2021-12-13 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 28,272,648 16.63 7.41
2021-11-26 13D/A STEP / StepStone Group Inc. Brem Monte M 53,413,113 53.30 -6.08
2021-11-24 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,137,680 7.75 -12.56
2021-11-19 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 155,855,386 43.70 -3.80
2021-11-19 13D/A STEP / StepStone Group Inc. ARG Private Equity, LLC 3,830,328 6.02 -24.24
2021-11-16 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 26,321,193 15.43 6.97
2021-11-08 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 14,507,436 51.20 -6.32
2021-11-04 13D/A STEP / StepStone Group Inc. Brem Monte M 56,873,296 57.60 -1.09