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)
2021-10-28 13D/A STEP / StepStone Group Inc. Brem Monte M 57,501,642 58.30 -1.00
2021-10-04 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 24,606,902 14.43 9.83
2021-09-29 13D/A STEP / StepStone Group Inc. Brem Monte M 58,084,061 59.20 27.95
2021-09-29 13D STEP / StepStone Group Inc. Jeffrey David 3,727,532 6.60
2021-09-29 13D STEP / StepStone Group Inc. Bradley Thomas Alcott 4,172,106 7.30
2021-09-29 13D STEP / StepStone Group Inc. Maruszewski Mark 4,200,764 7.30
2021-09-24 13D STEP / StepStone Group Inc. Lim James 7,812,987 14.70 0.00
2021-09-24 13D STEP / StepStone Group Inc. Newhall Charles Ashton 4,873,769 9.20 0.00
2021-09-17 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 18,511,638 34.70 -4.51
2021-09-01 13D/A KKR / KKR & Co. Inc. VA Partners I, LLC 25,441,249 4.40 -19.45
2021-08-31 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 162,010,246 45.40 -3.08
2021-08-17 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 167,157,762 46.80 -2.71
2021-08-06 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 171,806,879 48.00 -3.76
2021-07-29 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 178,519,708 50.40 -7.74
2021-07-19 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 22,405,499 13.00 8.41
2021-07-13 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 193,501,508 54.60 -2.76
2021-05-19 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 20,667,628 11.99 0.32
2021-05-14 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Equitable Holdings, Inc. 4,011,194 4.00 0.00
2021-05-12 13D/A JHG / Janus Henderson Group plc Trian Fund Management, L.p. 20,601,246 11.95 14.03
2021-05-11 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 10,066,837 14.70 -6.76
2021-04-29 13D/A WHG / Westwood Holdings Group, Inc. JCP Investment Management, LLC 860,416 10.40 20.72
2021-04-19 13D/A VCTR / Victory Capital Holdings, Inc. Brown David Craig 15,486,687 53.00 -1.47
2021-04-15 13D WHG / Westwood Holdings Group, Inc. JCP Investment Management, LLC 712,718 8.50
2021-03-25 13D/A STEP / StepStone Group Inc. ARG Private Equity, LLC 5,055,544 11.60 -22.17
2021-03-25 13D/A STEP / StepStone Group Inc. Brem Monte M 45,397,305 54.40 -14.60
2021-03-19 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 19,386,724 36.40 -7.18
2021-03-19 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 198,993,953 56.10 -2.55
2021-03-12 13D/A KKR / KKR & Co. Inc. VA Partners I, LLC 31,584,672 5.50 -16.99
2021-03-02 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 10,797,068 15.70 -8.43
2021-02-09 13D/A JHG / Janus Henderson Group plc Dai-ichi Life Holdings, Inc. 0 0.00 -100.00
2021-02-04 13D/A JHG / Janus Henderson Group plc Dai-ichi Life Holdings, Inc. 30,668,922 17.00 0.00
2021-01-20 13D MDLM / Medley Management Inc. Taube Brook 999,999 32.80
2021-01-20 13D MDLM / Medley Management Inc. Taube Seth 499,999 16.40
2021-01-14 13D/A IWSH / Wright Investors' Service Holdings, Inc. Moglia Joseph H 0 0.00
2021-01-14 13D/A IWSH / Wright Investors' Service Holdings, Inc. Moglia Joseph H 0 0.00
2021-01-08 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 204,199,217 57.80 -1.90
2021-01-06 13D/A GLAE / GlassBridge Enterprises, Inc. Hall George E. 7,578 30.14
2021-01-04 13D/A IWSH / Wright Investors' Service Holdings, Inc. Miller William H III 3,453,338 17.41 20.31
2020-11-18 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,444,840 9.61 3.73
2020-11-17 13D/A CG / The Carlyle Group Inc. Carlyle Group Management L.L.C. 208,150,016 58.90 -1.12
2020-11-16 13D/A IVZ / Invesco Ltd. Massachusetts Mutual Life Insurance Co 75,665,666 16.50 -0.36
2020-11-12 13D/A KKR / KKR & Co. Inc. VA Partners I, LLC 38,050,000 6.70 -20.89
2020-11-12 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 17,814,883 25.70 -3.83
2020-11-05 13D IVZ / Invesco Ltd. Trian Fund Management, L.p. 45,457,427 9.90 0.00
2020-10-02 13D JHG / Janus Henderson Group plc Trian Fund Management, L.p. 18,066,612 9.90
2020-10-02 13D IVZ / Invesco Ltd. Trian Fund Management, L.p. 45,457,427 9.90
2020-09-22 13D STEP / StepStone Group Inc. ARG Private Equity, LLC 6,495,358 18.20 0.00
2020-09-21 13D STEP / StepStone Group Inc. Brem Monte M 53,157,491 64.50
2020-09-21 13D STEP / StepStone Group Inc. ARG Private Equity, LLC 6,495,358 18.20
2020-09-11 13D/A HLNE / Hamilton Lane Incorporated Hla Investments Llc 20,887,210 39.30 -9.27