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)
2017-03-17 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 50,885,563 69.80 -0.60
2017-03-17 13D/A HLI / Houlihan Lokey, Inc. ORIX HLHZ Holding LLC 50,891,433 69.80 -1.94
2017-03-02 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 17,793,263 28.70 -8.16
2017-03-01 13D/A APAM / Artisan Partners Asset Management Inc. Ziegler Andrew A 3,455,973 6.60 -50.32
2017-02-22 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 51,191,433 71.10 -5.09
2017-02-16 13D/A HLI / Houlihan Lokey, Inc. Preiser David A 670,960 3.10 -5.59
2017-02-16 13D/A HLI / Houlihan Lokey, Inc. Adelson Scott Joseph 1,023,398 4.70 -6.15
2017-02-14 13D/A HLI / Houlihan Lokey, Inc. ORIX HLHZ Holding LLC 51,895,690 71.40 -2.16
2017-02-10 13D/A HLI / Houlihan Lokey, Inc. Hl Voting Trust 53,939,419 80.90 1.69
2017-02-06 13D/A GLAE / GlassBridge Enterprises, Inc. Clinton Group Inc 14,129,387 37.90 767.16
2016-12-20 13D GLAE / GlassBridge Enterprises, Inc. Clinton Group Inc 1,629,387 4.40
2016-12-20 13D GLAE / GlassBridge Enterprises, Inc. Clinton Group Inc 1,629,387 4.40
2016-12-07 13D/A HLI / Houlihan Lokey, Inc. Houlihan Lokey, Inc. 53,939,419 80.90
2016-12-06 13D/A HLI / Houlihan Lokey, Inc. Houlihan Lokey, Inc. 80.90
2016-10-27 13D/A VRTS / Virtus Investment Partners, Inc. Bank Of Montreal /can/ 150 0.00 -99.99
2016-10-19 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 19,374,463 33.80 -8.11
2016-07-25 13D/A RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,356,901 12.40 11.61
2016-07-12 13D RILY / B. Riley Financial, Inc. DJ Fund Investments, LLC - Series E 2,111,791 11.10
2016-06-17 13D/A VRTS / Virtus Investment Partners, Inc. Bank Of Montreal /can/ 1,727,896 22.40
2016-06-07 13D/A DBRG / DigitalBridge Group, Inc. Barrack Thomas Jr 20,023,129 15.10 -5.55
2016-06-01 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 21,083,522 35.80 -3.04
2016-03-29 13D/A IWSH / Wright Investors' Service Holdings, Inc. Gamco Investors, Inc. Et Al 1,450,300 7.57
2016-03-09 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 21,743,799 37.00 -3.06
2016-02-19 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 22,430,061 38.10 2.05
2016-01-05 13D/A AB / AllianceBernstein Holding L.P. - Limited Partnership Axa Financial Inc 1,444,356 1.40
2015-10-30 13D/A GLAE / GlassBridge Enterprises, Inc. Tdk Corp 915,000 2.60 -87.95
2015-10-20 13D/A HNNA / Hennessy Advisors, Inc. Almond Charles M 231,080 4.60 -52.53
2015-10-15 13D/A WHG / Westwood Holdings Group, Inc. Gamco Investors, Inc. Et Al 577,318 6.71
2015-10-13 13D PJT / PJT Partners Inc. Schwarzman Stephen A 1,180,218 6.60
2015-09-30 13D/A GLAE / GlassBridge Enterprises, Inc. Tdk Corp 7,590,764 18.20
2015-08-28 13D HLI / Houlihan Lokey, Inc. Preiser David A 710,681 5.60
2015-08-28 13D HLI / Houlihan Lokey, Inc. Adelson Scott Joseph 1,090,455 8.30
2015-08-28 13D HLI / Houlihan Lokey, Inc. Hl Voting Trust 53,043,085 81.40
2015-08-28 13D HLI / Houlihan Lokey, Inc. ORIX HLHZ Holding LLC 53,043,250 81.40
2015-07-09 13D/A DHIL / Diamond Hill Investment Group, Inc. Dillon Roderick H Jr 262,701 7.70 -12.04
2015-06-18 13D HNNA / Hennessy Advisors, Inc. Almond Charles M 486,800 8.10
2015-06-05 13D/A BKFG / BKF Capital Group, Inc. Ancora Advisors, LLC 400,000 5.37
2015-05-07 13D/A APAM / Artisan Partners Asset Management Inc. Ziegler Andrew A 6,955,973 15.10
2015-04-13 13D DBRG / DigitalBridge Group, Inc. Barrack Thomas Jr 21,199,573 16.00
2015-04-09 13D/A DHIL / Diamond Hill Investment Group, Inc. Dillon Roderick H Jr 298,658 8.80
2015-03-10 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 21,979,192 38.20
2015-02-20 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 24,462,102 43.70
2014-07-25 13D/A RILY / B. Riley Financial, Inc. Liverpool Limited Partnership 1,499,270 9.40
2014-07-21 13D/A APAM / Artisan Partners Asset Management Inc. Colson Eric R 24,494,808 45.30
2014-06-30 13D RILY / B. Riley Financial, Inc. Riley Bryant R 3,953,285 24.74
2014-06-23 13D/A WHG / Westwood Holdings Group, Inc. Gamco Investors, Inc. Et Al 655,335 7.95
2014-05-22 13D/A RILY / B. Riley Financial, Inc. Elliott Associates, L.P. 29,985,400 12.70
2014-05-15 13D/A IWSH / Wright Investors' Service Holdings, Inc. Gamco Investors, Inc. Et Al 1,570,600 8.50
2014-03-13 13D/A APAM / Artisan Partners Asset Management Inc. Ziegler Andrew A 8,183,498 21.96
2014-03-12 13D APAM / Artisan Partners Asset Management Inc. Colson Eric R 23,184,805 45.70