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)
2025-08-20 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 295,200 5.04 5.63
2025-07-16 13D FINS / Angel Oak Financial Strategies Income Term Trust Karpus Management, Inc. 5,513,520 16.50 46.19
2025-06-12 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-05-29 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 0.00
2025-05-22 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,941,323 42.00 -0.11
2025-05-06 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 6,730,814 34.26 -0.22
2025-04-16 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 6,745,814 34.34 286.40
2025-04-16 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 7,413,590 37.74 207.16
2025-04-14 13D/A VIRT / Virtu Financial, Inc. Viola Vincent J 67,483,466 45.20 -1.83
2025-03-25 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,745,814 11.87 9.71
2025-03-25 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 2,413,590 16.41 6.84
2025-03-25 13D/A GGT / The Gabelli Multimedia Trust Inc. Gamco Investors, Inc. Et Al 1,171,396 3.50 5.84
2025-03-20 13D/A BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 279,478 4.79 -6.06
2025-03-19 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 6,324,742 7.09 15.54
2025-03-05 13D/A SIEB / Siebert Financial Corp. Gloria E. Gebbia 16,959,323 42.00
2025-02-28 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 28.80 0.00
2025-02-21 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,591,255 11.05
2025-02-13 13D BCV / Bancroft Fund Ltd. Saba Capital Management, L.P. 297,511 5.10
2025-02-12 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 1,329,350 0.10 -99.02
2025-02-12 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 1,091,255 9.64
2025-02-12 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 2,259,031 19.96
2025-01-03 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 803,071 11.41 62.58
2025-01-03 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 1,970,847 28.01 18.60
2024-12-26 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 27.40 0.00
2024-12-03 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 275,702 14.14 16.97
2024-12-03 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,320,616 70.74 0.86
2024-11-01 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 27.40 0.00
2024-10-18 13D GDV / The Gabelli Dividend & Income Trust Gamco Investors, Inc. Et Al
2024-10-10 13D/A TIGR / UP Fintech Holding Limited - Depositary Receipt (Common Stock) Interactive Brokers Group, Inc. 75,380,162 3.10
2024-10-08 13D/A GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 5,474,107 6.09 20.19
2024-08-23 13D/A SCHW / The Charles Schwab Corporation Toronto Dominion Bank 135,109,332 7.60 -23.14
2024-08-09 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00 0.00
2024-08-01 13D GDV / The Gabelli Dividend & Income Trust Saba Capital Management, L.P. 4,554,569 5.06
2024-06-13 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 1,661,729 26.36 12.02
2024-06-13 13D/A DOMH / Dominari Holdings Inc. Hayes Anthony 493,953 7.83 55.67
2024-04-18 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00 0.00
2024-03-25 13D/A WT / WisdomTree, Inc. Etf Securities Ltd 15,250,000 10.00
2024-02-28 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 26.10 0.00
2024-01-23 13D/A SIEB / Siebert Financial Corp. Gebbia Richard 16,960,323 43.00 -0.21
2024-01-08 13D/A GCV / The Gabelli Convertible and Income Securities Fund Inc. Gamco Investors, Inc. Et Al 100,000 15.63 -50.00
2023-12-28 13D DOMH / Dominari Holdings Inc. Hayes Anthony 317,310 5.30
2023-12-28 13D/A DOMH / Dominari Holdings Inc. Wool Kyle Michael 1,483,420 27.75 81.13
2023-12-18 13D/A SIEB / Siebert Financial Corp. Gebbia Richard 16,996,323 43.00 0.00
2023-12-15 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 25.00 0.00
2023-12-04 13D/A COHN / Cohen & Company Inc. Cohen Daniel G 4,283,862 72.33 1.09
2023-12-04 13D/A COHN / Cohen & Company Inc. Brafman Lester Raymond 235,702 12.94 20.44
2023-10-27 13D/A NAVI / Navient Corporation Sherborne Investors Management LP 29,449,997 25.00
2023-10-16 13D/A MS / Morgan Stanley Mitsubishi Ufj Financial Group Inc 378,962,810 22.87 0.07
2023-07-21 13D/A XP / XP Inc. Itausa S.A. 17,870,985 4.10 -23.86
2023-07-11 13D/A XP / XP Inc. General Atlantic Llc 29,617,733 7.10 0.00