Date updated:10-11-2008
Each week Barron's has a 13D Filings column. 13Ds are filed when a fund (usually an activist hedge fund) accumulates more than 5% of a firm and is planning on pushing for change (e.g.a sale of the company, sale of certain assets, a share buyback, or a share dividend) to unlock value.

-
BRKS
Brooks Automation - $3.93
- -1.75%
- $3.99
David Nierenberg's D3 Family Funds want Brooks Automation to "commit to an immediate and continuing substantial share-repurchase program." Nierenberg maintains that the company can generate sufficient cash over the next three or four years both to fund aggressive buybacks and roughly double its revenues through internal growth and acquisitions. Nierenberg also contends that Brooks has the financial strength to attain these objectives without borrowing money. The D3 Family Funds currently hold 6,346,806 shares (9.98% of the total outstanding).

-
TAYC
Taylor Capital Gr - $5.9999
- -6.25%
- $6.46
A group including Prairie Capital IV reported ownership of 1,145,000 shares (9.4%). Prairie Capital said that the group is holding the stock for investment purposes, and that it might discuss the company's performance, business, strategic direction, prospects and management with other shareholders or with directors or management, with the aim of maximizing value for stockholders.

-
BEE
Strategic Hotels - $1.31
- 0.00%
- $1.22
Microsoft (MSFT) co-founder Bill Gates' investment firm, Cascade Investment, expects to consider alternatives for its stake in Strategic Hotels, a Chicago real-estate investment trust. Cascade previously had reported its holdings in the company as a passive investor in a 13G on Aug. 22. It later converted its filing status to that of an activist, by filing a Schedule 13D. Cascade currently owns 4,190,000 shares (5.63%).

-
UIS
Unisys Corp. - $1.53
- 0.00%
- $1.45
New York hedge-fund Steel Partners II owns 19,481,110 shares (5.4%), after acquiring 8,239,706 from Aug. 1 to Oct. 2 at prices that ranged from $2.51 to $4.19.

-
MTXX
Matrixx Initiativ - $18.97
- -0.18%
- $19.14
A group of funds managed by Mario Gabelli's Gamco Investors (GBL) reported ownership of 498,222 shares (5.17%) after purchasing 40,000 from Aug. 11 to Sept. 22 at $17.09 to $18.08 per share.

-
GFG
Guaranty Fin Grou - $0.33
- 0.00%
- $0.3112
Billionaire investor Carl Icahn said that his affiliates had converted 1.5 million Series B preferred shares of Guaranty Financial into 15.1 million common shares. One of Icahn's affiliates also sold 40,000 common shares of the bank holding company at $4.18 per share. Icahn owns about 18.5 million common shares (17%).

-
MAG
Magnetek - $1.45
- 0.00%
- $1.48
Fresnillo PLC raised its stake to 7,233,593 shares (14.7%) by purchasing 5,555,500 from Sept. 18 to 22 at prices that ranged from 4.77 to 5.31 Canadian dollars per share.

-
ALO
Alpharma Inc - $36.94
- 0.00%
- $36.95
Mario Gabelli's Gamco Investors boosted its holdings to about 3.97 million shares (9.5%) from the 3.53 million (8.47%) it had reported owning on Sept. 24.
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