Date updated:09-26-2009
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.

-
HAFC
Hanmi Financial C - $1.24
- +5.08%
- $1.20
Leading Investment & Securities, a Korean securities broker-dealer, owns 5,070,423 shares (9.9%), bought at $1.37 apiece in a Sept. 4 private placement. It has agreed to buy an additional 3,009,189 shares at $1.37 each, which will result in a total stake of 8,079,612 shares (14.9%).

-
IMMR
Immersion Corpora - $4.02
- +1.26%
- $4.02
Ramius Capital owns 1,640,000 shares (5.9%), for which it paid approximately $6.6 million, or $4.03 per share.

-
PPM
Investmnt Grade M - $13.74
- +0.14%
- $13.78
Western Investments raised its stake to 742,781 shares (7.2%), by purchasing 107,271 from July 28 to Sept. 11 at prices ranging from $12.87 to $13.82.

-
VIA
Viacom Inc Cl A - $31.52
- -2.35%
- $31.98
Gamco Investors (GBL) increased its holdings to 5,532,427 shares (9.64%), by purchasing 570,088 from July 16 through Sept. 15 at $27.31 per share. Gamco's filing relates solely to Class A shares.

-
AAWW
Atlas Air Worldwi - $29.83
- -0.70%
- $29.55
Harbinger Capital trimmed its stake to 1,141,419 shares (5.4%), selling 1,909,810 from Sept. 8 to Sept. 10 at $26.27 each.

-
RPT
Ramco Gers Prop - $9.09
- +0.33%
- $9.01
Equity One (EQY) sold all of its 1,800,000 shares from Sept. 9 to Sept. 11 at $8.50 a share. Equity One had been Ramco-Gershenson's largest shareholder. The bulk of its holdings were sold a day after Ramco-Gershenson had a secondary stock offering

-
SUPX
Supertex - $24.09
- -1.35%
- $24.41
Microchip Technology (MCHP) owns 554,100 shares (4.3%), after selling 135,399 from Sept. 11 to Sept. 15 at prices that ranged from $25.64 to $27.08.

-
MINI
Mobile Mini - $15.15
- +0.73%
- $14.92
Shamrock Activist Value Fund suggested that the company improve its capital-allocation process, concentrate on its core businesses, review strategic alternatives for improving return on invested capital, increase transparency in its public disclosures, strengthen the link between executive compensation and performance; and take measures to enhance its corporate governance, including the addition of board members proposed by Mobile Mini's larger shareholders.
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