Glossary
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13D: A form filed with the SEC when an activist investor goes over 5% ownership of a traded company. It’s a public document, and 13D filings are watched closely by many investors; some mutual funds even invest only in companies for which 13Ds have been filed. Item 4 is the key provision; that’s where the investor states his intention, which might include launching a proxy fight, initiating a takeover, or forcing change in management. A nonactivist investor who exceeds 5% ownership files a 13G instead.
ABSOLUTE DIVERSIFICATION: A principle of portfolio construction that ...
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