Understanding Activism with John & J.T.: David Farkas on Schedule 13F and Stock Surveillance Services

David Farkas is Head of Shareholder Intelligence in the US at Georgeson, a practice delivering timely and accurate shareholder ownership insights for investor relations professionals, the C-suite and boards of directors. Before joining Georgeson, David was a Managing Director in the Activism and M&A Solutions group at FTI Consulting.

Topics:

1. Overview of Schedule 13F and why 13F filings aren’t reliable indicators of activity in a company’s stock
2. Strategies activists use to avoid tipping their hands through a 13F filing
3. The role 13F filings can play in a company’s efforts to identify an activist building a position in its stock
4. Additional actions a company can take to determine if an activist is building a position
5. The role of stock surveillance services
6. Implications of rulemaking petition to amend 13F rules

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The views set forth in the podcast are the speaker's personal views and do not necessarily reflect those of their firm, company, institution, other organizations, or any of the clients with which they are associated.