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Trading Places is Stockhead’s recap of the substantial holder movements among ASX small caps over the last fortnight.

Substantial shareholders are those holding 5 per cent or more of a company’s shares — these can be directors, individual investors, or institutional investors.

Shareholders are required to announce to the exchange when they cross above or below the 5 per cent threshold, as well as any change in their holdings while they remain above 5 per cent.

 

Buyers

Company Code Market Cap Holder Stake Status
Yowie YOW $8.5M Recruitment Investments 5.15% Becoming
Oklo Resources OKU $178.8M Resolute Mining 10.79% Increasing
Strategic Energy Resources SER $11.2M Datt Group 11.49% Becoming
Orion Minerals ORN $58.4M Wyllie Group 6.76% Increasing
Orion Minerals ORN $58.4M Delphi 11.22% Becoming
Pivotal Systems PVS $118.0M Perennial Value Management 12.47% Increasing
Gage Roads Brewing GRB $62.2M Perennial Value Management 14.59% Increasing
BNK Banking BBC $52.3M Somers 7.85% Increasing
Great Western Exploration GTE $21.5M Budworth Capital 17.20% Increasing
Great Western Exploration GTE $21.5M Seascape Capital 17.20% Increasing
Archtis AR9 $75.0M SG Hiscock 7.81% Increasing
RightCrowd RCW $47.8M Australian Ethical Investment 5.58% Becoming
Aruma Resources AAJ $9.1M Copulos Group 8.73% Becoming
Alt Resources ARS $32.6M Harvest Lane Asset Management 12.18% Increasing
Strategic Energy Resources SER $11.2M Anthony Rechner 9.74% Increasing
Identitii ID8 $11.2M Kenneth Baker 5.28% Becoming
Race Oncology RAC $113.3M Merchant Funds Management 10.37% Increasing
Middle Island Resources MDI $52.9M Copulos Group 6.86% Becoming
E2 Metals E2M $22.3M Martin Donohue 5.42% Becoming
Over the Wire OTW $216.9M Naos Asset Management 14.87% Increasing
IODM IOD $95.1M Anthony Smith 6.44% Increasing
Metal Bank MBK $9.1M Stella Adriatica 8.69% Becoming
Elsight ELS $72.8M JB Toro 5.63% Becoming
Reliance Worldwide RWC $2.2B Paradice Investment Management 6.99% Increasing
Dreadnought Resources DRE $29.1M Paul Chapman 13.65% Increasing
Readcloud RCL $37.5M O'Connor Super Fund 5.30% Becoming
Mithril Resources MTH $69.4M Hall Stewart 5.63% Becoming
Empire Resources ERL $13.6M Michael Ruane 28.16% Increasing
Aeris Resources AIS $110.0M Pacific Alliance Group 11.81% Increasing
G Medical Innovations Holdings GMV $35.2M Regal Funds Management 5.21% Becoming
Energy One EOL $107.3M Topline Capital Partners 8.08% Increasing
Bod Australia BOD $25.1M SG Hiscock 7.15% Increasing
Swick Mining Services SWK $65.8M Westoz Funds Management 5.02% Becoming
Houston We Have NWH $827.8M Steve Picton 6.45% Becoming
Terrain Minerals TMX $13.0M John Wardman 5.22% Becoming
DUG Technology DUG $142.3M Perennial Value Management 10.22% Increasing
Venturex Resources VXR $30.6M Regent Pacific Group 9.47% Increasing
Sig Sigma Metals SI6 $8.4M Patrick Volpe 9.50% Increasing
Mint Payments MNW $12.1M Dobrani 28.09% Increasing
Identitii ID8 $17.5M Kenneth Baker 7.45% Increasing
King River Resources KRR $54.4M Anthony Barton 6.70% Increasing
Xanadu Mines XAM $45.6M Copper Plate Success 20.62% Increasing
Family Zone Cyber Safety FZO $181.4M Regal Funds Management 10.11% Increasing
Flexiroam FRX $6.1M Kenn Ong 15.09% Increasing
Seven West Media SWM $192.3M Spheria Asset Management 7.62% Increasing
Nova Eye Medical EYE $44.5M Australian Ethical Investment 13.25% Increasing
Red Mountain Mining RMX $9.1M Big Baggers Investors Club 5.34% Becoming
Dropsuite DSE $37.1M Topline Capital Partners 13.42% Increasing
Mithril Resources MTH $73.5M Thomas Family Superannuation 5.01% Becoming
Harris Technology HT8 $27.3M Australian PC Accessories 35.29% Increasing
Alterra 1AG $7.8M Stacey Tomsic 5.40% Becoming
Estia Health EHE $410.2M United Super 8.38% Increasing
Pantoro PNR $353.3M Robmar Investments 15.15% Increasing
Vonex VN8 $31.6M Regal Funds Management 6.31% Becoming
Powerwrap PWL $70.0M Regal Funds Management 8.09% Increasing
Flexiroam FRX $11.0M Yeoh Aik Cheong 5.89% Increasing
Kip McGrath Education Centres KME $51.3M Regal Funds Management 5.89% Becoming
Okapi Resources OKR $7.2M David Nour 8.48% Becoming
Micro-X MX1 $62.5M Perennial Value Management 7.53% Increasing
The Reject Shop TRS $270.3M Wilson Asset Management 6.70% Increasing
Red Sky Energy ROG $4.1M Mavrodia Nestor 9.67% Increasing
Southern Hempishere Mining SUH $4.2M David Lenigas 5.57% Increasing
Graphex Mining GPX $15.2M Capital Di 13.95% Increasing
Flexiroam FRX $18.3M Kay Yip Ng 6.55% Becoming
Onevue Holdings OVH $103.7M Thorney Technologies 18.02% Increasing
Athena Resources AHN $6.2M Goldway Mega Trade 12.04% Increasing
Wingara WNR $29.2M Tribeca Investment Partners 7.94% Becoming
AdAlta 1AD $22.4M Meurs Superannuation Fund 5.08% Becoming
Cassini Resources CZI $92.5M Brahman Capital Management 6.21% Increasing
FYI Resources FYI $17.2M Regal Funds Management 12.51% Increasing
Carbon Revolution CBR $232.0M Quest Asset Partners 7.28% Increasing
Cooper Energy COE $561.2M L1 Capital 7.29% Becoming
AdAlta 1AD $22.4M Platinum Investment Management 12.26% Increasing
Wingara WNR $29.2M Naos Asset Management 24.12% Increasing
The Reject Shop TRS $254.6M Bennelong Australian Equity Partners 13.29% Increasing
Todd River Resources TRT $11.4M Delphi 5.36% Increasing
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The cybersecurity sector has had a booming 2020 as companies new to operating remotely recognise its importance in light of the impact cyber attacks can have.

A handful of fund managers were buying into small caps in this sector. SG Hiscock topped up its stake into Archtis (ASX:AR9) to over 7 per cent.

Regal Funds Management made further purchases in Family Zone Cyber (ASX:FZO), taking its stake to over 10 per cent.

US-based Topline Capital also bought more of its cybersecurity holding, Dropsuite (ASX:DSE), and now has over 13 per cent.

AI-based risk mitigation platform Houston We Have (ASX:HWH) also witnessed some buying activity too. It’s latest advisory board member, Steve Picton, now has a 6.45 per cent stake. Picton is the founder of goTalk, which merged with Tel.Pacific.

Among other trades, Wilson Asset Management and Bennelong Australian Equity Partners topped up their stakes in discount chain The Reject Shop (ASX:TRS). Between them the pair now own over 20 per cent of the company between them.

Spheria Asset Management topped up its stake in Seven West Media (ASX:SWM) and now owns just over 8 per cent.

Capital Di, a Mauritius-based drilling consultant, now owns 13.95 per cent of Graphex Mining (ASX:GPX) — a company moving from Tanzanian graphite to Malian gold.

 

Sellers

Company Code Market Cap Holder Current Stake Status
OFX OFX $292.6M Pendal 5% Decreasing
DGO Gold DGO $175.4M Regal Funds Management 16.07% Decreasing
Shaver Shop SSG $101.2M Perpetual 12.30% Decreasing
Red 5 RED $519.3M Regal Funds Management 6.72% Decreasing
Venture Minerals VMS $30.1M Delphi 6.24% Decreasing
Zenith Energy ZEN $156.9M Microequities Asset Management 0.00% Ceasing
StemCell United SCU $7.7M Jimmy Thomas 5.30% Decreasing
Enero Group EGG $136.0M Naos Asset Management 14.12% Decreasing
Murray River Organics MRG $26.5M Regal Funds Management 18.76% Decreasing
Adairs ADH $564.7M Challenger 6.19% Decreasing
Atomos AMS $113.3M Perennial Value Management 13.56% Decreasing
Aurelia Metals AMI $498.2M Perennial Value Management 0.13% Ceasing
NZME NZM $54.1M Auscap Asset Management 15.26% Decreasing
Pharmaxis PXS $43.5M Australian Ethical Investment 4.97% Ceasing
Kip McGrath Educations Centre KME $49.5M Kip McGrath 17.36% Decreasing
Immuron IMC $81.8M Peter Anastaiou 5.26% Decreasing
Monash IVF MVF $247.4M Perennial Value Management 4.95% Ceasing
Veem VEE $65.0M Celeste Funds Management 4.99% Ceasing
Horizon Minerals HRX $68.9M Michael Ruane 10.23% Decreasing
People Infrastructure PPE $237.6M Perennial Value Management 11.02% Decreasing
Atomos AMS $106.8M Perennial Value Management 11.01% Decreasing
Perpetual Resources PEC $19.1M Regal Funds Management 9.22% Decreasing
Enegex ENX $4.5M Graeme Kirke 0.50% Ceasing
Kazia Therapeutics KZA $94.6M Platinum Investment Management 8.97% Decreasing
VRX Silica VRX $49.0M Australian Silica 9.10% Decreasing
Lithium Consolidated LI3 $5.8M Australian Consolidated Venture Capital 6.50% Decreasing
Andromeda Metals ADN $77.6M Robert Connolly 7.27% Decreasing
Myer MYR $176.6M Vinva Investment Management 4.89% Ceasing
Ava Risk Group AVA $54.2M Alkasab United Company 9.17% Decreasing
City Chic Collective CCX $781.7M Pendal 5.38% Decreasing
Adairs ADH $574.9M Pendal 6.52% Decreasing
Adairs ADH $574.9M Wilson Asset Management 5.90% Decreasing
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Nearly a year since he retired from the company that bears his name, Kip McGrath sold some shares of Kip McGrath Education Centres (ASX:KME).

He completed a $2m sale to Regal Funds Management, which now owns 5.89 per cent of the tutoring centre.

Vinva Asset Management ceased to be a substantial holder in Myer (ASX:MYR). Pendal cut its stakes in City Chic Collective (ASX:CCX) and Adairs (ASX:ADH).

Wilson Asset Management was another seller of Adairs.

Australian Ethical Investment (ASX:AEF) reduced its holdings in Pharmaxis (ASX:PXS) to just below the 5 per cent threshold.

Read MoreCyber Security

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