Trading Places is Stockhead’s weekly recap of substantial holder transactions among ASX small caps.

Substantial shareholders are shareholders holding 5 per cent or more of a company’s shares and 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 and any change in their holdings while they remain above 5 per cent.

 

Buyers

A couple of weeks ago we reported that Queensland-based gold junior Metal Bank (ASX:MBK) made gold hits close to one of Evolution Mining’s (ASX:EVN) richest mines.

Mining investor Russell Luxford bought around $1.3m worth of shares taking his stake in the company to nearly 10 per cent.

Paradigm Pharmaceuticals (ASX:PAR) CEO Christopher Fullerton bought another $300,000 worth of shares and now owns over 12 per cent.

Ireland-based health tech company Oneview Healthcare (ASX:ONE) saw Fidelity and Perennial Value Management increase their holdings, the pair own nearly 21 per cent between them.

Perennial also topped up its holdings in Victory Offices (ASX:VOL) and Latam Autos (ASX:LAA) in the last week.

Since it listed in June, PointsBet’s (ASX:PBH) share price has doubled. Regal Funds Management has acquired a 5.7 per cent stake.

It bought over $20m worth of shares in its most recent purchase as part of its capital raising. The company’s directors also participated.

Company Code Market Cap Holder Stake Status
AustChina Holdings AUH $9.3M Treasure Wheel Global 53.19% Increasing
PointsBet Holdings PBH $564.8M Regal Funds Management 5.72% Becoming
GTN GTN $163.3M Perennial Value Management 8.65% Increasing
Latam Autos LAA $25.2M Perennial Value Management 13.50% Increasing
Perpetual Resources PEC $9.8M Regal Funds Management 13.79% Increasing
Olivers' Real Foods OLI $9.0M Gelba 5.20% Becoming
Adslot ADJ $38.1M Peter & Diana Diamond 9.82% Increasing
Universal Coal UNV $130.6M TCIG Resources 20.00% Becoming
Aus Tin Mining ANW $5.0M Karl Hamann and Lisa Hamann 8.31% Increasing
Taruga Minerals TAR $2.7M Talltree Holdings 7.07% Becoming
Monash IVF MVF $255.8M Allan Gray Australia 7.71% Increasing
Prime Media Group PRT $71.4M WA Chess Investments 10.26% Becoming
Peak Resources PEK $54.8M International Finance Corporation 7.27% Becoming
Sudance Energy SEA $113.5M Tiga Trading 10.74% Increasing
Paradigm Biopharmaceuticals PAR $579.5M Paul Rennie 12.14% Increasing
Aura Energy AEE $6.6M Asean Deep Value Fund 17.31% Increasing
Oneview Healthcare ONE $29.7M Perennial Value Management 12.67% Increasing
Speedcast SDA $218.2M Northern Trust Company 5.26% Becoming
Liquidifed Natural Gas LNG $115.3M The Baupost Group 9.84% Increasing
OFX OFX $332.7M Renaissance Smaller Companies 10.31% Increasing
Oneview Healthcare ONE $29.7M Fidelity 7.94% Increasing
Collaborate Corporation CL8 $18.4M SG Fleet 13.70% Becoming
Blackstone Minerals BSX $22.1M Delphi 16.10% Increasing
Australian Agricultural Projects AAP $2.0M Bliss on Banksia Hairdressing 10.24% Increasing
Victory Offices VOL $94.9M Perennial Value Management 11.38% Increasing
Latam Autos LAA $25.2M Perennial Value Management 14.86% Increasing
Paringa Resources PNL $31.7M Tribeca Investment Partners 8.01% Increasing
Breaker Resources BRB $71.7M Electrum Strategic Oppportunities Fund 9.95% Becoming
Kingston Resources KSN $247.2M Winchester Investments Group 13.02% Increasing
Metal Bank MBK $9.7M Russell Luxford 9.99% Becoming
AppsVillage APV $27.0M PAC Capital 8.89% Increasing
OFX OFX $338.1M Health Employees Super Trust 5.78% Becoming
Infomedia IFM $639.9M Pendal Group 5.05% Becoming
GTN GTN $168.9M Health Employees Super Trust 6.10% Increasing
Palla Pharma PAL $103.9M Thorney Opportunities 18.65% Increasing
OFX OFX $332.7M Ellerston Capital 6.55% Becoming
Base Resources BSE $271.8M Fidelity 8.50% Increasing
Memphasys Peters Investments 27.93% Increasing

Sellers

Australian Ethical Investment sold down its holdings in biotech Antisense Therapeutics (ASX:ANP) and dental stock Pacific Smiles Group (ASX:PSQ).

Challenger did likewise with online retailer Kogan (ASX:KGN) despite the company having a stellar run recently. Since late June it is up over 60 per cent.

Celeste Funds Management ceased to be a substantial holder of Monash IVF (ASX:MVF). The company ran into some strife in August when five referral partners quit.

Last week it spelt out the financial impact of that and Celeste cut its stake to 3.4 per cent.

Company Code Market Cap Holder Current Stake Status
Freehill Mining FHS $9.8M Pinnacle Equities 0% Ceasing
QMS Media QMS $422.3M Regal Funds Management 2.33% Ceasing
Integral Diagnostics IDX $690.6M Perennial Value Management 9.30% Decreasing
MSL Solutions MPW $24.1M Fidelity 4.40% Ceasing
Pacific Smiles Group PSQ $269.0M Australian Ethical Investment 3.13% Ceasing
Antisense Therapeutics ANP $42.4M Australian Ethical Investment 16.04% Decreasing
Otherlevels Holdings OLV $2.3M Silica Investments & Richard Hannebery 3.90% Ceasing
Deletca DLC $4.2M B Moore & T Endicott 6.90% Decreasing
Monash IVF MVF $257.0M Celeste Funds Management 3.40% Ceasing
Metro Performance Glass MPP $57.5M Schroder Investment Management 7.38% Decreasing
Ardent Leisure ALG $556.5M Viburnum Funds 5.25% Decreasing
Kogan.com KGN $666.2M Challenger 6.65% Decreasing