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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
BCI Minerals BCI $119.0M Wroxby & ACE Group 35.94% Increasing
Beston Foods BFC $60.3M Wilson Asset Managements 5.17% Becoming
Marley Spoon MMM $516.6M Perennial Value Management 10.75% Increasing
Breaker Resources BRB $73.3M Tom & Helen Sanders 7.34% Increasing
Boadeica Resources BOA $16.7M Douglas Travis 5.39% Becoming
Pacifico Minerals PMY $49.4M Paul Brosnan Trust 10.63% Increasing
Benjamin Hornigold BHD $6.0M John Plummer 5.10% Becoming
Tao Commodities TAO $6.9M Mounts Bay Investments - Charles Thomas 7.23% Increasing
Tao Commodities TAO $6.9M Syracuse Capital 11.04% Increasing
Alliance Aviation AQZ $561.6M Remco Properties - Ron Christie 10.52% Increasing
Armour Energy AJQ $19.5M Paul Cozzi 5.64% Increasing
Consolidated Financial Holdings CWL $2.4M Carnethy Evergreen Fund 21.18% Increasing
Jayride Group JAY $21.6M Thorney Technologies 10.86% Increasing
Family Zone Cyber Safety FZO $179.1M Regal Funds Management 11.13% Increasing
Australian Primary Hemp APH $8.4M Wexford Rise 6.52% Becoming
Zelira Therapeutics ZLD $76.7M Thorney Technologies 5.05% Becoming
Bravura Solutions BVS $887.3M Northern Trust 6.02% Becoming
Chalice Gold Mines CHN $870.2M Regal Funds Management 5.07% Becoming
3P Learning 3PL $184.8M Viburnum Funds 25.00% Increasing
PointsBet PBH $2.0B Pu Luo Chung 6.91% Increasing
MetalsTech MTC $21.5M Russell Moran 12.72% Increasing
Healthia HLA $61.5M Viburnum Funds 6.28% Increasing
Lovisa Holdings LOV $882.0M L1 Capital 5.96% Becoming
Monadelphus Group MND $1.0B Platypus Asset Management 5.08% Becoming
Frugl FGL $4.5M Merchant Funds Management 9.28% Increasing
Salt Lake Potash SO4 $292.0M Equatorial Resources 5.86% Becoming
Pure Foods Tasmania PFT $55.2M Michael Cooper 5.03% Becoming
Saturn Metals STN $74.8M Peter Ruttledge 9.86% Increasing
Gullewa GUL $18.7M Capital H Management 5.02% Becoming
Corum Group COO $33.5M Australian Ethical 6.44% Becoming
Shree Minerals SHH $8.4M Sanjay Loyalka 6.94% Increasing
Saturn Metals STN $74.8M Franklin Resources 5.59% Becoming
QuickFee QFE $112.9M Bruce Coombes 11.49% Increasing
Investigator Resources IVR $53.5M Merian Global Investors 16.13% Increasing
Karoon Energy KAR $393.0M Aviva Investors 5.13% Becoming
Dacian Gold DCN $183.7M Sun Valley Gold 5.04% Becoming
Lotus Resources LOT $62.2M Terra Capital Natural Resource Fund 5.90% Becoming
Logicamms LCM $28.1M Candyblossom 6.44% Increasing
Rhinomed RNO $43.2M John McBain 12.61% Increasing
Lifespot Health LSH $4.8M Cannvalate 19.62% Becoming
Optiscan Imaging OIL $58.3M Orchid Capital Investments 15.00% Becoming
Antisense Therapeutics ANP $58.7M Australian Ethical 5.50% Becoming
Traka Resources TKL $10.1M Perth Capital 14.45% Increasing
Wingara WNR $24.5M Naos Asset Management 25.13% Increasing
Neurotech NTI $5.1M Shimano Ventures 6.24% Becoming
Mayfield Childcare MFD $22.2M Malcolm Ross 5.05% Becoming
Serko SKO $413.7M Harbour Asset Management 10.43% Increasing
Auroch Minerals AOU $15.3M MIMO Strategies 8.62% Increasing
Citadel Group CGL $437.6M Mark McConnell 8.01% Increasing
Bravura Solutions BVS $865.1M Franklin Resources 5.04% Becoming
Logicamms LCM $28.1M Bloemhof - Reginald Cooper 6.44% Increasing
Auroch Minerals AOU $15.3M David Bailey 5.66% Becoming
Aeris Environmental AIS $108.1M Perennial Value Management 7.97% Increasing
Carawine CWX $18.0M Christopher Wallin 8.96% Increasing
Anglo Australian Resources AAR $82.6M John Jones 11.51% Increasing
Viva Leisure VVA $175.2M Wilson Asset Managements 7.47% Increasing
Creso Pharma CPH $15.2M L1 Capital 11.99% Becoming
Motorcycle Holdings MTO $153.7M Bennelong Australia Equity Partners 13.56% Increasing
Village Roadshow VRL $429.7M Mittleman Investment Management 10.09% Increasing
Kyckr KYK $27.2M Regal Funds Management 10.07% Increasing
Access Innovations AIM $173.3M Regal Funds Management 6.18% Becoming
Vintage Energy VEN $24.2M Regal Funds Management 5.40% Becoming
XREF XF1 $28.6M Australian Ethical 7.13% Increasing
Anglo Australian Resources AAR $82.6M Braham Investments 9.19% Increasing
Wiluna Mining Corporation WMX $170.8M Delphi 34.85% Increasing

 

A couple of stocks this week belonged to the education sector. One is online education provider 3P Learning (ASX:3PL), of which Viburnum Funds now owns 25 per cent.

Viburnum opted to top up its stake despite the company currently undergoing a takeover.

Mayfield Childcare (ASX:MFD) welcomed New England investor Malcolm Ross who now owns just over 5 per cent of the company.

Regal Funds Management bought more shares in child-focused VPN provider Family Zone Cyber (ASX:FZO)Regal’s other buys in the tech sector included into regtech Kyckr (ASX:KYK) and recently listed translation tech stock Access Innovation Holdings (ASX:AIM).

Auckland-based Harbour Asset Management now owns over 10 per cent of Serko (ASX:SKO), which is a travel booking software platform.

Thorney Technologies topped up its holdings in Jayride (ASX:JAY), which helps you find airport transfers and has seen a substantial resurgence in demand in the last few months.

A significant proportion of trades were in the gold sector but none quite as interesting as Regal taking a 5 per cent stake in high-flying Chalice Gold Mines (ASX:CHN).

Chalice has won favour with investors in 2020 for its Julimar nickel discovery in Western Australia, but also offers investors exposure to gold through its Victorian projects. Earlier this week the company revealed it had made another big discovery at Julimar.

One of the few gold stocks that hasn’t done well is Dacian (ASX:DCN), which has more than halved in 12 months. But in recent days it won a new substantial holder — mining fund Sun Valley Investments.

Also winning a major mining investment fund as a new substantial holder was Saturn Metals (ASX:STN), which welcomed Franklin Resources to its register.

 

Sellers

Company Code Market Cap Holder Current Stake Status
Jupiter Energy JPR $6.8M Waterford Finance & Investment 26.89% Decreasing
HRL Holdings HRL $51.9M Perennial Value Management 11.95% Decreasing
Janison Education JAN $71.3M Perennial Value Management 11.46% Decreasing
Latin Resources LRS $18.1M Lind Asset Management 8.73% Decreasing
Red5 RED $620.7M Regal Funds Management <5% Ceasing
Lachlan Star LSR $9.4M Croeseus Mining 7.82% Decreasing
MoneyMe MME $254.2M Steve Bannigan 11.79% Decreasing
McMillan Shakespeare MMS $649.2M Vinva Investment Management <5% Ceasing
Xantippe Resources XTC $12.2M Slipstream Capital <5% Ceasing
Readcloud RCL $38.5M Amity Agency <5% Ceasing
Havilah Resources HAV $39.3M Republic Investment Management 5.87% Decreasing
Image Resources IMA $161.7M Murray Zircon 20.80% Decreasing
Domacom DCL $24.5M Arthur Naoumidis 5.06% Decreasing
Calix CXL $134.9M Perennial Value Management 13.03% Decreasing
McPhersons MCP $313.1M Investors Mutual <5% Ceasing
Westgold Capital WGX $991.7M L1 Capital <5% Ceasing
The Reject Shop TRS $258.4M Grahger Retail Securities 6.61% Decreasing
Carnagie Clean Energie CCE $11.1M Eminent Holdings <5% Ceasing
Piedmont Lithium PLL $259.7M AustralianSuper 9.88% Decreasing
Nitro Software NTO $601.5M Regal Funds Management 11.64% Decreasing
FYI Resources FYI $55.0M Regal Funds Management 10.03% Decreasing
Imricor Medical Systems IMR $279.7M Regal Funds Management 5.01% Decreasing
Catapult Group CAT $404.7M UniSuper 5.29% Decreasing
Imricor Medical Systems IMR $279.7M Regal Funds Management <5% Ceasing
VitalHarvest VTH $144.3M Australian Ethical 7.69% Decreasing

 

The trio of categories popular with buyers in the last fortnight — gold, tech and education — was also popular with the sellers, especially the edtech stocks.

Amity Agency, which appears to be an e-textbook provider, sold shares in listed play Readcloud (ASX:RCL).

Remote examination tech stock Janison Education (ASX:JAN) saw Perennial Value Management cut its stake to 11.46 per cent.

Meanwhile, gold stocks that saw substantial holder sales included Havilah Resources (ASX:HAV) and Westgold Resources (ASX:WGX) by Republic Investment Management and L1 Capital respectively.