Dow Jones 30 Stocks SEC Filings — April 08, 2026

08-04-2026

Clearwater Analytics Holdings, Inc. (CWAN) explored a potential sale following inbound interest from Warburg Pincus, Permira, Temasek, and others, culminating in a Merger Agreement on December 20, 2025; the Board formed a Special Committee of independent directors on November 17, 2025, to oversee the process and retain advisors like Cravath and PJT Partners. Class A Common Stock declined from $17.31 on November 5, 2025, to $15.89 on November 6, 2025, post-earnings, but rose to $19.25 by November 14, 2025—a 15.3% premium to the unaffected $16.69 close on November 10, 2025—amid media reports of sale discussions. The process involved diligence on generative AI and the Enfusion acquisition, with concerns over leaks, distractions, and a related Derivative Litigation involving Welsh Carson.

• ·Temasek executed joinder to Consortium NDAs on November 6, 2025, gaining access to due diligence materials.
• ·Special Committee retained Cravath as independent legal counsel and planned to interview PJT Partners and two other financial advisors.
• ·Board delegated exclusive authority to Special Committee for evaluating strategic transactions on November 17, 2025.
• ·Mr. Lee and Mr. Mackesy (Welsh Carson affiliates) planned to recuse from sale votes due to Derivative Litigation.

08-04-2026

PMGC Holdings Inc. (NASDAQ: ELAB) announced it has fully utilized its $20M equity purchase facility with Streeterville Capital, LLC, maintaining a strong cash position to fund its near-term acquisition pipeline. The company completed acquisitions of four entities in 2025 and Q1 2026, including Pacific Sun Packaging (serving 300+ customers in semiconductor and data center supply chains), AGA Precision Systems, Indarg Engineering, and SVM Machining, spanning aerospace, defense, medical devices, and related sectors. Priorities include organic growth, selective acquisitions, and advancing Northstrive Biosciences' EL-22 toward Phase 2 IND submission.

• ·Pacific Sun Packaging acquired July 2025; focused on custom-engineered protective packaging for CPUs, memory modules, SSDs, fiber-optic transceivers.
• ·AGA Precision Systems acquired July 2025; ITAR-registered, AS9100-certified precision CNC for aerospace, defense, industrial.
• ·Indarg Engineering acquired October 2025 as bolt-on to AGA.
• ·SVM Machining acquired February 2026; serves medical device, surgical robotics, satellite, spaceflight, UAV, biotech, pharma lab automation, semiconductor wafer handling.

08-04-2026

Kenvue's 2026 Proxy Statement reports 2025 net sales declined 2.1% YoY (2.2% organic) to $15.1B due to U.S. inventory reductions, China shipment declines, and lower seasonal incidence, partially offset by pricing; however, net cash flows from operating activities and free cash flow each increased $0.4B YoY to $2.2B and $1.7B, respectively, with GAAP gross profit margin up 10 bps to 58.1% and operating income margin up 410 bps to 16.0%. The company highlights its November 2025 merger agreement with Kimberly-Clark, shareholder-approved in January 2026 and expected to close in H2 2026, alongside new CEO and CFO appointments. Shareholders will vote on electing 12 directors (11 independent), advisory approval of NEO compensation, and ratification of PricewaterhouseCoopers LLP as 2026 auditors.

• ·Annual Meeting: May 21, 2026, 9:00 a.m. ET, online at www.virtualshareholdermeeting.com/KVUE2026; Record Date: March 23, 2026
• ·Merger with Kimberly-Clark announced November 2, 2025; shareholder approval January 29, 2026; expected close H2 2026 subject to regulatory approvals
• ·New Chief Executive Officer and Chief Financial Officer appointed in 2025

08-04-2026

Universal Electronics Inc. (UEIC) filed a DEF 14A proxy statement for its 2026 Annual Meeting on May 19, 2026, at 11:00 a.m. local time in Scottsdale, AZ, seeking approval for electing five Class II independent director nominees (Michael D. Burger, Satjiv S. Chahil, Sue Ann R. Hamilton, John Mutch, Eric B. Singer), declassifying the Board, amending and restating the 2018 Equity and Incentive Compensation Plan, advisory approval of NEO compensation, and ratifying Grant Thornton LLP as auditors for 2026. The Board consists of 7 independent directors who held 14 meetings in 2025 with >75% attendance; recent committee reassignments occurred in 2025-2026 with no reported issues. Record date is March 27, 2026, with 12,614,606 shares of common stock outstanding.

• ·Voting deadline for Internet/telephone: 11:59 p.m. ET on May 18, 2026
• ·Quorum requires majority of outstanding shares present or by proxy
• ·Proposal 1 (director election) uses plurality voting; Proposals 2-4 require majority of shares entitled to vote; Proposal 5 is routine
• ·Director ages as of Record Date: Burger (67), Chahil (75), Hamilton (65), Mutch (69), Singer (52)

08-04-2026

Kinetik Holdings Inc. made strategic progress in 2025 despite commodity price volatility, inflationary pressures, and moderated producer activity, achieving commercial in-service of the Kings Landing Plant doubling Delaware North gas processing capacity, final investment decision for its sour gas conversion, Barilla Draw acquisition, ECCC Pipeline advancement, and EPIC equity divestiture that enhanced liquidity and drove YoY growth in Adjusted EBITDA and processed gas volumes. The proxy statement outlines the virtual annual meeting on May 19, 2026, to elect 10 directors, approve non-binding say-on-pay for 2025 named executive officer compensation, and ratify KPMG LLP as 2026 independent auditor. An updated capital allocation framework prioritizes high-return organic growth, dividend increases, and share repurchases while maintaining balance sheet discipline.

• ·Annual meeting: May 19, 2026 at 10:00 a.m. Central Time via virtual webcast at www.virtualshareholdermeeting.com/KNTK2026
• ·Compensation disclosures for Principal Executive Officer (PEO) including Jamie Welch (2025) and Clay Bretches (2023), with pay versus performance tables covering 2021-2025

08-04-2026

RenX Enterprises Corp. (formerly Safe & Green Development Corp.) filed an S-3/A amendment to register 2,290,312 shares of Common Stock for resale by selling stockholders, representing 91% of its 2,507,537 outstanding shares as of April 8, 2026, posing substantial dilution risk. The company risks Nasdaq delisting due to failure to meet the $1.00 minimum bid price (Nasdaq notice January 26, 2026; compliance deadline July 27, 2026), low market value below proposed $5M MVLS threshold, and $2.5M minimum stockholders' equity requirement, despite a 1-for-20 reverse stock split on March 26, 2026 and nine consecutive trading days above $1.00 bid price as of filing. Additional risks include restrictive covenants limiting financing and potential penny stock status if delisted.

• ·Nasdaq minimum bid price notice received January 26, 2026, for non-compliance from December 5, 2025 through January 20, 2026.
• ·Stockholders approved reverse stock split authorization December 8, 2025.
• ·Compliance with minimum bid price requires $1.00 or greater closing bid for 10 consecutive trading days.
• ·Former name Safe & Green Development Corp. changed December 19, 2022.

08-04-2026

Securitize announced the tokenization of Nasdaq-listed Currenc Group Inc. (CURR) ordinary shares on Ethereum and Solana via its platform, enabling 24/7 trading, fractional ownership to six decimal places, lower-cost transactions, and DeFi integration such as collateralization and AMMs. This underscores Securitize's position as a leader in real-world asset tokenization with $4B+ AUM as of November 2025, in partnership with firms like Apollo, BlackRock, KKR, and others. The press release is issued amid Securitize's proposed business combination with Cantor Equity Partners II (CEPT), expected to close in H1 2026 subject to approvals, with no financial declines noted.

• ·Business Combination Agreement signed October 27, 2025; publicly announced October 28, 2025.
• ·Securitize operates SEC-registered broker-dealer (Securitize Markets, LLC), transfer agent (Securitize, Inc.), and ATS (Securitize Markets ATS, LLC); EU operations via Securitize Europe Brokerage and Markets, S.A. under DLT Pilot Regime.
• ·Currenc Group focuses on cross-border payments, e-wallet infrastructure, and AI-powered tools for financial institutions.
• ·Animoca Transaction for Currenc subject to definitive documents, regulatory/shareholder approvals, and closing conditions; no assurance of completion.

08-04-2026

Venture Global, Inc. filed Definitive Additional Proxy Materials (DEFA14A) with the SEC on April 08, 2026. This filing supplements prior proxy statements pursuant to Section 14(a) of the Securities Exchange Act of 1934. No specific proposals, financial data, or governance details are provided in the filing header.

• ·Filing Type: DEFA14A (Definitive Additional Materials)
• ·Filed by the Registrant

08-04-2026

Roberts Wealth Advisors, LLC filed its 13F-HR on April 8, 2026, disclosing 110 equity positions held solely as of March 31, 2026, totaling 393,912,806 shares with no shared discretion or options. Top holdings by shares include J P Morgan Exchange-Traded F Ultra Short ETF (637,497 shares), J P Morgan Exchange-Traded F Short Dura Core (587,373 shares), and Apple Inc. (92,437 shares), spanning stocks and ETFs across sectors. No prior period data provided for comparisons.

• ·Filing covers period ending March 31, 2026
• ·All positions held in sole discretion (no shared or other)
• ·Headquartered in Palo Alto, CA
• ·No put or call options reported

08-04-2026

E Fund Management (Hong Kong) Co., Ltd. filed its 13F-HR on April 8, 2026, reporting U.S. equity holdings as of March 31, 2026, with all positions held under sole voting power and no shared or other voting authority indicated. The portfolio features large positions in ETFs and tech stocks, including iShares Core S&P 500 ETF ($29.0B), Apple Inc ($7.2B), Amazon.com Inc ($4.6B), Broadcom Inc ($4.2B), and Meta Platforms Inc ($3.7B). No period-over-period changes or performance metrics are disclosed in this snapshot filing.

• ·All holdings reported with sole voting power (SH SOLE) and zero shared or other voting authority
• ·Portfolio includes positions in over 250 U.S.-listed issuers across sectors like technology, mining, healthcare, and ETFs
• ·SEC file number: 028-20248
• ·Business address: Suites 3501-02, 35/F Two International Finance Centre, Central, K3 852, Hong Kong

08-04-2026

Lumentum Holdings Inc. entered into privately-negotiated exchange agreements on April 7, 2026, to issue approximately 5.7 million shares of common stock in exchange for $264.8 million principal amount of 0.50% Convertible Senior Notes due 2026 and $209.8 million principal amount of 1.50% Convertible Senior Notes due 2029, resulting in incremental dilution of approximately 0.6 million shares. Following the exchange, expected to close on or about April 13, 2026, approximately $63.1 million of 2026 Notes and $84.5 million of 2029 Notes will remain outstanding. The transactions are conducted as a private placement exempt under Section 4(a)(2) of the Securities Act, with no cash proceeds to the Company.

• ·Shares issued pursuant to exemption from registration under Section 4(a)(2) of the Securities Act, offered to accredited investors or qualified institutional buyers.
• ·Company will receive and cancel the exchanged Notes, with no cash proceeds.

08-04-2026

Coeptis Therapeutics Holdings, Inc. (NASDAQ: COEP) announced that Nasdaq approved, subject to customary conditions and merger closing, the listing of the post-merger company's common stock on the Nasdaq Global Market under ticker 'ZSQR'. This satisfies a key closing condition following the S-4 registration statement effectiveness and shareholder approval on January 30, 2026; the merger with Z Squared Inc. is expected to close in Q2 2026, making Z Squared a wholly-owned subsidiary and changing the company name to Z Squared Inc. No financial metrics or performance comparisons are reported.

• ·Post-merger, Z Squared expected to be the largest publicly-traded pure-play Dogecoin miner in the United States.
• ·Merger subject to remaining customary closing conditions.
• ·Z Squared's model converts mined assets to USD or stablecoins within 24 hours.

08-04-2026

Wisconsin Wealth Advisors, LLC filed its 13F-HR report on April 8, 2026, disclosing 84 equity holdings totaling $101,653,588 in market value as of March 31, 2026. The portfolio includes individual stocks such as Apple Inc. (8,360 shares), Amazon.com Inc. (9,939 shares), and NVIDIA Corporation (19,833 shares), alongside numerous ETFs from providers like First Trust, Vanguard, and iShares. All positions are held with sole discretionary authority, with no put or call options reported.

• ·All holdings reported with sole discretionary voting authority and zero put/call shares.
• ·Report filed as of April 8, 2026, for period ending March 31, 2026.
• ·Business address: 1777 W Main St, Suite 203, Sun Prairie, WI 53590-3100.

08-04-2026

Emergent Wealth Advisors, LLC filed its 13F-HR report on April 8, 2026, for the quarter ended March 31, 2026, disclosing 125 equity holdings all managed with sole investment discretion and sole voting authority. The portfolio features significant ETF positions including BlackRock iShares Flexible Income ETF (135,950 shares), iShares Core MSCI EAFE ETF (112,158 shares), and iShares Core MSCI Emerging Markets ETF (111,567 shares), alongside stocks such as NVIDIA Corporation (11,556 shares) and Amazon.com Inc. (8,978 shares). No prior period comparisons, performance metrics, or shared authority positions were reported.

• ·Business address: 5500 Main St., Suite 260, Williamsville, NY 14221
• ·Phone: 716-828-8390
• ·SEC file number: 028-25810
• ·Value qualifier: 0 (discretionary AUM under $100 million)
• ·All positions reported as sole discretion with no put/call options or other voting authority

08-04-2026

Ausbil Investment Management Ltd filed its 13F-HR report on April 8, 2026, disclosing $201,000,898 in discretionary holdings across 63 positions as of March 31, 2026. Top holdings include H2O America ($14,275,840), NextEra Energy Inc ($13,096,864), and CSX Corp ($10,820,398), with a focus on utilities, energy, transportation, and industrials. The portfolio includes long positions and put options on BHP Group Ltd (40,000 shares), Freeport-McMoRan Inc (50,000 shares), and VanEck Gold Miners ETF (20,000 shares).

• ·Put options: BHP Group Ltd (value 12000, 40000 shares), Freeport-McMoRan Inc (value 22000, 50000 shares), VanEck Gold Miners ETF (value 8000, 20000 shares)
• ·All positions reported as SOLE ownership
• ·Report filed for period ending 2026-03-31

08-04-2026

rYojbaba Co., Ltd. (RYOJ) filed a Form 20-F/A amendment to its annual report for the fiscal year ended December 31, 2025, on April 8, 2026. The filing includes newly filed exhibits such as Sarbanes-Oxley Act certifications by the CEO and CFO (Exhibits 12.1, 12.2, 13.1), a Clawback Policy (Exhibit 97.1), and Inline XBRL documents (Exhibits 101.* and 104). Other exhibits, including agreements and policies, are incorporated by reference from prior filings.

• ·Signed by Takayuki Nakano on April 7, 2026.
• ·References prior filings: Form 6-K on August 15, 2025; Form F-1 on August 2, 2024; Form 6-K on March 4, 2026; Form 20-F on March 23, 2026.

08-04-2026

Hyliion Holdings Corp. has issued a proxy statement for its virtual 2026 Annual Meeting on May 19, 2026, seeking stockholder approval to elect three directors to serve until 2029, ratify Grant Thornton LLP as independent auditors for the fiscal year ended December 31, 2026, approve named executive officers' compensation on an advisory basis, and amend the 2024 Equity Incentive Plan to increase available common shares by 8 million. As of the record date March 25, 2026, 178,317,154 shares of common stock were outstanding entitled to vote. No financial performance metrics, period-over-period changes, or compensation figures are quantified in the provided filing content.

• ·Proxy materials first made available to stockholders on April 2, 2026.
• ·Annual Meeting accessible only online at https://www.cstproxy.com/hyliion/2026.
• ·Record date for voting eligibility: March 25, 2026.

08-04-2026

CECO Environmental Corp has filed an S-4 registration statement as a joint proxy statement/prospectus for its proposed mergers with Thermon Group Holdings, Inc., subject to conditions including stockholder approvals, HSR Act clearance (terminated early on April 2, 2026), Nasdaq listing, and a tax opinion confirming reorganization status under Section 368(a). Key risks include potential failure to close leading to termination fees of $105.0M (CECO to Thermon) or $74.7M (Thermon to CECO), business restrictions pre-closing, market fluctuations affecting stock consideration value (fixed exchange ratios of 0.8110 or 0.6840 shares per Thermon share), proration mechanics altering elected consideration forms, and litigation risks. Thermon stockholders face uncertainty in tax consequences and trading restrictions on elected shares until closing.

• ·HSR Act waiting period terminated early by FTC effective April 2, 2026
• ·Stock exchange ratios: 0.8110 shares of CECO common stock for stock consideration; 0.6840 shares plus $10.00 cash for mixed consideration, per Thermon share
• ·Closing conditions include CECO stockholder approval of stock issuance, Thermon stockholder adoption of merger agreement, effectiveness of S-4, Nasdaq listing of new shares, and tax opinion from Sidley Austin LLP (or Gibson, Dunn & Crutcher LLP) on Section 368(a) reorganization qualification
• ·Merger agreement restricts business conduct pre-closing, including limits on acquisitions, indebtedness, capital expenditures, and dividends
• ·Thermon election shares restricted from trading between election submission and closing or revocation

08-04-2026

On April 1, 2026, SpringBig Holdings, Inc. entered into a formal three-year Employment Agreement with CEO Jaret Christopher, superseding his prior offer letter, featuring a $450,000 annual base salary, 50% target cash bonus opportunity, and a grant of 12,891,251 restricted common stock shares (with approximately 8,320,939 vesting immediately). The Board also approved compensation for independent Director Larry Ellis, including 1,193,623 RSUs vesting over three years and cash retainers of $60,000 one-time plus $10,000 monthly; additionally, retention bonuses were set for CFO Jason Moos (1,907,229 phantom units and $165,000 cash) and COO James Cabral (1,056,824 phantom units and $110,000 cash), payable upon a Change in Control.

• ·CEO Employment Agreement includes 12 months post-employment noncompetition and nonsolicitation covenants.
• ·Director Larry Ellis RSUs subject to 100% acceleration upon Change in Control if service terminated in connection therewith.
• ·CEO RSUs vest in equal quarterly installments over approximately three years, with acceleration on qualifying terminations.
• ·Ellis appointed to Board on September 24, 2025; prior CEO offer letter dated March 13, 2025.

08-04-2026

Onfolio Holdings Inc. issued a press release on March 31, 2026, announcing its financial results for the full year ended December 31, 2025, with the Annual Report on Form 10-K filed on the same date. The earnings call transcript for Full Year 2025 was posted to the company's website on April 7, 2026. No specific financial metrics are detailed in this 8-K filing.

• ·10-K filed with SEC on March 31, 2026, available at www.sec.gov and https://investors.onfolio.com/filings
• ·Earnings call transcript available at https://investors.onfolio.com/events
• ·Securities: Common Stock (ONFO), Warrants (ONFOW) on Nasdaq Capital Market

08-04-2026

Abacus Planning Group, Inc. disclosed its quarterly 13F-HR holdings totaling $742,886,732 across 264 positions as of March 31, 2026, all held with sole voting and discretionary power. Top holdings include ETF Ser Solutions Distillate US Fund at $82,956,949 (11.2% of portfolio), iShares TR 0-5 YR TIPS ETF at $62,294,699, and Amazon.com Inc. at $19,463,665. The portfolio features heavy allocations to ETFs (e.g., Dimensional, Schwab Strategic, iShares) including Bitcoin, gold, silver, and fixed income products, alongside individual stocks like Apple Inc. ($13,898,799).

• ·Filing submitted April 8, 2026, for period ending March 31, 2026.
• ·All 264 positions held as sole discretionary accounts with sole voting power.
• ·Notable exposure to commodities/alt assets: Sprott Physical Silver ($13,786,813), Sprott Physical Gold ($6,056,164), iShares Silver TR ($963,568).

08-04-2026

MB, Levis & Associates, LLC filed its 13F-HR on April 8, 2026, disclosing a portfolio valued at $239,680,085 across 234 positions as of March 31, 2026. Notable holdings include Vanguard Index FDS Large Cap ETF at $19,767,506, Vanguard Intl Equity Index F Allworld Ex US at $19,962,080, and WisdomTree TR US Qtly Div Grt at $15,315,334, with all positions held solely by the filer. The filing provides a snapshot of diversified investments in stocks, ETFs, and fixed income without period-over-period comparisons.

• ·Filer address: 4647 Saucon Creek Road, Suite 101, Center Valley, PA 18034
• ·Report period end: 03-31-2026
• ·Filing date: 04-08-2026
• ·All holdings reported as SOLE ownership with no put/call or other managers

08-04-2026

Pathway Financial Advisors LLC disclosed total holdings of $808,291,858 across 136 positions, all held solely, as of March 31, 2026, in its 13F-HR filing. The portfolio is dominated by ETFs including Vanguard Index Fds Value ETF ($105,147,546, 533,771 shares), Goldman Sachs ETF Tr Access Treasury ($95,761,766, 958,193 shares), and Vanguard Index Fds Growth ETF ($90,967,061, 205,794 shares). Individual stocks such as Apple Inc ($3,998,642, 15,625 shares), Microsoft Corp ($2,559,695, 6,854 shares), and NVIDIA Corp ($1,648,511, 9,293 shares) represent smaller but notable allocations.

• ·All 136 positions held with sole investment discretion (SH SOLE); no shared or performance rights.
• ·Filing CIK: 0001738828; SEC file number: 028-18736.
• ·Headquartered in South Burlington, VT.

08-04-2026

Central Pacific Bank - Trust Division filed Form 13F-HR on April 08, 2026, disclosing 970 equity holdings as of March 31, 2026, with a total portfolio value of $783638357. The portfolio features positions in major companies including Apple Inc. (5868072065 shares defined), Alphabet Inc., Amazon.com Inc., and hundreds of others across sectors like technology, healthcare, and consumer goods. This is a routine quarterly holdings report with no explicit period-over-period changes detailed.

• ·Filing date: April 08, 2026
• ·Period end date: March 31, 2026
• ·State of incorporation: HI
• ·Fiscal year end: 12/31
• ·SEC file number: 028-24090
• ·Contact phone: 8085446808

08-04-2026

William Ostrander, Chief Financial Officer of Scorpius Holdings, Inc., notified the company of his resignation effective March 31, 2026, on March 29, 2026. Mr. Ostrander did not indicate any disagreement with the company regarding operations, policies, or practices. The 8-K filing, dated April 8, 2026, was signed by Jeffrey Wolf, Chairman, President, and Chief Executive Officer.

• ·Date of earliest event reported: March 29, 2026
• ·Resignation effective date: March 31, 2026
• ·Filing submitted pursuant to Items 5.02 and 9.01 of Form 8-K

08-04-2026

MVB Financial Corp announced the appointment of Michael L. Giorgio as Chief Operating Officer for the company and its wholly-owned subsidiary MVB Bank, Inc., effective April 1, 2026, in addition to his existing role as Chief Information Officer. No changes were made to Mr. Giorgio's employment agreement, compensation, or any other arrangements in connection with this appointment. Mr. Giorgio has no family relationships with directors or executives and no material interests in transactions requiring disclosure.

• ·Biographical information for Mr. Giorgio incorporated by reference from the company's definitive proxy statement filed April 7, 2026.
• ·Event reported on Form 8-K filed April 8, 2026, covering Items 5.02 and 9.01.

08-04-2026

Amanah Holdings Trust filed its 13F-HR on April 8, 2026, disclosing 20 equity holdings with a total market value of $908,238,817 as of March 31, 2026, all held as sole discretionary positions. The portfolio is heavily weighted toward technology and industrials, with top holdings including SanDisk Corp ($158,835,000, 250,000 shares), Seagate Technology Hldgs Pl ($113,521,862, 289,774 shares), and Lumentum Hldgs Inc ($94,872,600, 135,000 shares). Managed by CEO Karim Al-Mansour from London, this represents the firm's quarterly holdings snapshot with no reported changes or performance metrics.

• ·All 20 holdings reported as SH SOLE (sole discretionary voting authority)
• ·Filer CIK: 0002076121
• ·Business address: 10 Park Drive, London X0 E14 9ZW, UK
• ·SEC file number: 028-25646

08-04-2026

Intel Corporation repurchased the 49% equity interest in its Fab 34 Ireland joint venture from Apollo-managed funds and affiliates for $14.2 billion, gaining 100% ownership. The transaction was financed using cash on hand and a $6.5 billion bridge loan, which Intel intends to refinance subject to market conditions. The joint venture, originally formed in June 2024, will be wound up following termination of ancillary agreements.

• ·Joint venture created pursuant to agreements in June 2024.
• ·Repurchase completed pursuant to April 1, 2026 agreement.
• ·Intel expects to terminate ancillary agreements and wind up the joint venture.

08-04-2026

Cadent Capital Advisors, LLC filed its quarterly 13F-HR on April 8, 2026, disclosing a portfolio valued at $386,499,179 across 201 holdings as of March 31, 2026. Top positions include Invesco Exchange Traded Fund Trust II S&P 500 Revenue ETF ($19,439,717; 169,173 shares), iShares Trust U.S. Aerospace & Defense ETF ($18,756,516; 85,744 shares), and Apple Inc. ($13,823,271; 54,467 shares). No prior period data is provided in the filing for comparison.

• ·Filing covers period ending 03-31-2026 with 3 other managers listed.
• ·Predominantly sole ownership; some defined (DFND) positions in Apple, Amazon, Microsoft, NVIDIA.
• ·Heavy allocation to ETFs (e.g., iShares, Invesco, Vanguard, SPDR series) and energy/MLPs (e.g., ONEOK Inc. 92473 shares, Kayne Anderson Energy Infrastructure 680307 shares).

08-04-2026

TuHURA Biosciences completed its acquisition of Kineta on June 30, 2025 through a series of mergers, issuing 2,868,169 shares of TuHURA Common Stock initially (with potential for an additional 1,129,885 shares) and acquiring rights to Kineta's KVA12123 antibody, renamed TBS-2025. Concurrently, TuHURA raised gross proceeds of $12,612,169 ($11,512,169 net) via a June 2025 private placement of 4,759,309 shares and warrants at $2.65 per unit. As of June 30, 2025, post-merger total assets stood at $34,621,304 including $8,512,824 in cash and cash equivalents, with TuHURA pre-merger shareholders retaining approximately 92.4% ownership.

• ·Merger Agreement dated December 11, 2024, amended May 5, 2025.
• ·Securities Purchase Agreement dated June 2, 2025 for private placement.
• ·Warrants expire December 3, 2030; classified as equity with zero net effect.
• ·TuHURA determined as accounting acquirer; Kineta as acquired business.
• ·Pro forma statements prepared as if Mergers occurred January 1, 2025.

08-04-2026

Sharkey, Howes & Javer filed its 13F-HR on April 8, 2026, disclosing equity holdings as of March 31, 2026, across 153 positions with a total market value of $742,334,498. The portfolio is heavily weighted toward iShares ETFs (e.g., Core S&P 500 ETF, MSCI USA Quality Factor ETF) and common stocks of large-cap companies including Alphabet Inc., Amazon.com Inc., Apple Inc., and Microsoft Corp. All reported positions are held solely by the firm with no shared discretion.

• ·Report period end date: March 31, 2026
• ·Filing as of date: April 8, 2026
• ·Business address: 720 S. Colorado Blvd. Ste. 600 South, Denver, CO 80246
• ·All positions held with sole voting authority (SH SOLE)

08-04-2026

Bausch Health Companies Inc. filed a DEFA14A Definitive Additional Materials proxy statement with the SEC on April 08, 2026. The filing is by the registrant with no fee required and no confidential treatment requested. No specific proposals, financial data, or substantive details are included in the provided filing header.

08-04-2026

SLB N.V. held its 2026 Annual General Meeting on April 8, 2026, where all nine director nominees were unanimously elected and all five proposals passed with overwhelming shareholder approval. Highlights include advisory approval of executive compensation at 95.2%, ratification of 2025 financial statements and dividends at 99.8%, auditor appointment at 92.8%, and amendment of the 2017 Omnibus Stock Incentive Plan at 97.6%. No proposals failed, reflecting strong governance support.

• ·Proxy statement filed with SEC on February 26, 2026.
• ·Financial statements approved cover year ended December 31, 2025.
• ·Highest director opposition: Vanitha Narayanan (107,275,366 against votes).

08-04-2026

Avalyn Pharma Inc., a clinical-stage biopharmaceutical company, filed an S-1 registration statement for its IPO on April 8, 2026, to list voting common stock under the Nasdaq symbol 'AVLN', with 483,842,421 shares outstanding immediately after the offering based on December 31, 2025 data post preferred stock conversion. The company reported net losses widening to $85.2 million in 2025 from $49.7 million in 2024 (71% YoY increase in loss magnitude), driven by R&D expenses rising 67% to $76.6 million and G&A up 29% to $14.7 million, though other income declined 17% to $6.1 million; cash, cash equivalents, and marketable securities stood at $138.4 million as of year-end. Net proceeds from the IPO (estimated at $ million at midpoint price) will fund clinical development of AP01 and AP02, preclinical AP03, additional R&D, and working capital.

• ·Accumulated deficit of $265.4 million as of December 31, 2025 (up from $180.2 million as of December 31, 2024).
• ·Total assets $148.9 million and working capital $129.5 million as of December 31, 2025.
• ·Underwriters' option to purchase up to additional shares within 30 days post-offering.
• ·$15.0 million in borrowings under Term Loan Facility entered February 2026.

08-04-2026

NI Holdings, Inc. issued a notice of availability of proxy materials for its 2026 Annual Meeting of Shareholders on May 19, 2026, at 10:00 A.M. CDT at The Radisson Blu in Fargo, ND, seeking votes on electing eight directors (Eric K. Aasmundstad, Cindy L. Launer, William R. Devlin, Prakash Mathew, Jeffrey R. Missling, Dave Stende, Dana Kaldor, and Callie Thomas), ratifying Forvis Mazars, LLP as independent auditors for the fiscal year ending December 31, 2026, and an advisory vote approving named executive officer compensation; the Board recommends FOR all proposals. Proxy materials and the 2025 Annual Report on Form 10-K are available online, with paper requests due by May 8, 2026.

• ·Online voting deadline: 1:00 A.M. CDT on May 19, 2026
• ·Paper proxy requests due by May 8, 2026 for timely delivery
• ·Proxy materials accessible at www.edocumentview.com/NODK and www.investorvote.com/NODK

08-04-2026

Community Financial Services Group, LLC filed a 13F-HR report on April 8, 2026, disclosing its equity holdings as of March 31, 2026. The portfolio includes 598 positions with a total market value of $568,196,866. Holdings span diverse sectors including technology (e.g., Apple, Amazon), healthcare (e.g., Abbott Laboratories, AbbVie), and financials (e.g., Berkshire Hathaway).

• ·Filing date: April 08, 2026
• ·Report period end: March 31, 2026
• ·State of incorporation: VT
• ·Business address: 100 Main Street, Suite 260, Newport, VT 05855

08-04-2026

Exodus Movement, Inc. (NYSE: EXOD) filed a DEFA14A supplement to its March 17, 2026 proxy statement, announcing a change in the location of its 2026 Annual Meeting of Shareholders on May 1, 2026, at 8:30 a.m. Central Time, from 1111 Jones St., Omaha, NE 68102 (KANEKO art studio) to 1115 Dodge St., Omaha, NE 68102 (Tenaska Center for Arts Engagement). The record date remains March 6, 2026, with no changes to the agenda or voting procedures; shareholders are urged to use existing proxy materials.

• ·Proxy supplement filed April 8, 2026
• ·Original proxy statement dated March 17, 2026
• ·Investor contact: investors@exodus.com
• ·Media contact: Aubrey Strobel/Elena Nisonoff, Halcyon Communications (exodus@halcyonpr.xyz)

08-04-2026

Via Transportation, Inc. (VIA) filed a DEFA14A with the SEC on April 08, 2026, classified as Definitive Additional Materials under Schedule 14A (Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934). The filing is soliciting material pursuant to § 240.14a-12, filed by the Registrant, with no fee required. No financial metrics, performance data, or other substantive details are provided in the filing header.

08-04-2026

East West Bancorp, Inc. filed its definitive proxy statement (DEF 14A) on April 8, 2026, for the virtual-only 2026 Annual Meeting of Stockholders on May 18, 2026 (record date March 30, 2026), proposing the election of 11 directors, an advisory vote to approve 2025 named executive officer compensation, amendment and restatement of the 2021 Stock Incentive Plan, adoption of the Employee Stock Purchase Plan, and ratification of KPMG LLP as independent auditors for the year ending December 31, 2026. The statement references the 2025 Annual Report on Form 10-K but provides no specific financial metrics or period-over-period comparisons in the excerpt. No declines, flat performance, or mixed results are highlighted as the focus is on governance matters.

• ·Annual Meeting: Monday, May 18, 2026, at 2:00 p.m. Pacific Time, virtual format via meetnow.global/MLUSZFD
• ·Proxy materials mailed on or about April 8, 2026; available at www.envisionreports.com/EWBC
• ·Fiscal year end: December 31
• ·Principal executive office: 135 N. Los Robles Ave., 7th Floor, Pasadena, CA 91101

08-04-2026

Universal Logistics Holdings, Inc. (Nasdaq: ULH) announced the appointment of Michael Rogers as Chief Financial Officer and Treasurer effective June 1, 2026, succeeding Jude M. Beres, who will resign from those positions effective May 29, 2026, to pursue opportunities outside the transportation and logistics industry. Rogers brings over 30 years of finance leadership experience from Ford Motor Company and current CFO roles at Conlan Tire Co. and Hercules Materials Holdings LLC. CEO Tim Phillips expressed enthusiasm for Rogers' addition and gratitude for Beres' nearly three decades of service, including as CFO since 2016.

• ·Filing date: April 08, 2026
• ·Mr. Rogers holds a Bachelor of Science in Civil Engineering from Rice University and an M.B.A. from the Mendoza College of Business at the University of Notre Dame.
• ·Mr. Beres previously served as Chief Administrative Officer and has been with the Company and affiliates for nearly three decades.
• ·Mr. Beres to assist with transition through May 29, 2026

08-04-2026

Brookdale Senior Living reported March 2026 consolidated weighted average occupancy of 82.0%, up 250 basis points YoY from 79.5%, while first quarter weighted average occupancy grew 280 basis points YoY to 82.1%. However, first quarter occupancy seasonally declined 40 basis points sequentially from the prior quarter, compared to a historical average decline of 60 basis points. Same community March weighted average occupancy improved 130 basis points YoY to 82.5%, with month-end occupancy rising sequentially to 83.3%.

• ·Consolidated month-end occupancy for March 2026: 83.3%
• ·Historically, Brookdale’s first quarter occupancy declines by an average of 60 basis points from prior quarter
• ·Brookdale operates in 41 states

08-04-2026

Consolidated Edison Inc's DEF 14A proxy statement for the 2026 Annual Meeting details strong corporate governance practices, including 10 of 11 independent directors (average age 65 with balanced tenure: 46% ≤6 years, 27% 7-16 years, 27% >16 years), an independent Lead Director, frequent executive sessions, and annual board self-assessments. Compensation policies emphasize pay-for-performance with 70% of 2025 long-term incentives performance-based and 30% time-based RSUs, alongside risk mitigation through balanced short- and long-term goals; proxy access and 25% ownership threshold for special meetings are also highlighted. No declines or flat metrics are disclosed in governance or compensation structure.

• ·Directors who are executive officers limited to one other public company board; others to no more than three; none exceeded in 2025.
• ·Voting: majority in uncontested elections, plurality in contested.
• ·Director terms: one-year, expiring at 2027 Annual Meeting.
• ·Corporate Governance and Nominating Committee oversees director nominations, diversity in candidate slates.

08-04-2026

U.S. Bancorp announced changes to its Consolidated Statement of Income and Balance Sheet presentation effective January 1, 2026, including reclassifications of fee revenues (e.g., corporate payment products renamed and expanded, service charges renamed to lending and deposit-related fees) and loan portfolios (e.g., small business credit card loans moved to credit card portfolio), with no impact on total net revenues, net income, total loans, total assets, ROA, ROE, or EPS. The Impact Finance business unit was shifted to the Wealth, Corporate, Commercial and Institutional Banking segment. Unaudited supplemental historical financial information conforming to the new presentation is furnished in Exhibit 99.1.

• ·Changes apply to historical periods with conforming supplemental data in Exhibit 99.1, furnished under Item 7.01 and not deemed 'filed' under Section 18.
• ·Reclassifications align reporting with business management across segments including Payment Services, Consumer and Business Banking, and Wealth, Corporate, Commercial and Institutional Banking.

08-04-2026

Voya Financial, Inc. repurchased $150 million of its common stock in Q1 2026 and entered into an accelerated share repurchase agreement for an additional $150 million in Q2 2026. Alternative investment income for Q1 2026 is estimated at $35 million to $45 million pre-tax (mid-point annualized return of 7.5%), including general account and Investment Management segment returns. These preliminary figures precede the Q1 earnings release on May 5, 2026, and earnings call on May 6, 2026.

• ·Preliminary results are unaudited, subject to financial closing procedures, and could differ materially from final results.
• ·Information not deemed 'filed' under Section 18 of the Securities Exchange Act of 1934.

08-04-2026

SS&C Technologies Holdings, Inc. issued a notice of internet availability of proxy materials for its 2026 Annual Meeting of Stockholders, to be held virtually on May 20, 2026 at 9:00 am ET. Key proposals include the election of three Class I directors (Normand A. Boulanger, David A. Varsano, Michael J. Zamkow), advisory approval of named executive officer compensation, ratification of PricewaterhouseCoopers LLP as independent auditor for the fiscal year ending December 31, 2026, and approval of the SS&C Third Amended and Restated 2023 Stock Incentive Plan. The board recommends voting 'FOR' all items; materials can be requested by May 6, 2026, and votes must be submitted by May 19, 2026 11:59 pm ET.

• ·Meeting attendance virtually at www.virtualshareholdermeeting.com/SSNC2026; check materials for special requirements.
• ·Proxy materials available online at www.ProxyVote.com or by request via phone (1-800-579-1639), email (sendmaterial@proxyvote.com with control number), or website.