Dow Jones 30 Stocks SEC Filings — April 20, 2026

20-04-2026

GTII Receivership Estate, assignee of MSC Capital Advisors LLC, converted $42,062.13 of principal and accrued interest from defaulted AURI convertible promissory notes into 841,242,529 shares of AURI common stock at $0.00005 per share (75% discount to $0.0002 market price), exhausting all 841,242,529 available authorized unissued shares and representing 8.41% of post-conversion outstanding shares. This partially reduces the $125,000 original principal but leaves $103,515.96 in remaining debt, with both notes in default. The estate demands AURI increase authorized shares to reserve 4.5x coverage for full conversion and fully disclose the notes in OTC Markets filings.

• ·AURI Note 1 maturity: Oct 18, 2025 (past due, in default); AURI Note 2 maturity: Mar 25, 2026 (past due, in default)
• ·Conversion date: April 8, 2026; Market price (April 7, 2026): $0.0002; Conversion price: $0.00005
• ·Shares must be issued within 3 business days or incur $500/day Fail to Deliver Fee
• ·Beneficial ownership post-conversion: 8.41% (under 9.99% limitation)
• ·AURI subject to OTC Markets Alternative Reporting Standard; required to disclose notes, conversion, and holder details in next filing

20-04-2026

Barrett Business Services, Inc. (BBSI) seeks shareholder approval for the Second Amended and Restated 2020 Stock Incentive Plan, increasing authorized shares from 2,900,000 to 4,100,000 (adding 1,200,000 shares, or 4.9% of outstanding shares as of April 6, 2026), with only 456,443 shares currently available for future grants. The plan maintains the ISO limit at 1,500,000 shares and includes features like no liberal share counting and minimum vesting requirements. All directors and executives comply with stock ownership guidelines, Section 16 reporting for 2025, and no insiders hold pledged shares.

• ·Non-employee directors expected to own shares worth at least 3x annual retainer ($70,000) within 3 years of election.
• ·Executive officers expected to own shares/RSUs worth at least 3x annual base salary by July 1, 2021 or 5 years after appointment.
• ·Plan terminates May 27, 2030; awards include ISOs, nonqualified options, SARs, RSUs, PSUs (no SARs or Restricted Shares granted to date).
• ·No repricing, minimum 1-year vesting (5% carve-out up to 205,000 shares), no dividends on unvested awards, 10-year max term.

20-04-2026

On April 17, 2026, Sierra Bancorp terminated William J. Wade II as Executive Vice President & Chief Operations Officer as part of an organizational realignment, entitling him to severance equal to 12 months' salary and health insurance premiums subject to signing a release within 21 days. Christopher Treece, Executive Vice President & Chief Financial Officer since January 2020, assumed the COO role with an amended employment agreement increasing his base salary by $25,000 to $466,000 per year. Marc Wolfe, age 35 and Senior Vice President & Corporate Controller since January 1, 2026, was appointed Principal Accounting Officer.

• ·William J. Wade II's employment agreement dated July 7, 2025.
• ·Christopher Treece has served as EVP & CFO since January 2020.
• ·Marc Wolfe joined the company in September 2015; holds BBA and MBA from National University.
• ·No family relationships among directors/executive officers and Marc Wolfe; no related party transactions.
• ·Amendment to Treece's employment agreement effective April 17, 2026.
• ·Exhibit 10.1: Second amendment to Treece's employment agreement.

20-04-2026

At Travelzoo's 2026 Annual Meeting of Stockholders on April 20, 2026, shareholders elected Ralph Bartel, Christina Sindoni Ciocca, Volodymyr Cherevko, Michael Karg, and Sharry Sun to the Board of Directors, with all candidates receiving majority support ranging from approximately 94% to 97% votes for. Shareholders approved stock option grants to Global CEO Holger Bartel (600,000 shares at $5.05 per share), the General Manager U.S., and Head of Engineering, though the CEO grant saw notable opposition with 1,908,524 votes against out of roughly 6.4 million total votes. Executive compensation was also approved on an advisory basis with strong support (6,216,201 for vs. 170,683 against).

• ·HB Option granted February 19, 2026; vests semi-annually in equal 25% installments over two years, first vesting June 30, 2026; expires five years from grant date.
• ·CEO, General Manager U.S., and Head of Engineering stock option proposals approved by stockholders on April 20, 2026.
• ·Annual meeting held via webcast at www.virtualshareholdermeeting.com/TZOO2026.
• ·Volodymyr Cherevko, Michael Karg, and Sharry Sun designated as independent directors per NASDAQ standards.

20-04-2026

On April 17, 2026, Faraday Future Intelligent Electric Inc. entered into a Note Purchase Agreement with an accredited investor, issuing a Promissory Note A-1 with $15,780,000 principal and a Secured Promissory Note B with $30,000,000 principal for an aggregate purchase price of $45 million. The notes mature in 24 months, carry 9% and 3.5% interest rates respectively, and allow investor redemptions into Class A Common Stock after 6 months, subject to share reservations and Nasdaq minimum price rules. No period-over-period financial metrics are reported, but the agreement includes dilutive equity conversion risks and strict exchange conditions requiring at least $5 million shareholders' equity and market cap.

• ·Share Reserve to be established within 10 trading days after next annual stockholder meeting, calculated as 1.5x (A Notes balance / Nasdaq Minimum Price) + 0.5x (B Note balance / Nasdaq Minimum Price).
• ·Note Exchange right upon A Notes reduction by at least $300,000, up to half of reduction amount, subject to Exchange Conditions including stockholder approval.
• ·Redemptions start 6 months after Purchase Price Date; aggregated across A Notes with cash or equity payment options if Nasdaq Minimum Price >= $0.0603.
• ·Monitoring fee after 180 days: (Outstanding Balance / 0.80) - Outstanding Balance.
• ·Trigger Events lead to potential Event of Default and Mandatory Default Amount after Cure Period.

20-04-2026

ServisFirst Bancshares reported Q1 2026 net income of $82.971 million, up 31.2% YoY from $63.224 million but down 4.0% QoQ from $86.384 million, with diluted EPS of $1.52 (up 31.0% YoY, down 3.8% QoQ). Strengths include net interest margin expansion to 3.53% (up 61 bps YoY), efficiency ratio of 29.80% (down from 34.97% YoY), and ending loans of $13.946 billion (up 8.2% YoY), while deposits grew modestly 0.4% YoY to $14.486 billion; however, non-performing assets rose to 1.00% of total assets (from 0.40% YoY), net charge-offs increased to 0.25% (from 0.19% YoY), and total assets declined 2.5% YoY.

• ·Consolidated common equity tier 1 capital ratio increased to 11.86% in Q1 2026 from 11.48% in Q1 2025.
• ·Return on average common stockholders' equity rose to 17.91% in Q1 2026 from 15.63% in Q1 2025.
• ·Provision for credit losses was $10.6 million in Q1 2026, up from $6.5 million in Q1 2025.
• ·Non-interest expense increased 2.8% YoY to $47.4 million, driven by 17.4% higher salary and benefits.
• ·Effective tax rate declined to 17.82% in Q1 2026 from 20.06% in Q1 2025 due to Investment Tax Credits.

20-04-2026

QVC Group, Inc. received a Nasdaq notice on April 17, 2026, determining delisting of its Series A common stock (QVCGA) and 8.0% Series A Cumulative Redeemable Preferred Stock (QVCGP) effective April 24, 2026, due to its Chapter 11 bankruptcy filing on April 16, 2026, public interest concerns, and doubts on continued listing compliance. Separately, its Series B common stock (QVCGB) is being downgraded from OTCQB Venture Market to OTCID Basic Market effective April 20, 2026. The company does not intend to appeal and warns that equity holders expect no recovery as interests will likely be cancelled under its prepackaged reorganization plan.

• ·Nasdaq determination based on bankruptcy filing, public interest concerns, residual equity interest doubts, and compliance sustainability.
• ·Company has right to appeal under Nasdaq Rule 5800 Series but does not intend to.
• ·Delisting not expected to affect business operations or Chapter 11 Cases; anticipates OTC Markets trading post-suspension but with no assurances on volume or continuity.
• ·Trading in securities highly speculative with prices unrelated to potential bankruptcy recovery.

20-04-2026

Investar Holding Corporation reported strong Q1 2026 net income available to common shareholders of $11.5 million ($0.77 per diluted share), up from $5.4 million ($0.51) in Q4 2025, driven by the January 1, 2026 acquisition of Wichita Falls Bancshares, Inc. (WFB) which added $891.8 million in loans (total $3.07 billion, +41.0% QoQ) and $882.6 million in deposits (total $3.23 billion, +37.6% QoQ), alongside net interest margin expansion to 3.59% (+39 bps QoQ). However, nonperforming loans increased to $20.3 million (0.66% of loans) from $9.3 million (0.43%) QoQ, tangible book value per share declined 3.0% to $22.72, and while efficiency ratio improved to 64.08%, credit quality showed deterioration.

• ·Core diluted EPS $0.87 in Q1 2026 vs $0.58 Q4 2025.
• ·Return on average assets 1.25% Q1 2026 vs 0.83% Q4 2025.
• ·Efficiency ratio 64.08% Q1 2026 vs 69.34% Q4 2025.
• ·Yield on loan portfolio 6.28% Q1 2026 vs 5.99% Q4 2025.
• ·Cost of funds 2.94% Q1 2026 (-4 bps QoQ); cost of deposits 2.85% (-6 bps QoQ).
• ·Business lending portfolio $1.17B (+10.6% QoQ).
• ·Reversal of credit losses $2.1M in Q1 2026.
• ·Noninterest-bearing deposits $640.1M (19.8% of total); brokered time deposits declined 50.4% QoQ to $101.2M.
• ·Book value per share $27.97 (+1.2% QoQ).

20-04-2026

Perspective Therapeutics, Inc. posted a poster on its website on April 18, 2026, presenting interim results from its Phase 1/2a clinical trial of [212Pb]VMT-α-NET for unresectable or metastatic somatostatin receptor subtype 2-expressing neuroendocrine tumors at the AACR 2026 Annual Meeting (April 17-22, 2026, San Diego, CA). The company issued a related press release on April 20, 2026, and updated its corporate presentation on April 18, 2026. No specific quantitative outcomes from the interim results are detailed in the filing text.

• ·AACR 2026: American Association for Cancer Research Annual Meeting, April 17-22, 2026, San Diego, CA
• ·Exhibits: 99.1 (AACR Poster), 99.2 (Press Release dated April 20, 2026), 99.3 (Investor Presentation)

20-04-2026

Calavo Growers, Inc. announced that the HSR Act waiting period for its proposed merger with Mission Produce, Inc. expired on April 17, 2026, satisfying one key regulatory condition. However, the transaction remains subject to Calavo shareholder approval, Mission Produce stockholder approval, and Mexico antitrust clearance, with potential risks of delays or failure to meet these conditions. The parties anticipate closing in the fiscal quarter ending July 31, 2026, if all conditions are satisfied.

• ·Merger Agreement entered on January 14, 2026.
• ·Registration Statement on Form S-4 filed March 9, 2026; Amendment No. 1 on March 18, 2026; declared effective March 20, 2026.
• ·Joint Proxy Statement/Prospectus mailing commenced on or about March 25, 2026.

20-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed a Form 8-K on April 20, 2026, under Items 7.01 (Regulation FD Disclosure) and 9.01 (Exhibits), announcing the issuance of a press release titled 'AITX Shares Fiscal 2027 Revenue Targets and Market Opportunity.' The press release is furnished as Exhibit 99.1. No specific financial figures, targets, or performance metrics were detailed in the filing itself.

20-04-2026

Enveric Biosciences, Inc. (ENVB) announced a private placement priced at-the-market under Nasdaq rules, issuing 2,222,223 shares of common stock (or pre-funded warrants) at $2.25 per share along with Series I and short-term Series J warrants to purchase up to 2,222,223 shares each at $2.00 exercise price, expected to yield $5 million upfront gross proceeds. Potential additional gross proceeds of approximately $8.9 million could result if warrants are fully exercised, for total up to $13.9 million, to be used for product development, working capital, and general corporate purposes. H.C. Wainwright & Co. serves as exclusive placement agent; closing expected on or about April 17, 2026, subject to customary conditions, with no assurance of warrant exercises.

• ·Purchase price: $2.25 per share (or pre-funded warrant)
• ·Warrant exercise price: $2.00 per share, immediately exercisable
• ·Series I warrants expire five years after Resale Registration Statement effective date
• ·Series J warrants expire eighteen months after Resale Registration Statement effective date
• ·Announcement date: April 16, 2026; Filing date: April 20, 2026

20-04-2026

Hydrofarm Holdings Group, Inc. (HYFM) dismissed Deloitte & Touche LLP as its independent registered public accounting firm effective April 14, 2026, and engaged CBIZ CPAs P.C. for the fiscal year ending December 31, 2026, following a selection process by the Audit Committee. The change resulted from no disagreements on accounting principles, financial disclosures, auditing scope, or reportable events during fiscal years 2024 and 2025 or the interim period through April 14, 2026. Deloitte's audit reports for those years were unqualified, and Deloitte provided a letter agreeing with the company's disclosures.

• ·Common Stock: $0.0001 par value per share, traded as HYFM on Nasdaq Stock Market LLC.
• ·No prior consultations with CBIZ CPAs on accounting, auditing, or reporting matters.
• ·Deloitte letter filed as Exhibit 16.1.

20-04-2026

Cleveland-Cliffs reported first-quarter 2026 revenues of $4.9 billion, up approximately 6% YoY from $4.6 billion and 14% QoQ from $4.3 billion, driven by steel shipments of 4.1 million net tons (up 9% QoQ but down slightly 1% YoY) and higher average selling prices of $1,048 per net ton (up 7% YoY and 6% QoQ). The company posted a GAAP net loss of $229 million ($0.42 per diluted share), improved from $486 million YoY and $235 million QoQ, with Adjusted EBITDA of $95 million (versus losses of $179 million YoY and $21 million QoQ) inclusive of an $80 million one-time energy cost impact from extreme cold weather. Liquidity remained strong at $3.1 billion as of March 31, 2026.

• ·Q1 2026 steel product sales mix: 44% hot-rolled, 29% coated, 15% cold-rolled, 5% plate, 3% stainless and electrical, 4% other including slabs
• ·Steelmaking sales breakdown: 31% to distributors and converters ($1.5B), 29% to infrastructure and manufacturing ($1.4B), 29% to automotive ($1.4B), 11% to steel producers ($552M)
• ·FY2026 outlook maintained: steel shipments 16.5-17.0 million net tons, capex ~$700M, SG&A ~$575M, DDA ~$1.1B, cash pension/OPEB ~$125M
• ·Conference call scheduled for April 20, 2026, at 8:30 a.m. ET

20-04-2026

Piermont Valley Acquisition Corp., a SPAC, entered into a merger agreement on April 17, 2026, with Tigerless Health, Inc., an insurtech company, involving mergers into Pubco (Tigerless AI Holdings Inc.), with closing expected in the second half of 2026 subject to stockholder approvals, regulatory conditions, and Nasdaq listing. Upon closing, former Tigerless stockholders will receive 5,600,000 Pubco Class A shares and 22,400,000 Class B shares, while Piermont stockholders get 5,952,886 Class A shares (assuming no redemptions); no immediate financial declines noted, but earnout shares up to $100M are contingent on post-closing milestones like >30% YoY revenue growth or >3% gross margin improvement.

• ·Termination possible if not closed by September 30, 2026 (extendable to December 31, 2026 if SEC delays Registration Statement)
• ·Pubco Class A common stock to be listed on Nasdaq; Class B not publicly traded
• ·Earn-out periods tested independently; no carryforward of unearned amounts
• ·Tigerless founded in 2018, headquartered in New York City

20-04-2026

Thermon Group Holdings, Inc. (NYSE: THR) released an update on April 20, 2026, regarding its liquid load bank solutions serving the data center market. The press release is available on the Company's investor relations website at https://ir.thermon.com. This disclosure is furnished under Item 7.01 of Form 8-K and not considered filed.

20-04-2026

Dauch Corporation (formerly American Axle & Manufacturing Holdings Inc.) filed a supplement to its March 19, 2026 proxy statement for the April 30, 2026 annual stockholder meeting, addressing ISS's recommendation against Proposal 3 to amend the 2018 Omnibus Incentive Plan by increasing available shares by 9,000,000. On April 13, 2026, the Compensation Committee approved a post-exercise holding requirement policy for named executive officers to counter ISS concerns regarding the absence of such a policy. The Board reiterates its recommendation to vote FOR the Plan Amendment.

• ·Proxy Statement filed with SEC on March 19, 2026
• ·Plan Amendment approved by Board on February 4, 2026
• ·Annual meeting scheduled for April 30, 2026 at 8:00 a.m. EST
• ·Post-exercise holding period: 12 months or earlier upon change in control, death, disability, or no longer NEO
• ·Institutional Shareholder Services (ISS) issued negative recommendation on Plan Amendment

20-04-2026

Cabaletta Bio, Inc. posted an updated corporate presentation to the 'Investors & Media' section of its website (www.cabalettabio.com) on April 20, 2026. The presentation, dated April 2026, is attached as Exhibit 99.1 to this Form 8-K filing under Items 8.01 and 9.01.

20-04-2026

Investment Research & Advisory Group, Inc., an Atlanta-based RIA, disclosed 13F holdings of 281 positions totaling $286,308,441 as of March 31, 2026. The portfolio is heavily weighted toward technology stocks, with top holdings including Apple Inc. ($19,544,055, 76,013 shares), Alphabet Inc. Class A ($12,248,660, 41,758 shares), Nvidia Corp. ($11,564,134, 64,299 shares), Microsoft Corp. ($7,850,643, 21,208 shares), and Amazon.com Inc. ($8,620,295, 41,231 shares). All positions are held solely with no shared or other manager discretion reported.

20-04-2026

PennyMac Financial Services, Inc. (PFSI) issued its 2026 Proxy Statement for the Annual Meeting on June 3, 2026, proposing the election of 10 experienced director nominees, ratification of the independent registered public accounting firm for the fiscal year ending December 31, 2026, and an advisory vote to approve named executive officer compensation. The Board emphasizes robust corporate governance features, including majority voting for uncontested director elections, an independent lead director (Jeffrey A. Perlowitz), annual board elections, and strict stock ownership guidelines, with no notable governance shortcomings highlighted. Director nominees possess deep expertise in mortgage finance, risk management, and leadership, supporting PFSI's focus on mortgage loan production, servicing, and investments.

• ·Annual Meeting Date and Time: Wednesday, June 3, 2026, at 11:00 a.m. Pacific Time, online via www.virtualshareholdermeeting.com/PFSI2026
• ·Record Date: April 6, 2026
• ·Proxy Statement Mail Date: April 20, 2026
• ·Independent Lead Director Term: Jeffrey A. Perlowitz, expires February 2028
• ·Board limits: CEO directors limited to 2 outside public boards; others to 5
• ·HCP nomination right: Up to 2 directors based on voting power ownership

20-04-2026

LVW Advisors, LLC filed its 13F-HR on April 20, 2026, for the quarter ended March 31, 2026, disclosing holdings across 436 securities with a total market value of $1,049,615,226, all held with sole voting power. Top positions include Apple Inc. ($35,431,765, 139,611 shares), Amazon.com Inc. ($11,379,457, 54,638 shares), Alphabet Inc. Cap Stk Cl A ($10,724,544, 37,295 shares), and Alphabet Inc. Cap Stk Cl C ($11,988,726, 41,793 shares). No changes in voting authority or put/call options are reported.

• ·Filing as of date: April 20, 2026
• ·Conformed period of report: March 31, 2026
• ·All holdings reported with sole discretionary voting power and no shared power, puts, or calls

20-04-2026

Charles & Colvard, Ltd., in Chapter 11 bankruptcy since March 2, 2026, entered an Asset Purchase Agreement on April 15, 2026, with Van Lang Jewelry LLC or affiliate Jewelry Design Partners LLC to sell substantially all assets (excluding certain excluded assets) for $1,500,000, subject to credit bid against prior financing debt, bankruptcy court approval, and potential higher bids in a Section 363 auction. The buyer is designated as the stalking horse bidder, with the transaction subject to bidding procedures, court approval, and closing conditions including a July 7, 2026 deadline. The company cautions that common stockholders face substantial risk of significant or complete loss on their investment due to the bankruptcy proceedings.

• ·Duc Pham, who resigned from the Board on March 25, 2026, is a Manager of Jewelry Design Partners LLC.
• ·Section 364 Financing Loan Agreement dated March 24, 2026, between the Company and the Buyer.
• ·Bankruptcy Court: United States Bankruptcy Court for the Eastern District of North Carolina; case styled 'In re Charles & Colvard, Ltd.'
• ·Purchase Agreement termination possible if not closed by July 7, 2026; sale order by July 2, 2026.
• ·Customary representations, warranties, and covenants in the Purchase Agreement for a bankruptcy asset sale.

20-04-2026

Guild Investment Management, Inc. filed its 13F-HR report disclosing 47 equity positions totaling $139950814 as of March 31, 2026. The portfolio is diversified across technology stocks (e.g., Nvidia at $8137097, Microsoft at $3281351), short-term T-Bills ($13215907), inflation-protected securities ($16577906), physical gold ($12860113), and Bitcoin-related ETFs (e.g., Grayscale Bitcoin Trust at $3568686). No period-over-period changes are available in this filing.

• ·Filing submitted on April 20, 2026, for quarter ended March 31, 2026.
• ·All positions reported as sole ownership (SH SOLE).
• ·Additional notable holdings include Dell Technologies ($5954636), Broadcom ($1499266), and VanEck Merk Gold ETF ($5537997).

20-04-2026

RiverTree Advisors, LLC filed its 13F-HR on April 20, 2026, disclosing holdings as of March 31, 2026, with a total market value of $157,890,410 across 60 positions, all held with sole discretion and no options or shared management. The portfolio is heavily weighted toward ETFs from First Trust, Simplify, and others, alongside smaller stakes in individual stocks such as Berkshire Hathaway (500 shares), JPMorgan Chase (800 shares), and Energy Transfer (17,500 shares). No period-over-period changes are indicated in the filing.

• ·All positions reported as SH SOLE with 0 shares in put/call, other manager, and sole shared
• ·Business address: 941 West Morse Boulevard, Suite 100, Winter Park, FL 32789
• ·SEC file number: 028-21315
• ·Central Index Key: 0001872501

20-04-2026

Foster Victor Wealth Advisors, LLC filed its 13F-HR on April 20, 2026, reporting total holdings of $1,749,767,273 across 243 positions as of March 31, 2026. Top holdings include Alphabet Inc. Cap Stk Cl A ($46,782,354, 140,526 shares), Amazon.com Inc. ($46,912,629, 188,389 shares), and Apple Inc. ($28,512,898, 110,161 shares). All positions are held with sole voting and dispositive power, with no other rights reported.

• ·Filing covers period ending 03-31-2026
• ·Business address: 10 Toy Street, Suite 200, Greenville, SC 29601
• ·One put option position: Coca Cola Co. (16,000 shares put, value $1,380)

20-04-2026

Golden Reserve Retirement LLC filed its 13F-HR on April 20, 2026, disclosing 104 equity positions held as of March 31, 2026, with a heavy emphasis on passive ETFs and large-cap US stocks managed on a sole discretionary basis. The portfolio features massive allocations to broad market ETFs including Vanguard Total Stock Market ETF ($127.5B), Schwab U.S. Large-Cap Growth ETF ($118.3B), Invesco QQQ ($62.4B), Schwab U.S. Dividend Equity ETF ($70.2B), and Schwab U.S. Small-Cap ETF ($43.6B). Individual stock holdings are smaller but include prominent tech names such as NVIDIA ($3.9B), Apple ($3.4B), and Microsoft ($2.5B), reflecting no performance changes as this is a quarterly snapshot disclosure.

• ·Conformed period of report: 2026-03-31
• ·Filed as of date: 2026-04-20
• ·Central Index Key (CIK): 0002066488
• ·EIN: 843459219
• ·Business address: 270 Bradenton Ave, Dublin, OH 43017
• ·All positions reported as SH SOLE with no puts, calls, or shared discretion

20-04-2026

Emprise Bank filed its 13F-HR report on April 20, 2026, for the period ended March 31, 2026, disclosing total managed assets of $249122835 across 107 positions held with sole voting authority. The portfolio is diversified with significant allocations to equities such as Apple Inc ($5523232), Broadcom Inc ($6624133), and NVIDIA Corporation ($6485936), alongside fixed income holdings including VANGUARD INTERMEDIATE-TERM ($35042436). No period-over-period changes are provided in the filing.

• ·All 107 positions held with sole voting authority and no shared authority indicated.
• ·Includes fixed income positions such as HEMPSTEAD TOWN 5.000 10/01/27 ($50074) and MODESTO CALIF 5.000 09/01/27 ($50089).
• ·Diversified across ETFs from Vanguard, iShares, Dimensional, Avantis, and Schwab.

20-04-2026

Peoples Financial Services Corp. (PFIS), a Pennsylvania-based national commercial bank holding company, filed its 13F-HR on April 20, 2026, disclosing equity holdings as of March 31, 2026, managed by its trust operations. The portfolio features substantial positions in large-cap stocks and ETFs, with top holdings including Apple ($9,181,835,000 sole discretionary), Broadcom ($7,227,040,000), and Amazon ($3,794,859,000 sole). This routine quarterly snapshot provides no direct period-over-period comparisons or performance metrics.

• ·Report filed under SEC file number 028-15675
• ·Filer EIN: 232391852
• ·Business address: 30 E D Preate Drive, Moosic, PA 18507
• ·Contact phone: 570-346-7667
• ·Conformed period end: 03-31-2026

20-04-2026

Cottage Street Advisors LLC filed its 13F-HR on April 20, 2026, disclosing total portfolio holdings of $231,147,262 as of March 31, 2026, across 138 positions all held with sole voting power. Top holdings by value include PIMCO Enhanced Short MINT ($13,317,924), Apple Inc. (AAPL, $10,220,890), Alphabet Inc. Class C (GOOG, $9,227,738), Microsoft Corp. (MSFT, $8,272,611), and JPMorgan Ultra-Short Income ETF (JPST, $8,695,226). No period-over-period changes are detailed in the filing.

• ·All 138 positions held with sole voting power (SH SOLE) and no shared or other voting power indicated.
• ·Firm address: 9 Cottage Street, PO Box 249, Marion, MA 02738.

20-04-2026

Barton Investment Management filed its 13F-HR on April 20, 2026, disclosing holdings as of March 31, 2026, totaling $797326082 across 54 positions, all with sole voting power and no other reported rights. Top holdings include Netflix Inc. COM ($225275797, 2342962 shares), Shopify Inc. CL A SUB VTG SHS ($190142997, 1602959 shares), and Amazon.com Inc. COM ($103559759, 497238 shares). No performance metrics, changes, or comparisons to prior periods are provided in the filing.

• ·All 54 holdings reported with sole voting power (SH SOLE) and zero shares for other managers, put, or call options.
• ·Berkshire Hathaway Inc DEL CL A: 10 shares valued at 7181400 ($7.2M).
• ·NVIDIA Corporation COM: 3666 shares valued at 639351 ($0.6M).

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20-04-2026

Auour Investments LLC disclosed $317,928,480 in total holdings across 91 positions in its 13F-HR filing as of March 31, 2026. The portfolio is dominated by ETFs, with top positions including SPDR Series Trust (CUSIP 78464A854, $60,841,583), SPDR Index Shares (CUSIP 78463X889, $33,494,469), and another SPDR Series Trust (CUSIP 78468R663, $26,436,629). Individual stocks represent smaller allocations, such as Apple Inc. ($2,098,336 for 8,268 shares), Alphabet Inc. Class A ($345,072 for 1,200 shares) and Class C ($725,182 for 2,528 shares).

20-04-2026

Balance Wealth, LLC filed its 13F-HR on April 20, 2026, reporting total holdings of $322,075,545 across 149 positions as of March 31, 2026. The portfolio is diversified with significant allocations to ETFs such as Vanguard S&P 500 ETF ($24,124,517), J P Morgan Exchange Traded F Equity Focus ETF ($19,277,170), and Schwab Strategic Tr US Lrg Cap ETF ($9,800,995), alongside individual stocks like McDonalds Corp ($439,918) and Polaris Inc ($245,250). All reported positions are held with sole voting power.

• ·Filing period end date: March 31, 2026
• ·All holdings reported with sole shared discretionary voting power (SH SOLE)

20-04-2026

Contravisory Investment Management, Inc. filed its quarterly 13F-HR on April 20, 2026, reporting 366 equity positions totaling $488,063,857 as of March 31, 2026, with all holdings under sole discretion and no shared or other voting authority. Top holdings by value include APA Corporation ($14,706,479), Taiwan Semiconductor Manufacturing Sponsored ADS ($13,975,922), Alphabet Inc. Cap Stk Cl C ($11,340,723), Goldman Sachs Group Inc. ($10,414,137), and Barclays PLC ADR ($8,542,398). No period-over-period changes are disclosed in this filing.

• ·Report period end date: March 31, 2026
• ·Filer CIK: 0001365707
• ·State of incorporation: MA

20-04-2026

Green Stream Holdings, Inc. adopted amended Bylaws and designated 1,000,000 shares of Convertible X Preferred Stock via written consent of sole director Nan Yang on April 18, 2026, filed in an 8-K on April 20, 2026 under Items 3.03, 5.03, and 9.01. The preferred stock features conversion rights, voting rights on an as-converted basis, senior ranking, liquidation preference, and protective provisions. No financial impacts or performance metrics are disclosed.

• ·Sole director confirms full authority due to Company's capital structure including preferred stock with super-voting rights
• ·Authorization for officers to file 8-K with Bylaws as Exhibit 3.1 and Certificate of Determination as Exhibit 3.2
• ·Ratification of all prior actions by officers or agents related to these matters

20-04-2026

AIAI Holdings Corp filed an S-1/A registration statement on April 20, 2026, for a direct listing as an emerging growth company with no operating history since its formation on July 19, 2024. The company plans to grow by acquiring Portfolio Companies, including six operating companies via subsequent events in January 2026, and applying AI technology to their operations, though it emphasizes risks such as lack of established financing, acquisition uncertainties, and dependence on unproven AI integration with no guaranteed revenue improvements. No financial performance metrics are provided, highlighting early-stage development challenges.

• ·Company formed on July 19, 2024
• ·Subsequent events include Stock Subscription Agreement on March 1, 2025; executive officer event on January 15, 2026; Share Exchange Agreement on January 22, 2026; Purchase Agreement and License Agreement with Six Operating Companies on January 23, 2026
• ·Electing extended transition period for new accounting standards under JOBS Act

20-04-2026

Nextdoor Holdings, Inc. (NXDR) filed Definitive Additional Materials (DEFA14A) under Schedule 14A on April 20, 2026, related to its 2026 Annual Stockholders Meeting (ASM). The filing is by the registrant with no fee required. No financial metrics, voting details, or other substantive information is provided in the cover notice.

• ·Filing Type: DEFA14A (Proxy Statement Additional Materials)
• ·Status: Definitive Additional Materials

20-04-2026

San Juan Basin Royalty Trust declared no cash distribution for April 2026 due to excess production costs of $6,631,825 gross ($4,973,869 net to the Trust), which increased by $445,006 gross ($333,755 net) from the prior month amid low natural gas prices and production costs exceeding revenues. For February 2026, Hilcorp reported $5,237,354 in total revenue from Subject Interests but $5,682,360 in production costs, with gas volumes declining 10.1% MoM to 1,891,801 Mcf and average gas prices falling 8.8% MoM to $2.70 per Mcf. The Trust drew $121,741 from its Line of Credit to cover administrative expenses, increasing the balance to $872,254, with cash reserves now at $9,367.

• ·Interest income of $117 for the month.
• ·Cash reserves utilized $4,890 to pay Line of Credit interest in April 2026.
• ·No distributions until excess costs repaid, $2M reserve replenished, and Line of Credit principal/interest repaid.

20-04-2026

First PREMIER Bank filed its 13F-HR on April 20, 2026, disclosing a portfolio of 581 equity positions valued at $433,209,000 as of March 31, 2026. Holdings are diversified across common stocks and ETFs, with significant allocations to Apple Inc. (multiple tranches totaling values including $10,478,000 and $11,183,000), Amazon.com Inc., and Alphabet Inc. No period-over-period changes are detailed in this snapshot filing.

• ·SEC file number: 028-17067
• ·Business address: Wealth Management, 500 S Minnesota Ave, Sioux Falls, SD 57104
• ·Filer CIK: 0001653926
• ·Alerus Financial Corp: 17036 shares sole

20-04-2026

Lilly Endowment Inc. filed its 13F-HR on April 20, 2026, reporting holdings as of March 31, 2026. The filing discloses a single position of 91,896,978 shares of common stock (CUSIP 532457108) valued at $84,524,083,455, held with sole investment discretion and voting authority. No changes, additions, or reductions in holdings are indicated in this quarterly snapshot.

• ·Central Index Key (CIK): 0000316011
• ·SEC File Number: 028-00889
• ·Business Address: 2801 North Meridian Street, Indianapolis, IN 46208

20-04-2026

TrueMark Investments, LLC filed a 13F-HR report on April 20, 2026, disclosing 167 equity positions totaling $513724785 as of March 31, 2026, managed across multiple advisers including Eagle Global Advisors LLC and RiverNorth Capital Management, LLC. Largest holdings include SPDR Series Trust State Street SPDR S&P 500 ETF Trust (16800831 value), Verizon Communications Inc (14421807 value), and Philip Morris International Inc (14059026 value), with all positions reported as sole voting power. No prior period comparisons are available in the filing.

• ·Report includes numerous SPAC units, rights, and warrants (e.g., Paradise Acquisition Corp Right, Bhav Acquisition Corp Unit).
• ·Heavy concentration in closed-end funds, ETFs, and energy/infrastructure stocks.
• ·Filed from Chicago, IL; business phone 877-774-8783.

20-04-2026

Kastel Capital Advisors, LLC filed its 13F-HR report disclosing 55 equity positions with a total market value of $162,914,154 as of March 31, 2026. Holdings are primarily in ETFs from iShares, Vanguard, Schwab, and Fidelity, including significant allocations to fixed income and broad market funds such as Fidelity Total Bond ETF (436,100 shares) and iShares Core MSCI Total International Stock ETF (206,903 shares), alongside smaller positions in individual stocks like Apple Inc. (1,024 shares) and Alphabet Inc. Class A (645 shares). No period-over-period changes are detailed in the filing.

• ·Filing CIK: 0002111663
• ·Headquarters: 40 Grove Street, Suite 190, Wellesley, MA 02482
• ·All positions reported as sole voting authority (SOLE)

20-04-2026

First American Bank filed its 13F-HR on April 20, 2026, reporting holdings as of March 31, 2026, with a total portfolio market value of $1593767958 across 282 positions. Top holdings include Apple Inc. ($160954875), Broadcom Inc. ($98694082), Alphabet Inc. Class A ($81697224), Microsoft Corp. ($71870727), and NVIDIA Corporation ($66758917). The filing discloses detailed share counts and voting authority (SOLE, DFND, OTR) for each position, with no period-over-period changes provided in this report.

• ·Filing covers period ending 2026-03-31
• ·Business address: 218 W. Main Street, Dundee, IL 60118
• ·SEC file number: 028-11265

20-04-2026

Davis Investment Partners, LLC filed its 13F-HR report on April 20, 2026, disclosing equity holdings as of March 31, 2026, with a total market value of $283,091,329 across 167 positions. The portfolio features significant allocations to Invesco equal-weight S&P 500 sector ETFs, including $56,746,226 in the Technology sector ETF (1,253,783 shares), $28,771,654 in the Equal Weight ETF, and $15,582,267 in the Industrials ETF, alongside individual stocks like Apple Inc (23,527 shares, $5,970,920), Microsoft Corp (10,101 shares, $3,739,134), and Exxon Mobil Corp (31,712 shares, $5,380,298). All positions are held solely with full discretionary voting authority and no reported changes, puts, calls, or other manager holdings.

• ·All 167 holdings reported as SH SOLE with 0 put/call shares and 0 other manager shares
• ·Firm address: 4521 Sharon Road, Suite 375, Charlotte, NC 28211
• ·SEC file number: 028-23082
• ·Central Index Key: 0001963865

20-04-2026

Tower View Wealth Management LLC reported total equity holdings of $194,797,374 across 204 positions as of March 31, 2026, all held with sole voting power and no other reported changes. Top positions include SPDR S&P 500 ETF Trust ($9,494,923), NVIDIA Corporation ($8,969,883), Eli Lilly & Co ($8,894,101), Alphabet Inc Class C ($7,388,989), and Vanguard Growth ETF ($7,791,246). The portfolio reflects a diversified mix of individual stocks and ETFs, with heavy weighting in technology and broad market indices.

• ·All 204 positions held with sole voting power (SH SOLE 0 0).
• ·Filing covers period ending March 31, 2026, filed April 20, 2026.
• ·Portfolio includes significant ETF exposure (e.g., various iShares, Vanguard, SPDR funds) alongside individual stocks.

20-04-2026

Oak Family Advisors, LLC filed its 13F-HR report on April 20, 2026, disclosing $355303017 in total market value of 123 equity holdings, ETFs, and derivatives as of March 31, 2026. Top positions include SPDR S&P 500 ETF put options valued at $26013600 (40,000 shares), Taiwan Semiconductor Manufacturing sponsored ADS ($16703517, 49,426 shares), and Novo-Nordisk A/S ADR ($9141379, 248,745 shares). Other significant holdings feature Amazon.com Inc ($7494596, 35,985 shares) and Enterprise Products Partners L.P. ($7449417, 196,866 shares).

• ·Filing period end date: March 31, 2026
• ·SEC file number: 028-20782
• ·Central Index Key: 0001846161
• ·Business address: 150 N Wacker Drive, Suite 1760, Chicago, IL 60606