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Nasdaq 100 Stocks SEC Filings — April 14, 2026

USA NASDAQ-100

9 high priority8 medium priority17 total filings analysed

Executive Summary

Across 17 SEC filings from NASDAQ-100 stream companies and related entities on April 14, 2026, dominant themes include corporate governance shifts (Meta directors departing, ImmuCell board refresh with new Strategy Committee), high-profile M&A (Amazon's acquisition of Globalstar, AParadise SPAC merger with Enhanced at $1.2B EV), and mixed annual results (Saga revenue -5.1% YoY to $107M with $20M+ impairments driving net loss -$1.22 EPS vs +$0.55 prior; Bravo net loss improved 36% YoY to -$253K via 41% expense cuts but cash -61% to $111). Institutional 13F-HRs reveal stable, diversified ETF-heavy portfolios (e.g., Murphy Pohlad $279B AUM with Intel/Chevron tops, no changes noted). Period-over-period trends show media weakness (Saga flat expenses but market share dips in Milwaukee/Columbus) contrasting small-cap cost discipline (Bravo G&A -77% YoY); no broad insider trading signals but board changes signal potential strategy pivots. Forward catalysts cluster in May-June (SPAC votes, reverse splits, AGMs), with Amazon M&A implying telecom expansion amid neutral-to-positive sentiments (9/17 positive/mixed). Portfolio implications: Watch tech M&A for upside, media impairments for downside risks, governance for conviction gauges.

Tracking the trend? Catch up on the prior Nasdaq 100 Stocks SEC Filings digest from April 07, 2026.

Investment Signals(8)

  • Board expanded to 7 with 6 independents, new Strategy/Tech Committee chaired by Dr. Guillemette to boost First Defense® innovation; positive sentiment, retiring members stay executive

  • Artificial Intelligence Technology Solutions (AITX)(BULLISH)

    OTCQB application signals market structure evolution and uplisting potential; positive sentiment from CEO Reinharz

  • Amazon.com(BULLISH)

    Definitive merger with Globalstar announced (no terms disclosed), expanding telecom/satellite capabilities; dual 425/8-K filings with positive sentiment

  • Net loss narrowed 36% YoY to -$253K, expenses -41% (G&A -77%, professional fees -67%); cost discipline amid flat board fees

  • Station expenses nearly flat -0.1% YoY at $91.8M despite revenue -5.1%; cash +19% to $22.5M, long-term debt steady $5M

  • Immunic Inc.(NEUTRAL TO BULLISH)

    Shareholders approved 1-for-10 to 1-for-30 reverse split (Board selected 1:10), effective April 27 with 54% quorum; new CUSIP to maintain Nasdaq compliance

  • Murphy Pohlad Asset Management(BULLISH INSTITUTIONAL)

    $279B portfolio stable with sole voting on 134 positions; heavy tech/energy (Intel $5.7B, SLB $6.5B) signals conviction in cyclicals

  • USA Financial Formulas(NEUTRAL TO BULLISH)

    437 positions ETF-dominant (small/mid-cap focus, e.g., IWM $108M, IJS $110M); no changes implies steady beta exposure

Risk Flags(8)

  • Net revenue -5.1% YoY to $107M, full goodwill impairment $19.2M (to $0), operating loss -$11M vs +$2.4M prior, EPS -$1.22 vs +$0.55; dividend cut to $1.00 from $1.60

  • Directors Hock Tan/Tracey Travis not re-electing at 2026 AGM (serve until then); potential strategy shift or conflicts

  • Aditxt/Debt[HIGH RISK]

    Senior unsecured note with OID, 18% default interest, redemption rights on events like $500K judgments or bankruptcy; no principal disclosed

  • Cash -61% YoY to $111, liabilities +32% to $1.06M, deficit widened to -$1.06M despite loss improvement

  • Enhanced merger at $1.2B EV faces unproven model, minimal revenue, regulatory scrutiny; S-4 effective but redemption risks up to $200M proceeds

  • Milwaukee contrib 11% (down from 12% YoY), Columbus 7% (from 8%), others flat; impairments signal asset writedowns

  • Warrant to Avaya for 22M shares at $0.135 (to 2036), cashless exercise, registration rights; observer board seat adds influence

  • $70M new bonds (3.8-4% rates, calls 2026-27); routine but adds to joint obligations amid no govt guarantee

Opportunities(8)

  • Acquisition closes post-regulatory (timeline TBD); expands satellite/direct-to-device, synergize with AWS/Prime; positive sentiment

  • New directors Dr. Guillemette/DiMarco target animal health biologics growth; updated investor deck, AGM June 11

  • AITX/Uplisting(OPPORTUNITY)

    OTCQB move positions for broader liquidity/visibility in AI tech; Reg FD disclosure by CEO

  • S-4 effective April 13, EGM May 1, NYSE list 'ENHA', $1.2B EV + Enhanced Games May 24; $200M cash if no redemptions

  • 41% YoY expense cut, loss halved; low cash but potential for monetization (1B shares auth)

  • 1:10 effective April 27 maintains Nasdaq 'IMUX'; post-vote momentum with 57M for vs 12M against

  • Stable $212M portfolio (top SCHB/SPY-like ETFs $11-13M each); sole discretion for passive alpha

  • $197B in 2 positions (JBT Marel $133B, Oculis $64B); high conviction bets for relative outperformance

Sector Themes(6)

  • M&A Acceleration in Tech/Telecom

    Amazon-Globalstar deal + AParadise-Enhanced SPAC ($1.2B EV) signal consolidation; 4/17 filings M&A-related, positive sentiment, watch May closings for synergies [IMPLICATION: Sector upside, but reg risks]

  • Media/Broadcast Weakness

    Saga sole 10-K shows -5.1% revenue YoY, 100% goodwill impair, div cut 38%; market shares slipping (Milwaukee -100bps); contrasts flat expenses [IMPLICATION: Avoid or short regional radio]

  • Governance Overhauls in Small Caps/Biotech

    ImmuCell 3 retire/2 add + committee; Meta 2 directors out; Immunic split vote; positive/mixed sentiment 3/5 cases [IMPLICATION: Innovation pivots, monitor conviction]

  • Institutional Stability via 13Fs

    4 filings (Arcadia/Murphy/USA/Gildi) disclose $212M-$279B AUM, no changes, ETF/stock mix (e.g., Intel/VF/energy); sole voting [IMPLICATION: Passive flows support broad indices]

  • Debt/Capital Stress in Microcaps

    Aditxt note default risks, Bravo liab +32%, Saga impairments/div cut; vs steady Saga debt $5M [IMPLICATION: High yield but default alpha traps]

  • Event-Driven Catalysts Cluster May-June

    5+ events (SPAC May 1, split Apr 27, Games May 24, ImmuCell AGM Jun 11); forward-looking from 6/17 filings [IMPLICATION: Volatility trades pre-event]

Watch List(8)

  • Strategy updates post-board refresh, webcast June 11 9:30AM ET; innovation targets for First Defense® [June 11, 2026]

  • Shareholder approval for $1.2B SPAC merger, record Apr 2; redemptions key to $200M cash [May 1, 2026, 8AM ET]

  • 1:10 effective, new 'IMUX' trading/CUSIP; post-quorum momentum [April 27, 2026, 12:01AM ET]

  • Enhanced Games/Event
    👁

    Inaugural post-merger catalyst for SPAC value prop; Resorts World LV [May 24, 2026]

  • Regulatory approvals pending; terms undisclosed, watch for financing [TBD post-April 14]

  • Successor directors post Hock Tan/Travis exit; governance continuity [2026 Annual Meeting]

  • Impairment fallout, div sustainability amid $5M debt; market recovery [Q2 2026]

  • Monitor defaults ($500K triggers), OID details from Amro Albanna; prepay restrictions [Ongoing post-April 10]

Filing Analyses(17)
Meta Platforms, Inc.8-Kneutralmateriality 6/10

14-04-2026

On April 8, 2026, Hock E. Tan and Tracey T. Travis notified Meta Platforms, Inc. of their decision not to stand for re-election to the Board of Directors at the 2026 Annual Meeting of Shareholders. Both directors will continue to serve until the Annual Meeting. The filing was made on April 14, 2026.

  • ·Filing Type: 8-K, Item 5.02
IMMUCELL CORP /DE/8-Kpositivemateriality 8/10

14-04-2026

ImmuCell Corporation (Nasdaq: ICCC) appointed Dr. Gilles Guillemette and Dr. Anthony DiMarco to its Board of Directors effective April 15, 2026, to bolster its innovation strategy in animal health biologics, particularly for the First Defense® product line. The company is transitioning to a 7-person Board with six independent directors and the CEO, establishing a new Strategy and Technology Committee chaired by Dr. Guillemette. Retiring board members Bryan Gathagan, Michael Brigham, and Bobbi Brockmann step down effective April 15, 2026, while Timothy Fiori retires after the June 11, 2026 Annual Meeting.

  • ·Annual Meeting of Stockholders scheduled for June 11, 2026 at 9:30 AM ET via live audio webcast and telephone.
  • ·Ms. Brockmann and Mr. Fiori will continue in their executive roles post-retirement from the Board.
  • ·Updated Investor Presentation available at http://www.immucell.com/investors.
ARCADIA INVESTMENT ADVISORS LLC13F-HRneutralmateriality 3/10

14-04-2026

Arcadia Investment Advisors LLC filed a 13F-HR report disclosing 81 equity positions totaling $211813007 as of March 31, 2026, all held under sole investment discretion with no reported changes, shared holdings, or other voting authority. The portfolio is diversified across individual stocks and ETFs, with top holdings including Schwab Strategic TR US Lrg Cap ETF at $12933355, SPDR Index Shs Fds State Street Spd (78463X848) at $11380155, and American Cnty ETF Tr Avantis US LARG at $11032341. No period-over-period comparisons are provided in the filing.

  • ·All positions held with sole voting authority.
  • ·No put/call options or other manager discretion reported.
  • ·Filed on April 14, 2026 for period ending March 31, 2026.
Artificial Intelligence Technology Solutions Inc.8-Kpositivemateriality 5/10

14-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on April 14, 2026, under Items 7.01 (Regulation FD Disclosure) and 9.01 (Exhibits), announcing the issuance of a press release titled 'AITX Takes Next Step in Market Structure Evolution with OTCQB Application.' The press release is furnished as Exhibit 99.1. The filing was signed by CEO Steven Reinharz.

  • ·Filing Date: April 14, 2026
  • ·Date of Earliest Event Reported: April 14, 2026
  • ·Principal Executive Offices: 10800 Galaxie Avenue, Ferndale, Michigan, United States 48220
  • ·Telephone: (877) 787-6268
  • ·State of Incorporation: Nevada
  • ·Commission File Number: 000-55079
  • ·IRS Employer Identification No.: 27-2343603
SAGA COMMUNICATIONS INC10-Kmixedmateriality 9/10

14-04-2026

Saga Communications Inc. reported net operating revenue of $107,112 thousand for the year ended December 31, 2025, down 5.1% from $112,919 thousand in 2024, with market contributions showing slight declines in Milwaukee (11% vs 12%) and Columbus (7% vs 8%) while others remained flat. Significant impairments of goodwill ($19,229 thousand) and intangible assets ($1,168 thousand) drove an operating loss of $11,044 thousand and net loss of $7,899 thousand (EPS -$1.22), compared to operating income of $2,355 thousand and net income of $3,460 thousand (EPS $0.55) in 2024. However, station operating expenses were nearly flat at $91,781 thousand (-0.1%), cash and equivalents rose to $22,506 thousand from $18,860 thousand, and dividends were reduced to $1.00 per share from $1.60.

  • ·Milwaukee market contributed 11% of consolidated net operating revenue in 2025 (down from 12% in 2024)
  • ·Goodwill fully impaired to $0 from $19,229 thousand as of Dec 31 2025
  • ·Long-term debt steady at $5,000 thousand
  • ·Dividends declared per share $1.00 in 2025 (down from $1.60 in 2024)
Murphy Pohlad Asset Management LLC13F-HRneutralmateriality 7/10

14-04-2026

Murphy Pohlad Asset Management LLC filed its 13F-HR report on April 14, 2026, disclosing holdings as of March 31, 2026, with a total portfolio value of $278,977,471,000 across 134 positions, all held with sole voting authority. Top holdings by value include SLB Limited ($6,518,770,000), Medtronic PLC ($5,737,703,000), Intel Corp ($5,698,374,000), Chevron Corporation ($5,344,433,000), and VF Corp ($4,708,693,000). The diversified portfolio spans energy, healthcare, technology, financials, and ETFs with no reported options or shared voting authority.

  • ·All 134 positions reported with sole voting authority and no put/call options.
  • ·Significant ETF holdings include Dimensional ETF Trust US Core Equity 2 (22,504 shares, $874,505,000) and various Vanguard funds.
  • ·Firm based in Eden Prairie, MN, with SEC file number 028-15160.
AMAZON COM INC425neutralmateriality 9/10

14-04-2026

Amazon.com, Inc. and Globalstar, Inc. announced on April 14, 2026, via joint press release, that they have entered into a definitive merger agreement for Amazon to acquire Globalstar, subject to customary closing conditions including regulatory approvals. The announcement was filed as a Form 425 under Regulation FD disclosure. No financial terms of the transaction were disclosed in the filing.

  • ·Filing Type: Form 425 (M&A Communications)
  • ·Securities registered include Common Stock (AMZN) and various Notes due 2028-2064 on Nasdaq
AMAZON COM INC8-Kpositivemateriality 9/10

14-04-2026

On April 14, 2026, Amazon.com, Inc. and Globalstar, Inc. issued a joint press release announcing a definitive merger agreement for Amazon to acquire Globalstar, subject to customary closing conditions including regulatory approvals. The press release is attached as Exhibit 99.1. No financial terms or other quantitative details were disclosed in the filing.

Aditxt, Inc.8-Kneutralmateriality 8/10

14-04-2026

Aditxt, Inc. entered into a Senior Unsecured Promissory Note on April 10, 2026, issued with Original Issue Discount (OID) and an unspecified Original Principal Amount (U.S. $[-]). The note accrues interest on a 360-day basis, payable in cash on Interest Dates, increasing to 18% per annum upon an Event of Default. Multiple Events of Default are defined, including acceleration of indebtedness or judgments exceeding $500,000, bankruptcy proceedings, or material adverse effects.

  • ·Contact for OID information: Amro Albanna at (650) 870-1200.
  • ·Note may not be prepaid except as specifically permitted.
  • ·Holder has redemption rights upon Event of Default at Redemption Premium.
  • ·Mandatory redemption upon Bankruptcy Event of Default at full outstanding amount times Redemption Premium.
Gildi - lifeyrissjodur13F-HRneutralmateriality 7/10

14-04-2026

Gildi - lifeyrissjodur filed Form 13F-HR on April 14, 2026, reporting $197.19B in total U.S. equity holdings as of March 31, 2026, across 2 positions held with sole investment discretion and voting authority. The portfolio consists of 1,067,147 shares of JBT Marel Corporation COM valued at $132.87B and 2,430,401 ordinary shares of Oculis Holding AG valued at $64.32B. No period-over-period comparisons or performance metrics are disclosed.

  • ·CUSIP for JBT Marel Corporation COM: 477839104
  • ·CUSIP for Oculis Holding AG Ordinary Shares: H5870P102
  • ·Filer CIK: 0002108148
  • ·Filer address: Gudrunartun 1, Reykjavik, K6 105
OneMeta Inc.8-Kneutralmateriality 8/10

14-04-2026

On April 9, 2026, OneMeta Inc. issued a warrant to Avaya LLC to purchase up to 22,222,222 shares of common stock at $0.135 per share, exercisable on a cash or cashless basis from April 9, 2026, until April 8, 2036, with the exercise price subject to adjustment under certain circumstances. Avaya was also granted observer rights on the Company's Board of Directors meetings and entered into a registration rights agreement providing demand and piggyback registration rights for the underlying shares. The warrant was issued in reliance on exemptions from registration under Section 4(a)(2) of the Securities Act and/or Rule 506 of Regulation D.

  • ·Warrant holder (Avaya LLC) granted observer rights with respect to Company Board of Directors meetings
  • ·Registration Rights Agreement provides demand and piggyback registration rights for shares underlying the warrant
  • ·Exhibits filed: 4.1 (Form of Warrant), 10.1 (Registration Rights Agreement)
Bravo Multinational Inc.10-Kmixedmateriality 7/10

14-04-2026

Bravo Multinational Inc. reported a reduced net loss of $253,478 for the year ended December 31, 2025, compared to $393,506 in 2024, reflecting lower total expenses of $253,478 (down 41% YoY) driven by sharp declines in general and administrative expenses (down 77%) and professional fees (down 67%), while board fees remained flat at $175,000. However, cash and cash equivalents fell to $111 from $288 (down 61% YoY), total liabilities increased to $1,055,698 from $802,397 (up 32% YoY), and the stockholders' deficit widened to $1,055,587 from $802,109.

  • ·Common Stock: $0.0001 par value, 1,000,000,000 shares authorized, 47,641,010 issued and outstanding
  • ·Preferred A shares: $0.0001 par, 10,000,000 authorized, 0 outstanding
  • ·Auditor: MICHAEL GILLESPIE & ASSOCIATES, PLLC (Firm ID 6108, Vancouver, Washington)
  • ·Entity is a small business, non-accelerated filer, with entity file number 000-53505 and CIK 0001444839
AParadise Acquisition Corp.425mixedmateriality 9/10

14-04-2026

The SEC declared effective the Form S-4 registration statement on April 13, 2026, for the proposed business combination between A Paradise Acquisition Corp. and Enhanced Ltd, which values Enhanced at an enterprise value of $1.2 billion; the combined entity, Enhanced Group Inc., is expected to list on NYSE under 'ENHA' following shareholder approval at a May 1, 2026 general meeting. The announcement coincides with upcoming inaugural Enhanced Games on May 24, 2026, at Resorts World Las Vegas. However, the filing extensively outlines risks including Enhanced's unproven business model, limited operating history, minimal revenue to date, regulatory scrutiny, and dependence on key events for success.

  • ·A Paradise shareholders urged to read proxy statement/prospectus and other SEC filings before voting.
  • ·Contact for documents: The Sun’s Group Center, 29th Floor, 200 Gloucester Road, Wan Chai, Hong Kong, +852 9583 3199.
AParadise Acquisition Corp.425mixedmateriality 9/10

14-04-2026

A Paradise Acquisition Corp. (APAD) and Enhanced Ltd. announced the SEC's effectiveness of their Form S-4 registration statement on April 10, 2026, marking a key milestone in their proposed business combination announced on November 26, 2025, which values Enhanced at a $1.2 billion enterprise value and provides up to $200 million in gross cash proceeds assuming no redemptions. An extraordinary general meeting of APAD shareholders is scheduled for May 1, 2026, to approve the transaction, with the combined company expected to list on NYSE as Enhanced Group Inc. (ENHA). While progressing toward closing, the deal faces risks such as shareholder redemptions, Enhanced's unproven business model, limited operating history, and minimal revenue to date.

  • ·S-4 registration statement declared effective by SEC on April 10, 2026
  • ·Extraordinary general meeting on May 1, 2026 at 8:00 am ET for shareholders of record as of April 2, 2026
  • ·Inaugural Enhanced Games scheduled for May 24, 2026 at Resorts World Las Vegas
  • ·Business combination agreement entered November 26, 2025
Federal Home Loan Bank of San Francisco8-Kneutralmateriality 4/10

14-04-2026

The Federal Home Loan Bank of San Francisco reported under Item 2.03 the creation of direct financial obligations via consolidated obligation bonds traded on April 10, 2026, for which it is the primary obligor, totaling $70 million in par value. The issuances include a $60 million Bermudan callable fixed-rate bond at 3.835% maturing May 28, 2027, and a $10 million European callable fixed-rate bond at 4.000% maturing April 15, 2030. These are joint and several obligations of the eleven Federal Home Loan Banks, backed solely by their resources and not guaranteed by the U.S. government; the filing notes that such issuances are routine and excludes short-term discount notes.

  • ·First bond (CUSIP 3130BACT): Settlement April 14, 2026; Next pay October 14, 2026; Next call July 14, 2026; Optional Principal Redemption (Bermudan style).
  • ·Second bond (CUSIP 3130BACK): Settlement April 15, 2026; Next pay October 15, 2026; Next call October 15, 2027; Optional Principal Redemption (European style).
  • ·Schedule A excludes discount notes with maturity ≤1 year and does not reflect derivatives, maturities, or GAAP adjustments.
USA FINANCIAL FORMULAS13F-HRneutralmateriality 5/10

14-04-2026

USA Financial Formulas filed its Form 13F-HR on April 14, 2026, disclosing 437 equity and ETF positions held solely as of March 31, 2026, with no voting authority shared or other derivatives noted. The portfolio is heavily weighted toward ETFs, with top holdings including iShares S&P Small-Cap 600 Value ETF at $109900279, iShares Russell 2000 ETF at $108117088, and iShares S&P Mid-Cap 400 Growth ETF at $104844933. Individual stock positions such as SPDR Bloomberg Barclays 1-3 Month T-Bill ETF ($23236513) and various blue-chip names like Cisco Systems ($1491978 value) round out the diversified holdings.

  • ·Filer CIK: 0001633716
  • ·State of incorporation: MI
  • ·Fiscal year end: 12/31
  • ·Business address: 6020 EAST FULTON STREET, ADA, MI 49301
IMMUNIC, INC.8-Kneutralmateriality 8/10

14-04-2026

Immunic, Inc. held a Special Meeting of Stockholders on April 14, 2026, with 70,622,667 shares (54.1% of 130,464,825 outstanding) present or represented by proxy; shareholders approved Proposal 1 to authorize a reverse stock split at a ratio of 1-for-10 to 1-for-30 with 57,404,749 votes for, 12,594,555 against, and 623,363 abstentions. The Board approved a 1-for-10 reverse stock split, effective at 12:01 a.m. ET on April 27, 2026, with new common stock trading on Nasdaq under 'IMUX' and new CUSIP 4525EP200.

  • ·Definitive Proxy Statement filed with SEC on March 2, 2026.
  • ·Reverse stock split ratio approved by Board: 1-for-10.
  • ·New CUSIP identifier for post-split common stock: 4525EP200.

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