S&P 500 Consumer Discretionary Sector SEC Filings — April 09, 2026

09-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed a Form 8-K on April 9, 2026, under Items 8.01 and 9.01, announcing the issuance of a press release titled 'AITX's RAD-R Unveils New radcam.ai Built Around the RADCam Experience,' attached as Exhibit 99.1. The information is furnished and not deemed filed for liability purposes. No financial metrics or period comparisons are reported.

• ·Filing is not intended to satisfy other filing obligations under Rule 425, 14a-12, 14d-2(b), or 13e-4(c).
• ·Registrant is incorporated in Nevada with CIK 0001498148 and EIN 27-2343603.
• ·Principal executive offices at 10800 Galaxie Avenue, Ferndale, Michigan 48220.

09-04-2026

Six Flags Entertainment Corporation announced that its subsidiary, Six Flags America Property Corporation, entered into a purchase agreement to sell certain real property in Prince George’s County, Maryland, to a joint venture between 35V (co-founded by Kevin Durant and Rich Kleiman) and TPA Group. The company plans to use net proceeds from the transaction to pay down debt obligations. The deal remains subject to buyer diligence and other closing conditions.

• ·The information under Item 7.01 is not deemed 'filed' for purposes of Section 18 of the Exchange Act.
• ·Registrant’s principal executive offices: 8701 Red Oak Blvd., Charlotte, North Carolina 28217.

09-04-2026

The proxy statement discloses material weaknesses in Boost Run's internal control over financial reporting, including inadequate IT general controls, insufficient segregation of duties, and lack of qualified personnel, which remain unremediated despite some remedial actions as of December 31, 2025. Management expects remediation efforts, such as implementing an enhanced ITGC framework and hiring additional expertise, to continue into 2026, with full compliance testing potentially extending further. Additional risks include dependence on key management personnel, competitive hiring challenges, and evolving regulations on AI, machine learning, cloud services, and export controls on AI-related technologies like GPUs.

• ·Boost Run not required to evaluate internal controls prior to Prospectus but identified material weaknesses during preparation.
• ·Remediation testing expected to extend into 2026; Section 404 reporting begins with 10-K for year ending December 31, 2026.
• ·EU AI Act entered force August 1, 2024, with majority requirements applying from 2026; fines up to 7% of worldwide annual turnover.
• ·U.S. export controls on AI chips updated October 2022, October 2023, January 2025 (later rescinded but modified).

09-04-2026

The Board of abrdn National Municipal Income Fund (VFL) is proposing a reorganization into MFS Municipal Income Fund (MFM) to broaden VFL's investment mandate by removing the current 20% limit on High Yield municipal bonds, allowing expected allocations of 30-50% depending on market conditions, which could enhance income, distributions, and risk-adjusted returns through a larger, more liquid fund with lower expenses. This change weighs a modest increase in credit risk—evidenced by MFM's lower AAA exposure (16% vs. VFL's 45%) and higher Not Rated (40% vs. 19%) and CCC/below (25% vs. 14%) holdings as of 12/31/25—against benefits like improved diversification and higher yields. Even if the reorganization fails, the Board plans to broaden VFL's mandate similarly.

• ·Data sourced from Fund Factsheets as of 12/31/25
• ·Aberdeen expects to manage with High Yield allocations of 30-50% depending on market conditions, whether reorganization occurs or not
• ·Historical analysis shows municipal High Yield default rates lower than comparable corporates

09-04-2026

Abra Financial Holdings, Inc.'s CEO Bill Barhydt appeared on Yahoo Finance TV on April 8, 2026, discussing the $750 million SPAC merger with New Providence Acquisition Corp. III (announced via Business Combination Agreement dated March 16, 2026) to list on NASDAQ under ticker ABRX, highlighting benefits like building trust as a public RIA and advancing asset tokenization and DeFi lending. He expressed bullish views on Bitcoin, citing rising global liquidity and a 65% chance of reaching all-time highs near $100K by year-end. The filing includes standard forward-looking disclaimers and risks such as transaction failure or shareholder approval issues.

• ·Business Combination Agreement dated March 16, 2026
• ·Interview aired April 8, 2026 at 4:30 pm ET
• ·Bitcoin current price referenced as $71,000 during interview
• ·Post-merger NASDAQ ticker: ABRX
• ·Upcoming SEC Form S-4 Registration Statement including proxy statement/prospectus

09-04-2026

Amazon.com, Inc. filed an 8-K on April 9, 2026, under Regulation FD Disclosure (Item 7.01), attaching its 2025 Letter to Shareholders accompanying the Annual Report for the year ended December 31, 2025 as Exhibit 99.1, and a reconciliation of a non-GAAP financial measure as Exhibit 99.2 (Item 9.01). The filing details registered securities including common stock (AMZN) and various notes due 2028-2064. No specific financial metrics or period-over-period comparisons are disclosed in the filing body.

• ·Filing date: April 9, 2026
• ·Annual Report period: Year ended December 31, 2025
• ·Securities traded on The Nasdaq Stock Market LLC

09-04-2026

Safir Wealth Advisors, LLC filed a 13F-HR reporting 19 holdings totaling $138,261,475 as of March 31, 2026. The portfolio is heavily weighted toward Vanguard ETFs, with the top position being Vanguard S&P 500 ETF at $55,769,796 (93,331 shares), followed by Vanguard Short Term Bond ETF at $15,616,351 (199,163 shares). Other significant holdings include Vanguard Growth ETF ($13,904,968), Value ETF ($11,970,485), and individual stocks such as Exxon Mobil Corp ($310,817) and Apple Inc ($304,548).

• ·Filing date: April 09, 2026; Report period end: March 31, 2026
• ·All holdings reported as sole discretionary with zero shared or other voting authority
• ·Address: 63 Niblack Lane, Greenland, NH 03840

09-04-2026

EHRLICH Financial Group filed Form 13F-HR on April 9, 2026, disclosing its institutional equity holdings as of March 31, 2026, comprising 112 positions with a total market value of $174,015,055,000. Top holdings include BlackRock ETF Trust iShares US Equity (CUSIP 09290C103) valued at $7,877,897,000 (135,406 shares), SPDR Index Shares Funds State Street S&P (CUSIP 78463X509) at $4,496,057,000 (95,844 shares), and iShares Trust S&P 500 Growth ETF (CUSIP 464287309) at $4,439,865,000 (39,253 shares). No prior period data or changes are provided in the filing.

• ·Filing as of date: April 9, 2026
• ·Conformed period of report: March 31, 2026
• ·Date as of change: April 8, 2026
• ·All holdings reported as sole voting/dispositive power (SH SOLE)

09-04-2026

LifeGuide Financial Advisors, LLC disclosed total holdings of $312,728,791 across 46 positions, all held on a sole discretionary basis, as of March 31, 2026. Largest positions include Dimensional ETF Trust Global Real Estate ETF ($66,705,702), Schwab Strategic Trust US TIPS ETF ($51,664,331), and Dimensional ETF Trust US Core Equity 2 ($29,387,908). The filing was submitted on April 9, 2026, and signed by David Lutz, Chief Compliance Officer.

• ·All 46 positions held as sole discretionary with no shared or other manager discretion.
• ·Address: 400 W. Main St., Mechanicsburg, PA 17055.
• ·Filing covers period ending March 31, 2026.

09-04-2026

Ellington Financial Inc. filed a DEFA14A Definitive Additional Proxy Materials on April 09, 2026, as part of proxy solicitation under Schedule 14A. The filing consists primarily of boilerplate form details with no fee required and no specific proposals, financial data, or substantive content provided. This appears to supplement prior proxy materials without introducing new investor-relevant information.

09-04-2026

Forte Biosciences, Inc. (Nasdaq: FBRX) announced the pricing of a $150 million public offering of 5,709,936 shares of common stock at $26.27 per share, with underwriters granted a 30-day option to purchase up to 856,490 additional shares. Gross proceeds are expected to be approximately $150 million before deducting underwriting discounts, commissions, and other expenses, to be used for working capital, funding clinical development of FB102, and other research activities. The offering is expected to close on or about April 10, 2026, subject to customary conditions.

• ·Guggenheim Securities and Barclays acting as joint book-running managers.
• ·Offering pursuant to Registration Statement on Form S-3 (File No. 333-286226).
• ·Intended use of net proceeds includes working capital and general corporate purposes.

09-04-2026

Freedom Holding Corp. issued a press release on April 9, 2026, announcing that it is contemplating an offering of its common stock in Kazakhstan pursuant to Regulation S of the Securities Act of 1933. The press release is furnished as Exhibit 99.1 and incorporated by reference under Item 7.01. No details on the size, terms, or timing of the potential offering were disclosed.

• ·Filing includes Exhibit 99.1 (press release dated April 9, 2026) and Exhibit 104 (Cover Page Interactive Data File).

09-04-2026

The Simply Good Foods Company reported fiscal Q2 2026 net sales of $326.0 million, down 9.4% YoY from $359.7 million, with Atkins declining 26.6%, OWYN down 16.8%, and Quest up a modest 0.3%; total retail takeaway fell 6.4%. The company posted a net loss of $159.7 million versus net income of $36.7 million in the prior year, primarily due to a $249.0 million non-cash impairment charge on Atkins and OWYN brands, while Adjusted EBITDA declined 18.4% to $55.5 million. Updated FY2026 outlook reflects net sales of $1.31-1.35 billion (-10% to -7% YoY) and Adjusted EBITDA of $217-225 million (-22% to -19% YoY), signaling ongoing challenges.

• ·YTD Q2 FY2026 cash flow from operations $58.2 million vs. $63.3 million prior year.
• ·Capital expenditures YTD Q2 FY2026 approximately $7.6 million.
• ·Q3 FY2026 outlook: Net Sales $329-338 million (-14% to -11% YoY); Adjusted EBITDA $46-50 million (-38% to -32% YoY).
• ·FY2026 outlook assumes net interest expense $19-21 million and effective tax rate ~25%; weighted average diluted shares ~92 million.

09-04-2026

Orthofix Medical Inc. announced a Spine leadership realignment, eliminating the President, Global Spine Solutions role, with Shaeffer Bannigan, Mark Sienkiewicz, John Winge, and Patrick Fisher assuming expanded responsibilities reporting to CEO Massimo Calafiore to accelerate growth and execution. Preliminary Q1 2026 net sales were $196.7 million (up 1.6% YoY reported, 0.4% constant currency), or $196.4 million pro forma excluding M6 discs (up 3.8% reported, 2.7% constant currency), though impacted by a 94.2% decline in discontinued M6 product lines. The company reaffirmed FY2026 guidance of $850-860 million net sales (5.5% pro forma constant currency growth at midpoint), $95-98 million adjusted EBITDA (70 bps margin expansion), and positive free cash flow.

• ·Q1 2026 earnings call and webcast scheduled for May 5, 2026, at 8:30 am ET.
• ·Participation in 25th Annual Needham Virtual Healthcare Conference on April 14, 2026.

09-04-2026

On April 9, 2026, Zeo ScientifiX, Inc. (ZEO) entered into a Memorandum of Understanding (MOU) with Regen Therapy to establish an exclusive scientific and biologics strategic collaboration. Pursuant to the MOU, ZEO is positioned as the core supplier of advanced biologic therapeutics to be incorporated into Regen’s next-generation regenerative offerings on its clinical platform. The press release detailing the announcement is included as Exhibit 99.1.

• ·Filing includes Exhibit 99.1: Press Release dated April 9, 2026
• ·ZEO’s principal executive offices: 3321 College Avenue, Suite 246, Davie, Florida 33314

09-04-2026

The Federal Home Loan Bank of San Francisco reported the creation of direct financial obligations via two consolidated obligation bonds for which it is the primary obligor, each with a par value of $10,000,000, issued on trade dates April 6 and April 7, 2026, settling April 9, 2026, and maturing April 9, 2031. The bonds feature fixed rates of 4.250% (European callable style, next call April 9, 2027) and 4.500% (Bermudan callable style, next call October 9, 2026), as part of routine capital markets funding backed jointly by the eleven Federal Home Loan Banks. No period-over-period comparisons or performance metrics were provided, reflecting standard debt issuance activity.

• ·First bond (CUSIP 3130BAAC): Next Pay Date October 9, 2026; Rate Type Fixed Constant
• ·Second bond (CUSIP 3130BA7F): Next Pay Date October 9, 2026; Rate Type Fixed Constant
• ·Consolidated obligations are joint and several obligations of the eleven Federal Home Loan Banks, not guaranteed by the U.S. government
• ·Schedule A excludes discount notes with maturity of one year or less issued in ordinary course

09-04-2026

First Northwest Bancorp has issued a preliminary proxy statement for its 2026 Annual Meeting of Shareholders on May 19, 2026, at 4:00 p.m. PT in Port Angeles, Washington, with record date March 20, 2026. Shareholders will vote on electing nine directors, approving Second Amended and Restated Articles of Incorporation to remove supermajority voting and allow director removal with or without cause, amending the 2020 Equity Incentive Plan, an advisory vote on named executive officer compensation, and ratifying Baker Tilly US, LLP as auditor for the year ending December 31, 2026. No financial performance metrics or period-over-period comparisons are disclosed in the filing.

• ·Meeting location: Field Arts and Events Hall, 201 W. Front Street, Port Angeles, Washington 98362.
• ·ESOP voting details: sole voting power over 608,855 shares, shared voting power over 299,927 shares, shared dispositive power over 908,782 shares as of September 30, 2024.
• ·Beneficial ownership includes shares held by spouses, family, trusts, ESOP, and 401(k) Plan.

09-04-2026

First Real Estate Investment Trust of New Jersey, Inc. (FREVS) entered into a Purchase and Sale Agreement on April 8, 2026, with an affiliate of Regency Centers Corporation to sell 100% of its ownership interests in the Franklin Crossing shopping center for $27,000,000. The agreement includes an initial $1,000,000 escrow deposit refundable during a 30-day due diligence period ending May 8, 2026, and an additional non-refundable $1,000,000 deposit thereafter, with closing expected in Q3 2026 but no later than August 15, 2026. The Board unanimously approved the transaction, which has no financing contingency.

• ·Franklin Crossing located at 814-860 Franklin Avenue, Franklin Lakes, New Jersey
• ·No financing contingency in the agreement
• ·Customary representations, warranties, indemnity provisions, and termination rights apply

09-04-2026

DHJJ Financial Advisors, Ltd. filed its 13F-HR on April 9, 2026, reporting institutional holdings as of March 31, 2026, consisting of 1081 sole discretionary positions in equities and ETFs with no reported changes, puts, or calls. Top holdings include Dimensional ETF Trust International Core Equity Market ETF at $4,161,392,000, First Trust Exchange Traded FD Rising Dividend Achievers at $3,905,498,000, Apple Inc. at $3,875,224,000, and Caterpillar Inc. at $3,229,437,000. The filing provides a snapshot of the firm's diversified portfolio without period-over-period comparisons.

• ·Filer CIK: 0001844716
• ·Business address: 184 Shuman Boulevard, Suite 200, Naperville, IL 60563
• ·All positions reported as sole discretionary shared ownership with zero puts and zero calls

09-04-2026

CRA Financial Services, LLC filed its 13F-HR on April 9, 2026, reporting holdings as of March 31, 2026, with a total portfolio value of $770,099,080 across 296 positions, all held as sole voting authority. Top holdings include Apple Inc. COM (200502 shares valued at $50885478), NVIDIA Corporation COM (132431 shares at $23095891), Amazon.com Inc. COM (136170 shares at $28360190), Alphabet Inc. Cap Stk Cl A (68185 shares at $19607412), and Microsoft Corp. COM (42382 shares at $15688438). The filing discloses a diversified portfolio heavy in technology, ETFs, and broad market funds with no reported changes summarized.

• ·All 296 positions held with sole voting authority (SH SOLE).
• ·Filer CIK: 0001765594, based in Northfield, NJ.
• ·No additions, deletions, or changes summarized in filing header (indicated by '0').

09-04-2026

The Federal Home Loan Bank of Cincinnati filed an 8-K under Item 2.03 disclosing the creation of a direct financial obligation through the commitment to issue a Consolidated Bond with a par value of $25,000,000. The bond, traded on April 6, 2026, has a fixed constant rate of 4.400%, matures on April 17, 2029, and features Optional Principal Redemption (Bermudan style) with the next call date on July 17, 2026. No other comparative financial metrics or performance changes were reported.

• ·Trade Date: April 6, 2026
• ·Settlement Date: April 17, 2026
• ·Next Pay Date: October 17, 2026
• ·CUSIP: 3130BAB2
• ·Schedule A excludes Consolidated Discount Notes due to short-term maturities (max 360 days) and does not reflect derivatives, total outstanding obligations, or GAAP adjustments

09-04-2026

PFS Partners, LLC filed its 13F-HR report on April 9, 2026, disclosing equity holdings as of March 31, 2026, consisting of 590 positions with a total portfolio value of $218,150,449,000. Top holdings by reported value include municipal bond and equity ETFs from First Trust such as FIRST TR SHRT DUR MNG MUN ETF (value $13,678,497,000, 685,295 shares), FIRST TR FST LOW OPPT EFT ($11,201,752,000, 224,890 shares), and FIRST TR EXCHNG TRADED FD VI FT VEST US EQT ($11,875,366,000, 293,291 shares), alongside stocks like AMERICAN INTL GROUP INC ($5,492,423,000, 72,989 shares) and EXXON MOBIL CORP ($3,223,177,000, 18,998 shares). No period-over-period changes are detailed in this snapshot filing.

• ·Filing CIK: 0002002654
• ·Filer address: 350 US Highway 46, Mine Hill, NJ 07803
• ·Phone: 973-927-6300
• ·All positions reported as SOLE discretionary with 0 put/call shares

09-04-2026

Ashford Hospitality Trust, Inc. successfully closed the sale of four hotels and entered into definitive agreements to sell an additional two hotels, as announced in a press release dated April 9, 2026, under Regulation FD Disclosure. No financial details on sale proceeds or impacts were provided in the filing.

• ·Filing includes Exhibit 99.1: Press Release dated April 9, 2026.
• ·Securities registered: Common Stock (AHT), Series D Preferred (AHT-PD), Series F Preferred (AHT-PF), Series G Preferred (AHT-PG), Series H Preferred (AHT-PH), Series I Preferred (AHT-PI), Preferred Stock Repurchase Rights (all on NYSE).

09-04-2026

First Busey Corporation filed Definitive Additional Proxy Soliciting Materials (DEFA14A) on April 09, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and contains standard SEC form disclosures without specific financial, operational, or voting details. No quantitative metrics or period comparisons are provided in the document.

09-04-2026

Better Home & Finance Holding Co reported preliminary Q1 2026 Funded Loan Volume of $1.64B, reflecting an 89% year-over-year increase and exceeding the high end of prior guidance ($1.40B to $1.55B). Following the anticipated offering close, the company expects approximately $130M in cash and cash equivalents, including $24M from its U.K.-based bank. The company reaffirmed its target of $1.0B in monthly loan volume (funded and processed) by the end of May 2026, driven by Tinman® AI Platform partnership growth.

• ·Filing date: April 09, 2026
• ·SEC Items reported: 2.02 (Results of Operations), 8.01 (Other Events), 9.01 (Financial Statements)
• ·Subcategory: Unregistered Securities Sale

09-04-2026

Freshworks Inc. (FRSH) filed a DEFA14A Definitive Additional Materials proxy statement with the SEC on April 09, 2026. The filing indicates no fee was required and is part of Schedule 14A pursuant to Section 14(a) of the Securities Exchange Act of 1934. No specific financial data, proposals, or shareholder actions are detailed in the provided filing header.

09-04-2026

Wintrust Financial Corporation filed Definitive Additional Proxy Materials (DEFA14A) on April 09, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing is marked as soliciting material under §240.14a-12 with no fee required. No substantive proxy details, financial data, or voting matters are included in the provided content.

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

09-04-2026

Texas Pacific Land Corporation issued a press release on April 9, 2026, announcing the passing of Murray Stahl, a member of its Board of Directors. The disclosure was made pursuant to Regulation FD and furnished as Exhibit 99.1. No additional financial or operational impacts were detailed in the filing.

• ·Filing includes Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits).
• ·Information in Item 7.01 and Exhibit 99.1 is not deemed 'filed' under Section 18 of the Exchange Act.

09-04-2026

Definitive Healthcare Corp. terminated its Nominating Agreement with SE VII DHC AIV, L.P. ("Spectrum"), dated September 17, 2021, which had granted Spectrum the right to designate one board member while holding at least 5% of outstanding common stock. The termination followed the resignation of Spectrum's designee, Jeff Haywood, from the board on March 30, 2026, with the termination agreement executed on April 3, 2026. No financial impacts or other changes were disclosed in the filing dated April 9, 2026.

• ·Nominating Agreement granted Spectrum the right to designate one director for inclusion in the slate of nominees recommended to stockholders.
• ·Termination is permanent and irrevocable in its entirety.

09-04-2026

On April 9, 2026, Smart Sand, Inc. announced a special dividend of $0.10 per share of common stock, declared by the Board of Directors. The dividend is payable on May 5, 2026 to stockholders of record at the close of business on April 22, 2026. This disclosure was made under Regulation FD with the press release furnished as Exhibit 99.1.

• ·Filing includes Items 7.01 (Regulation FD Disclosure), 8.01 (Other Events), and 9.01 (Exhibits).
• ·Press release (Exhibit 99.1) is furnished but not deemed 'filed' under Section 18 of the Exchange Act.

09-04-2026

Pacific Gas and Electric Company filed a DEFA14A on April 09, 2026, consisting of definitive additional proxy materials under Schedule 14A (Amendment No. ). The filing is designated as a Preliminary Proxy Statement, confidential for Commission use only per Rule 14a-6(e)(2), with no filing fee required.

• ·Filed by the Registrant (not a third party).
• ·Soliciting Material under §240.14a-12.

09-04-2026

FGI Industries Ltd. reported Q4 2025 total revenue of $30.5 million, down 14.4% YoY, with declines across segments including bath furniture (-34.9%) and sanitaryware (-12.2%), while full-year 2025 revenue was $130.5 million, down 1.0% YoY. Gross margins improved to 26.7% (+210 bps YoY) in Q4 and 27.0% (+10 bps) for the year, and operating loss narrowed to $0.7 million in Q4 from $1.3 million, but net loss widened to $2.6 million in Q4 and $6.1 million for the year. FY2026 guidance anticipates revenue of $134-141 million and adjusted operating income of $0.7-2.5 million amid ongoing tariff uncertainties.

• ·Total assets decreased to $69.5 million as of Dec 31, 2025 from $75.5 million as of Dec 31, 2024.
• ·Short-term loans stood at $11.9 million as of Dec 31, 2025, down from $14.5 million.
• ·FY2026 guidance: adjusted net income of $(0.3)-1.1 million.
• ·Conference call scheduled for April 10, 2026 at 9:00 am ET.
• ·Reverse share split of 1-for-5 effective July 31, 2025.

09-04-2026

Comfort Systems USA, Inc. (FIX) filed its DEF 14A definitive proxy statement on April 9, 2026, for the 2026 Annual Meeting of Stockholders on May 18, 2026, at 11:00 a.m. CT at The Houstonian Hotel in Houston, TX. Shareholders are asked to elect ten nominated directors to serve until the 2027 annual meeting, ratify Deloitte & Touche LLP as independent auditors for 2026, and approve a non-binding advisory 'Say on Pay' vote on 2025 named executive officer compensation. The record date is March 19, 2026.

• ·Meeting location: The Houstonian Hotel, 111 North Post Oak Lane, Houston, Texas 77024.
• ·Company address: 9753 Katy Freeway, Suite 700, Houston, TX 77024.
• ·Proxy materials and 2025 Annual Report available at http://proxy.comfortsystemsusa.com.
• ·Includes XBRL-tagged compensation data disclosures for Principal Executive Officer (PEO) and Non-PEO Named Executive Officers for fiscal years 2021-2025, covering equity awards adjustments, fair values, vesting, and dividends.

09-04-2026

Cardiff Oncology, Inc. (Nasdaq: CRDF) appointed Mani Mohindru, PhD, as permanent President and Chief Executive Officer effective from her prior interim role, Josh Muntner as Chief Financial Officer effective April 6, 2026, and Ajay Aggarwal, MD, MBA, as Chief Operating Officer effective April 27, 2026, to bolster leadership for advancing onvansertib in RAS-mutant metastatic colorectal cancer. Mr. Muntner received an inducement grant of non-qualified stock options to purchase 486,650 shares at $1.58 per share, vesting over four years. These hires bring extensive biopharma experience, including Mr. Muntner's track record raising $86 million at Imvax and approximately $300 million at Mesoblast.

• ·Stock option vests 25% after 12 months and remaining shares monthly over 36 months, subject to continued employment.
• ·Josh Muntner serves on the Board of Directors at Devonian Health Group Inc.
• ·Ajay Aggarwal is a board-certified Pulmonary, Critical Care and Sleep Medicine physician and Fellow of the American College of Chest Physicians.

09-04-2026

On April 3, 2026, FibroBiologics, Inc. entered into a Sublease Buyout Agreement with United Fire & Casualty Co. (dba United Fire Group), terminating its sublease at 455 E. Medical Center Blvd, Webster, Texas, effective April 2, 2026—18 months ahead of the original November 30, 2027 expiration. The company paid $45,108.25 to settle remaining obligations, expecting to save approximately $0.8 million in future rent. This consolidation follows the 2025 opening of a new state-of-the-art laboratory facility over 10,000 square feet, improving operational efficiency.

• ·Sublease originally effective October 5, 2022.
• ·New principal executive offices: 9350 Kirby Drive, Suite 300, Houston, Texas 77054.
• ·Filing date: April 9, 2026; Report date of earliest event: April 3, 2026.

09-04-2026

Kyntra Bio, Inc. (formerly associated with FibroGen) received a Nasdaq notice on April 2, 2026, for failing to meet the continued listing requirement of $50 million in total assets and total revenue for the most recently completed fiscal year under Listing Rule 5450(b)(3)(A), due to FibroGen International's revenue being classified as held for sale in discontinued operations for 2024 and 2025. The Company also does not satisfy alternative stockholders’ equity or market value standards. While there is no immediate delisting effect, it has 45 days until May 18, 2026, to submit a compliance plan, potentially earning a 180-day extension to September 29, 2026.

• ·Company may apply to transfer securities to the Nasdaq Capital Market.
• ·Nasdaq will evaluate compliance plan based on likelihood of success, past history, reasons for non-compliance, financial condition, and disclosures.

09-04-2026

GalaxyEdge Acquisition Corporation announced on April 9, 2026, that holders of its units (GLEDU) may elect to separate them into ordinary shares (GLED) and rights (GLEDR), with separate trading commencing on the NYSE on April 14, 2026, subject to approval by Polaris Advisory Partners. Unseparated units will continue trading as GLEDU. Holders must contact Continental Stock Transfer & Trust Company to separate units, and a press release was issued detailing the change.

• ·Separate trading symbols: GLED for ordinary shares and GLED RT for rights.
• ·Registrant is an emerging growth company.

09-04-2026

FS KKR Capital Corp (NYSE: FSK) announced plans to release its first quarter 2026 financial results after the NYSE close on May 6, 2026, followed by a conference call on May 7, 2026 at 9:00 a.m. ET. An investor presentation will be available on the company's website under Events & Presentations post-release. No actual financial results or performance metrics were disclosed in this pre-announcement.

• ·Conference call registration URL: https://register-conf.media-server.com/register/BI86a0953ea3aa44758a814b6928917e4c
• ·Live webcast URL: https://edge.media-server.com/mmc/p/ysenbwyi
• ·FSK focuses on senior secured and subordinated debt of private middle market U.S. companies

09-04-2026

Stoneridge, Inc. (SRI) filed a DEFA14A Definitive Additional Proxy Materials on April 09, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as Definitive Additional Materials. No substantive proxy proposals, financial data, or voting items are detailed in the provided excerpt.

• ·Filed by the Registrant
• ·No fee required

09-04-2026

General Motors Holdings LLC filed its 13F-HR report on April 9, 2026, disclosing institutional equity holdings as of March 31, 2026. Major positions include Lithium Americas Corp. (fair market value $59,258,860,000; 15,002,243 shares), Nouveau Monde Graphite Inc. ($28,000,000,000; 12,500,000 shares), SES AI Corp. ($28,109,162,000; 921,950 shares), Blink Charging Co. ($43,151,176,000; 611,770 shares), and smaller stakes in Lithium Argentina AG. The filing provides a snapshot of strategic investments in EV battery materials and charging infrastructure with no period-over-period changes or performance metrics reported.

• ·Filing period end date: March 31, 2026
• ·Filer CIK: 0001497345
• ·Total positions: 5

09-04-2026

LM Funding America, Inc. extended its existing $11 million loan with Galaxy Digital LLC under the Master Digital Currency Loan Agreement by entering a new $11 million loan on April 6, 2026, pushing the maturity from April 24, 2026, to June 26, 2026, secured by Bitcoin collateral. This follows prior extensions from the original January 30, 2026, due date on the loan initially drawn October 30, 2025. No changes to principal amount or other terms beyond the extension period.

• ·Loan Agreement entered October 29, 2025, allows borrowing USD and digital currencies including Bitcoin and Ether.
• ·Original loan due date: January 30, 2026; first extended to April 24, 2026.

09-04-2026

Jackson Financial Inc. (NYSE: JXN) announced on April 9, 2026, the appointment of Chris Raub as President and Chief Executive Officer of PPM America, Inc., its indirect wholly-owned subsidiary. Raub, with 27 years of experience at PPM and Jackson including prior roles as President of Jackson National Life Insurance Company and Chief Risk Officer, will oversee PPM's executive team to deliver investment performance for clients including Jackson's general account assets. PPM manages $93.73 billion in assets under management as of December 31, 2025.

• ·PPM America offers investment capabilities in public fixed income, commercial real estate debt, private and structured credit, private equity, and CLO management.
• ·AUM includes committed but unfunded capital for PPM’s private equity and commercial real estate businesses, as well as securities issued by PPM CLO vehicles and underlying collateral assets.

09-04-2026

BRC Group Holdings, Inc. (formerly B. Riley Financial, Inc.) has issued a proxy statement for its 2026 Annual Meeting of Stockholders, to be held virtually on May 19, 2026 at 8:00 a.m. Pacific Time. Key proposals include electing seven directors for a one-year term, ratifying BDO USA, P.C. as independent registered public accounting firm for the fiscal year ending December 31, 2026, and an advisory vote to approve named executive officer compensation. The record date is March 26, 2026, with 34,798,366 shares of common stock outstanding held by 131 stockholders of record.

• ·Annual Meeting registration deadline: 8:59 p.m. Pacific Time on May 18, 2026 at https://web.viewproxy.com/BRC/2026
• ·Voting deadlines: Internet and telephone by 8:59 p.m. PT on May 18, 2026
• ·Company address: 11100 Santa Monica Boulevard, Suite 800, Los Angeles, CA 90025; Phone: (310) 966-1444
• ·Fiscal year end: December 31