S&P 500 Consumer Discretionary Sector SEC Filings — April 20, 2026

20-04-2026

BOK Financial Corporation reported Q1 2026 net income of $155.8 million ($2.58 per diluted share), down from $177.3 million ($2.89 per diluted share) in Q4 2025, with adjusted net income at $152.1 million ($2.48 per share) excluding prior gains and benefits. Loans grew $536 million to $26.2 billion with broad-based increases led by general business (+$181M), energy (+$123M), and multifamily CRE (+$121M), while net interest income declined $2.7 million to $342.6 million (margin 2.90% vs 2.98%) and deposits fell $758 million to $38.7 billion. Operating expenses decreased $6.9 million to $354.2 million, fees and commissions dropped $5.1 million to $209.8 million, and credit quality improved with nonperforming assets at $60 million (0.23% vs 0.29%).

• ·Average loans increased $683 million to $25.9 billion.
• ·Tangible common equity ratio 9.29% (down from 9.46%).
• ·Tier 1 capital ratio 12.61%; Common equity Tier 1 12.61%; Total capital 14.39%.
• ·No common stock repurchases in Q1 2026.
• ·Unfunded loan commitments $16.2 billion (up $319M).
• ·Energy loans $3.0 billion (11% of total); Healthcare $4.0 billion (15%); CRE $5.9 billion (22%).
• ·Net charge-offs TTM 3 bps.
• ·Residential construction and land development loans down $20.3 million (-15.6%).

20-04-2026

Alamar Biosciences, Inc. filed an Amended and Restated Certificate of Incorporation effective April 20, 2026, authorizing 1,000,000,000 shares of Common Stock (par value $0.0001) and 20,000,000 shares of Preferred Stock (par value $0.0001), and automatically reclassifying all outstanding Prior Class B Common Stock into Common Stock. The amendments establish a classified board of directors divided into three classes with staggered three-year terms, limit director removal to for-cause with 66-2/3% stockholder vote, empower the board to fill vacancies and amend bylaws unilaterally, and restrict stockholder actions by prohibiting written consents (unless unanimously approved by directors) and limiting special meetings to board initiation. Additional provisions include director/officer indemnification and exclusive forum clauses designating Delaware courts for internal corporate disputes.

• ·Original certificate of incorporation filed May 7, 2018
• ·Registered office: 3500 South DuPont Highway, Dover, DE 19901
• ·Board authorized to designate Preferred Stock series with custom rights
• ·Stockholders vote together (not by class) on changes to authorized shares
• ·Exclusive forum: Delaware Court of Chancery for internal affairs; U.S. federal courts for Securities Act claims

20-04-2026

Aptiv PLC filed a DEFA14A supplement on April 20, 2026, to its proxy statement for the Annual General Meeting on April 29, 2026, updating the 'Board Practices' section. Key highlights include 10 of 11 director nominees being independent, with the Chair/CEO as the sole non-independent; all directors attended more than 75% of 2025 Board and Committee meetings; and board diversity featuring 4 female and 3 racially/ethnically diverse nominees. The board structure emphasizes accountability through annual elections, majority voting, fully independent committees, and active shareholder engagement.

• ·All directors attended more than 75% of Board and respective Committee meetings in 2025.
• ·Independent directors meet in executive session at every regular Board and Committee meeting.
• ·No director stands for election after age 75 unless Board determines continued service benefits the Company.
• ·Fully independent committees: Audit, Compensation and Human Resources, Finance, Innovation and Technology, Nominating and Governance.
• ·AGM location: No. 300, Yuanguo Road, Anting, Jiading District, Shanghai, China at 9:00 a.m. local time.
• ·Original proxy filed March 16, 2026.

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

Farmers & Merchants Bancorp reported record Q1 2026 net income of $24.1 million, up from $23.0 million YoY, with diluted EPS increasing 7.6% to $35.34, NII rising 7.08% to $56.9 million, NIM expanding to 4.25%, assets growing 2.6% QoQ to $5.84 billion, and deposits up 2.8% to $5.12 billion. Tangible book value per share rose 15.01% YoY to $928.99, capital ratios strengthened, and credit quality remained strong with net recoveries of $43,000. However, total loans declined 0.88% QoQ to $3.6 billion due to agricultural seasonality, noninterest expenses increased $3.7 million YoY to $29.2 million from incentive costs and inflation, and the efficiency ratio worsened to 47.0% from 43.9%.

• ·Total risk-based capital ratio of 15.71%, CET1 14.23%, tier 1 leverage 11.35% as of March 31, 2026, all above well-capitalized thresholds.
• ·Allowance for credit losses on loans and leases at 2.12% of loans, provision of $500,000 in Q1 2026.
• ·Delinquency ratio of 0.01%, net recoveries $43,000 in Q1 2026 vs net charge-offs $160,000 in Q1 2025.
• ·Loan to deposit ratio 71.04% as of March 31, 2026, down from 73.67% at Dec 31, 2025.
• ·F&M Bank ranked 5th on Forbes 'America’s Best Banks' for 2025 (1st in California), multiple top rankings from Bank Director and others.

20-04-2026

This S-4/A amendment is a Joint Proxy Statement/Prospectus outlining proposals for Columbia Financial's annual meeting, including ratification of auditors for fiscal year 2026, advisory say-on-pay approval, annual frequency preference, and adjournment if needed; all unanimously recommended FOR by the board. For Northfield Bancorp's special meeting on June 25, 2026, stockholders will vote on the merger proposal, advisory merger-related compensation, and adjournment, also recommended FOR, with board members entering support agreements committing their shares to the merger. No financial metrics or performance data are detailed, focusing instead on procedural voting matters.

• ·Northfield Bancorp record date: April 27, 2026.
• ·Northfield Special Meeting: June 25, 2026, at 9:00 a.m. ET virtually at www.virtualshareholdermeeting.com/NFBK2026SM.
• ·Proxy voting deadlines: Internet/telephone/mail until June 24, 2026, 11:59 p.m. ET; ESOP/401(k) instructions by June 18, 2026, 11:59 p.m. ET.
• ·Northfield certificate limits voting for beneficial owners >10% to 10%.
• ·Northfield Merger Proposal requires majority of outstanding shares entitled to vote.

20-04-2026

Wintrust Financial Corporation reported record net income of $227.4 million ($3.22 per diluted share) for Q1 2026, up from $223.0 million ($3.15 per share) in Q4 2025, driven by diversified loan growth of $1.0 billion (7% annualized), deposit growth of $1.2 billion (8% annualized), and record pre-tax pre-provision income of $330.5 million. However, net interest income declined to $579.0 million from $583.9 million due to fewer calendar days, provision for credit losses rose to $29.6 million from $27.6 million, and yield on earning assets fell 10 basis points. Credit quality remained strong with net charge-offs at $18.4 million (14 bps annualized) down from $21.8 million (17 bps), and non-performing loans stable at 0.34% of total loans.

• ·Loans-to-deposits ratio ended at 91.8%.
• ·Non-interest bearing deposits represented 20% of total deposits.
• ·Wealth management assets under administration: $45.9 billion as of Mar 31 2026.
• ·Insurance premium financing originations: $5.1 billion in Q1 2026.
• ·Mortgage banking revenue: $23.4 million in Q1 2026.

20-04-2026

Abercrombie & Fitch Co. (ANF) filed a DEFA14A Definitive Additional Materials proxy statement on April 20, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as soliciting material under Rule 240.14a-12. No specific financial or operational details are provided in the document header.

20-04-2026

Bright Horizons Family Solutions Inc. (BFAM) filed its DEF 14A Proxy Statement on April 20, 2026, for the virtual 2026 Annual Meeting of Shareholders on June 3, 2026, at 8:00 a.m. ET. Shareholders of record as of April 8, 2026, will vote on electing six director nominees for one-year terms, approving on an advisory basis the 2025 compensation paid to named executive officers, and ratifying Deloitte & Touche LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2026.

• ·Virtual meeting accessible at www.virtualshareholdermeeting.com/BFAM2026; requires 16-digit control number for admission.
• ·Proxy materials and 2025 Annual Report on Form 10-K available at www.proxyvote.com or investors.brighthorizons.com.
• ·Includes sections on director nominees, executive compensation (including Pay versus Performance), audit matters, and corporate governance.

20-04-2026

FACTORIAL MANAGEMENT Ltd, a Hong Kong-based investment manager, filed a 13F-HR report disclosing its holdings as of March 31, 2026, totaling $3,824,437 across three positions. The portfolio consists of notes from Alibaba Group Holding Ltd ($1,387,835 par value $1,000,000) and Trip.com Group Ltd ($1,036,853 par value $1,000,000), plus 56,260 shares of HDFC Bank Ltd sponsored ADS valued at $1,399,749. No prior period comparisons or changes in holdings were detailed in the filing.

• ·Filing covers period ending 03-31-2026, filed 04-20-2026.
• ·All positions held with sole investment discretion.
• ·Filer address: Unit B 12/F On Hing Building, 1 On Hing Terrace, Central, Hong Kong.

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

Principal Financial Group, Inc. reported preliminary assets under management (AUM) of $770.2 billion as of March 31, 2026, with $578.0 billion managed by Principal Asset Management - Investment Management and $159.6 billion by Principal Asset Management - International Pension. For the quarter ended March 31, 2026, market performance, foreign currency translation, and other items resulted in a 1.2% negative impact relative to beginning period AUM. The disclosure highlights exposures to small/mid-cap and international equities, high yield and preferred securities in fixed income, and emerging market exchange rates amid market dislocations.

• ·AUM figures will be consistent with the format in the Company's financial supplement for quarter ended March 31, 2026, posted on or about April 23, 2026.
• ·Filing intended to satisfy Regulation FD prior to quarterly earnings release.

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

Infinity Natural Resources, Inc. reported preliminary Q1 2026 derivative impacts, including realized losses of $18 million from settled contracts and non-cash unrealized losses of $47 million on open positions, resulting in total estimated derivative losses of $65 million. The portfolio shows mixed fair values, with positive marks on natural gas fixed price swaps ($30.4 million) offset by losses on oil swaps ($42.3 million), collars ($1.2 million), basis swaps ($4.6 million), and NGLs ($6.2 million). These figures are unaudited and subject to change upon final 10-Q filing.

• ·Oil swaps volume: 3,880 MBbls across 2026-2029
• ·Natural gas fixed price swaps volume: 196,842,000 MMBtu across 2026-2031
• ·Natural gas basis swaps volume: 107,530,250 MMBtu across 2026-2029
• ·NGL swaps volume: 3,154,571 Mbbls across 2026-2028
• ·Preliminary unaudited information for quarter ended March 31, 2026, to be finalized in Form 10-Q

20-04-2026

Sable Offshore Corp. issued a press release and posted presentation materials on its website announcing corporate updates on current operational, legal, and financial matters. The disclosures include forward-looking statements on recommencing full production of the SYU assets and refinancing the Senior Secured Term Loan, subject to risks such as costs, timing, financing availability, and regulatory uncertainties. No specific financial metrics or period-over-period comparisons were detailed in the filing.

• ·Filing date: April 20, 2026
• ·SEC Items: 7.01 (Regulation FD Disclosure), 9.01 (Financial Statements and Exhibits)
• ·Exhibits: 99.1 (Press Release), 99.2 (Presentation Materials)

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

SmartFinancial reported Q1 2026 net income of $13.7 million ($0.81 per diluted share), unchanged QoQ from $13.7 million but up from $11.3 million YoY, supported by net interest income of $45.9 million (up from $45.1 million QoQ) and NIM expansion to 3.48% from 3.38%. Strong organic loan growth of $155 million (14% annualized QoQ) and core deposit growth of $95 million (7% annualized QoQ) were highlights, however noninterest income fell $0.3 million to $7.9 million, noninterest expense rose $0.4 million to $32.9 million, and nonperforming loans increased to 0.27% of total loans from 0.22%.

• ·Conference call scheduled for April 20, 2026 at 10:00 a.m. ET.
• ·Tangible book value per common share $27.33 at Mar 31 2026 (up from $26.85).
• ·Unfunded commitment liability $4.5M at Mar 31 2026 (up from $3.6M).

20-04-2026

Fermi Inc. announced 'Fermi 2.0' strategic evolution, including leadership transitions with Marius Haas appointed Chairman, Toby Neugebauer departing as CEO but remaining on the Board, Miles Everson resigning as CFO to become a Board Director, and Jeffrey S. Stein elected to the Board. To ensure continuity, an Office of the CEO was created with Co-Presidents Jacobo Ortiz Blanes and Anna Bofa, alongside a search for a new CEO via Heidrick & Struggles and negotiations for an Interim CFO. The company is establishing new headquarters in Dallas and an office in Amarillo, reaffirming commitment to Project Matador and Texas Tech University System partnership amid its shift from startup to scaled enterprise.

• ·Fermi co-founded by former U.S. Energy Secretary Rick Perry and Toby Neugebauer.
• ·Leadership Search Committee includes Haas, McIntire, and Robbin-Coker.
• ·New offices: Dallas headquarters and Amarillo presence at Project Matador site.

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

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

CNB Financial Corporation reported net income of $26.0 million ($0.88 per diluted share) for Q1 2026, up slightly from adjusted $25.8 million ($0.87 per share) in Q4 2025 but down from GAAP $32.6 million ($1.10 per share) in that period, and significantly higher than $10.4 million ($0.50 per share) in Q1 2025 due to the ESSA acquisition. Organic deposits grew $115.0 million (1.62% QoQ), contributing to total deposits of $7.1 billion, while organic loans declined $67.3 million (1.41% QoQ) amid elevated CRE prepayments. Net interest margin remained flat at 3.83%, nonperforming assets rose to $49.2 million (0.58% of assets), though net charge-offs improved to $884 thousand (0.06% annualized).

• ·Adjusted uninsured deposits $1.3 billion (17.54% of total deposits) at Q1 2026, slightly down from $1.3 billion (18.33%) at Q4 2025.
• ·Total available liquidity sources 5.3 times adjusted uninsured deposits at Q1 2026.
• ·Pre-tax net unrealized losses on securities $51.9 million (5.83% of equity) at Q1 2026, up from $47.0 million (5.39%) at Q4 2025.
• ·Short-term borrowings $164.0 million at Q1 2026.
• ·Purchase accounting loan accretion $3.0 million in Q1 2026, down from $3.2 million in Q4 2025.

20-04-2026

Grayscale HYPE ETF filed Amendment No. 1 to its Form S-1 registration statement with the SEC on April 20, 2026, to register an indeterminate number of shares for continuous public offering on NASDAQ under the symbol 'GHYP', with no prior public market established. The Delaware statutory trust, sponsored by Grayscale Investments Sponsors, LLC, holds HYPE (the native digital asset of the Hyperliquid Network) and aims to track its value less expenses, issuing and redeeming shares in baskets of 10,000 to authorized participants via in-kind or cash orders. As an emerging growth company not registered under the Investment Company Act, it highlights significant investment risks including HYPE price volatility.

• ·Trust uses CoinDesk Hyperliquid Benchmark Extended Rate (Index Price) for HYPE valuation at 4:00 p.m. New York time
• ·NASDAQ listing subject to Rule 5711(d) eligibility and confirmation
• ·Seed capital transactions involve placeholders for shares, prices, and HYPE amounts (details not specified)

20-04-2026

Fortress Credit Realty Income Trust, as Limited Guarantor, along with borrower FCR TL Holdings LLC, entered into Amendment No. 4 to the Loan and Security Agreement with JPMorgan Chase Bank, N.A. as Administrative Agent and Lender, effective April 14, 2026, extending the Availability Period to October 15, 2027 and the Maturity Date to October 15, 2028. The amendment adjusts the Applicable Margin to 1.85% per annum (reducible to 1.75% if Outstanding Principal Amount is at least 5% below Borrowing Base) and reaffirms covenants requiring NAV of no less than $1,000,000,000 and Tangible Net Worth of no less than $100,000,000 under certain conditions. Borrower represents no Event of Default exists, with the Limited Guaranty ratified.

• ·Previous amendments dated May 1, 2025 (No. 1), August 14, 2025 (No. 2), and November 6, 2025 (No. 3).
• ·Original Loan and Security Agreement dated November 8, 2024.
• ·Governing law: State of New York.

20-04-2026

Threadgill Financial, LLC filed its Form 13F-HR on April 20, 2026, disclosing 44 equity positions held as of March 31, 2026, all with sole investment discretion and voting power. The portfolio features large allocations to iShares Treasury bond ETFs, including 1,420,636 shares of iShares Treasuries 0-3 Year Bond ETF and 962,629 shares of iShares Treasuries 2027 Term ETF, alongside equity holdings such as 63,233 shares of Amazon.com Inc, 52,298 shares of Visa Inc, and 28,102 shares of Exxon Mobil Corp. No prior period data, market values, or changes were reported.

• ·All reported holdings have sole shared investment discretion (0) and sole voting power (0 for shared).
• ·Business address: 2170 Buckthorne Place, Suite 260, Spring, TX 77380.
• ·Central Index Key: 0001814104.

20-04-2026

Factor Wealth Management LTD filed its 13F-HR on April 20, 2026, disclosing 162 equity positions held as of March 31, 2026, consisting primarily of ETFs from Dimensional, iShares, Vanguard, and American Century, alongside individual stocks such as Apple Inc. (33,591 shares) and Nvidia Corporation (23,885 shares). All positions are held with sole voting and sole investment discretion power, with no other powers reported or options held. No prior period comparisons or market values are provided in the filing.

• ·Firm address: 980 N Michigan Ave, Suite 1320, Chicago, IL 60611
• ·Former name: Clune & Associates, LTD. (name change date: February 10, 2025)
• ·No shared voting/disposition power, put options, or call options reported across all holdings

20-04-2026

MBM Wealth Consultants, LLC filed its 13F-HR on April 20, 2026, disclosing equity holdings as of March 31, 2026, totaling $435,597,704 across 387 positions, all held solely with no reported changes. The portfolio includes significant stakes in large-cap stocks such as Apple Inc. (15,208 shares valued at $3,859,511), Amazon.com Inc. (12,383 shares valued at $2,579,007), and Alphabet Inc. Class C (9,043 shares valued at $2,594,075), alongside diversified ETFs and fixed income products. This routine quarterly disclosure provides a snapshot of the firm's investment positions without indication of buys, sells, or performance metrics.

• ·All 387 positions reported as SOLE ownership with zero shares in other categories, indicating no shared or performance rights changes.
• ·Heavy allocation to short-duration bond and municipal ETFs, such as iShares U.S. ETF TR Short Duration Bond (337,510 shares) and J.P. Morgan Ultra-Short ETF (481,467 shares).
• ·Firm address: 16401 Swingley Ridge Road, Suite 450, Chesterfield, MO 63017.

20-04-2026

Hilton Head Capital Partners, LLC filed its quarterly 13F-HR on April 20, 2026, for the period ended March 31, 2026, reporting holdings across 989 equity securities with a total market value of $177,322,785,000. Top positions include Amazon.com Incorporated (17,193 shares, $3,580,786,000), Apple Incorporated (11,619 shares, $2,948,791,000), and Broadcom Incorporated (6,713 shares, $2,077,710,000), all held with sole voting and sole disposition power. No changes or performance metrics relative to prior periods are disclosed in this filing.

• ·All 989 positions held with sole voting power (0) and sole shared power (0), sole disposition power matching shares
• ·Filing SEC file number: 028-26209
• ·Business address: 7 Lafayette Pl, Hilton Head Island, SC 29926

20-04-2026

Shepherd's Finance, LLC filed an S-1/A registration statement on April 20, 2026, outlining material federal income tax consequences for its Notes, including ordinary income treatment for interest (unless OID applies), capital gains/losses on disposition, exemptions for non-U.S. holders as portfolio interest, and 30% FATCA withholding risks. The filing also covers ERISA prohibited transaction risks for Plans investing in the Notes and introduces management team, led by CEO Daniel M. Wallach (age 58), with managers' staggered terms expiring in 2026-2028. It incorporates by reference the Form 10-K for the year ended December 31, 2025, filed April 6, 2026.

• ·Annual Report on Form 10-K for year ended December 31, 2025, filed with SEC on April 6, 2026
• ·Manager term expirations: Wallach (March 2028), Summers (March 2026), Rauscher (March 2027), Sheldon (March 2028)
• ·Non-U.S. holders exempt from 30% withholding on portfolio interest with IRS Form certification
• ·ERISA Plans must represent no prohibited transactions or plan assets involvement

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

Trust Co of Oklahoma filed its 13F-HR on April 20, 2026, reporting total holdings value of $343264788 across 184 positions as of March 31, 2026. Top holdings include Vanguard Technology ETF at $41572251, State Street SPDR S&P 500 ETF Trust at $21762978, Vanguard Financials ETF at $17048466, Apple Inc at $17246046, and Microsoft Corp at $9381218. The portfolio features a mix of individual stocks and ETFs, with significant allocations to technology, financials, and broad market indices.

• ·Filing period end date: March 31, 2026
• ·Filer address: 6120 South Yale Street, Suite 1900, Tulsa, OK 74136

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

Bridgecrest Auto Funding LLC (BAF) and Bridgecrest Acceptance Corporation (BAC) entered into an Underwriting Agreement on April 16, 2026, with Wells Fargo Securities, LLC for the public offering of Auto Loan Asset Backed Notes issued by Bridgecrest Lending Auto Securitization Trust 2026-2, including Class A-1 (3.971%), A-2 (4.24%), A-3 (4.27%), B (4.56%), C (4.88%), and D (5.19%), with an unregistered Class E (7.17%); closing is anticipated on April 28, 2026. On the Closing Date, multiple agreements will be executed, including Purchase Agreement for transfer of motor vehicle retail installment sales contracts (Receivables), Sale and Servicing Agreement, Indenture, and others involving entities like Wilmington Trust and Computershare Trust Company. No performance metrics or declines are reported in this filing.

• ·Trust and Grantor Trust established December 2, 2025, with amended and restated agreements on Closing Date.
• ·Registration Statement on Form SF-3 (Commission File No. 333-271899).
• ·Issuer's CIK: 0002121064; Depositor's CIK: 0001974820; Sponsor's CIK: 0001493927.

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

KFG Wealth Management, LLC disclosed its 13F-HR holdings as of March 31, 2026, reporting a total portfolio value of $773700492 across 216 positions, all held with sole voting power except minor shared or put positions. The portfolio is dominated by ETFs such as Fidelity Covington Trust Enhanced Large ($119838026, 3304054 shares) and ETF Ser Solutions Aptus Defined ($51787823, 1894908 shares), alongside individual stocks like Apple Inc. ($6297824, 24815 shares) and Microsoft Corp. ($2256418, 6096 shares). No period-over-period changes are detailed in the filing.

• ·Filing date: April 20, 2026
• ·Report period end: March 31, 2026
• ·Firm address: 6910 N MAIN ST BLDG 16, UNIT 41, GRANGER, IN 46530
• ·SEC file number: 028-22733
• ·One minor put position in NVIDIA (1600 shares)

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

20-04-2026

This DEF 14A proxy statement solicits votes for the Joint Annual Meeting of Shareholders of nine Virtus closed-end funds, including Virtus Artificial Intelligence & Technology Opportunities Fund (AIO), held virtually on June 1, 2026 at 3:30 p.m. ET. Proposals include electing multiple Class I, II, and III trustees/directors specific to each fund (e.g., Donald C. Burke, R. Keith Walton, and Brian T. Zino for AIO) and ratifying PricewaterhouseCoopers LLP as independent auditor for each fund. The Boards, including independent trustees, unanimously recommend voting 'FOR' all nominees and the ratification.

• ·Record date for shareholders entitled to vote: close of business on March 31, 2026
• ·Virtual meeting access: www.meetnow.global/MN6WL79 (control number from proxy card required)
• ·Proxy materials first mailed: on or about April 20, 2026
• ·Advance registration deadline for beneficial owners: 5:00 p.m. ET on May 27, 2026 (email legal proxy to shareholdermeetings@computershare.com)

20-04-2026

Fairvoy Private Wealth, LLC filed a 13F-HR on April 20, 2026, disclosing 201 equity positions totaling $418958017 as of March 31, 2026. The portfolio is diversified across ETFs (e.g., PGIM Ultra Short Bond ETF at $16103506, iShares Short Treasury Bond ETF at $15991022) and individual stocks (e.g., Apple Inc at $10859263, Amazon.com Inc at $7428783), with heavy allocations to short-term bonds, technology, and broad market indices. No prior period comparisons are available in this filing.

• ·Filing as of date: April 20, 2026
• ·Conformed period end: March 31, 2026
• ·All positions held with sole voting power (SH SOLE)

20-04-2026

HOGE FINANCIAL SERVICES, LLC, an institutional investment manager, filed its 13F-HR report disclosing equity holdings as of March 31, 2026, with a total portfolio value of $186,827,248 across 72 positions held solely on behalf of clients. The portfolio is diversified with significant allocations to ETFs such as iShares Russell 1000 ETF ($40,146,537), Vanguard Intermediate-Term Bond ETF ($27,484,368), and iShares Floating Rate Note ETF ($10,815,430), alongside individual stocks like Microsoft ($2,644,067) and Apple ($1,903,260). No prior period comparisons, changes, or performance metrics are provided in the filing.

• ·Filing submitted on April 20, 2026, for period ending March 31, 2026
• ·All positions held as sole discretionary with no put/call options reported
• ·Manager's address: 400 Southpointe Blvd., Plaza One, Suite 420, Canonsburg, PA 15317
• ·SEC file number: 028-23662

20-04-2026

FSC Wealth Advisors, LLC filed a 13F-HR report on April 20, 2026, disclosing total holdings of $5,237,773 as of March 31, 2026, across 13 ETF positions, all held with sole investment discretion and no voting authority. Key holdings include STATE STR SPDR S&P 500 ETF T TR UNIT ($661,415 for 1,017 shares), INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD ($627,557 for 36,233 shares), and FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW ($544,935 for 9,116 shares). The filing provides a snapshot with no period-over-period comparisons or performance metrics.

• ·All positions held with sole investment discretion.
• ·No voting authority reported for any holdings (sole/shared/none: 0/0).
• ·Business address: 1 Summit Ct, Suite 100, Fishkill, NY 12524.
• ·Period end: March 31, 2026.

20-04-2026

Pruco Life Insurance Co, a subsidiary of Prudential Financial, Inc., filed an amended S-1 registration statement (SEC file no. 333-292812) on April 20, 2026, related to an initial public offering, covering the fiscal year ended December 31, 2025. The filing incorporates by reference Prudential Financial's Definitive Proxy Statement for its Annual Meeting on May 12, 2026, and details reinsurance agreements with entities including Wilton Re, PARU, Parcc, PURE, PICA, and FLIAC. It includes XBRL tags for balance sheet items across 2022-2025, investment portfolios (fixed maturities, equities, mortgages), and property types, but no specific financial figures or period-over-period comparisons are provided in the extracted content.

• ·Incorporated in Arizona (EIN: 22-1944557), headquartered in Newark, NJ.
• ·Fiscal year end: December 31.
• ·References NAIC quality ratings for fixed maturities and loan-to-value/debt service coverage ratios for commercial and agricultural loans.
• ·Investment exposures include U.S. Treasury, corporate debt, asset-backed securities, private equity funds, commercial mortgages across property types (apartments, office, retail, etc.), and geographic concentrations (CA, FL, TX, Europe, AU, MX).

20-04-2026

Brookfield Oaktree Holdings, LLC disclosed a Transaction Agreement dated April 14, 2026, whereby Brookfield-affiliated entities (including Acquisition Z (2026) LP, Brookfield Asset Management Ltd., and Brookfield Corporation) will acquire 100% of the outstanding interests in Oaktree partnerships OCGH, OEP, and OEP II through a series of pre-closing and closing transactions, including unit exchanges for cash, BAM Shares, BN Shares, BN Units, or BAM RSUs, cancellations of certain units and phantom/performance units, liquidations, and contributions. The deal involves elections by limited partners for consideration form (cash, shares, units) as per Annex IV, with no monetary values or enterprise value disclosed in the filing. Conditions include antitrust approvals, no injunctions, and execution of related agreements.

• ·Transaction subject to conditions including representations/warranties, performance of covenants, antitrust/Foreign Investment approvals, no injunctions, and execution of other transaction documents.
• ·Pre-Closing Transactions detailed in Exhibit A; Closing Transactions in Exhibit B.
• ·Elections for OCGH Exchange consideration (cash, BAM Shares, BN Shares, BN Units) irrevocable per Partner Election Schedule (Annex IV).
• ·Participating OEP II Units listed in Annex II; Cash-out OCGH Limited Partners in Annex III.

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

Larimar Therapeutics' 2026 Proxy Statement seeks stockholder approval for electing three Class III directors (Frank Thomas, Carole S. Ben-Maimon, M.D., Joseph Truitt), advisory approval of NEO compensation (annually), ratification of PwC as 2026 auditor, and amending the certificate to increase authorized common shares from 115,000,000 to 215,000,000. Recent highlights include FDA Breakthrough Therapy Designation for nomlabofusp in February 2026, positive long-term study data in September 2025, and capital raises via public offerings netting $65.0 million (July 2025) and $107.6 million (February 2026). The company maintains strong governance with a 6-member board, 5 independent directors, and an independent chairperson.

• ·Annual Meeting: May 19, 2026 at 8:00 a.m. ET, virtual via meetnow.global/MWXPCMG
• ·Record Date: March 25, 2026
• ·Board: 5 independent directors out of 6, independent chairperson
• ·Class III directors serve three-year term expiring at 2029 Annual Meeting

20-04-2026

Digimarc Corporation (DMRC) has issued additional proxy materials urging shareholders to vote FOR all proposals at the Annual Meeting on April 30, 2026, with particular emphasis on Proposal 1, the Reorganization Proposal, which would make Digimarc a wholly owned subsidiary of Digimarc Parent, Inc. (Holdings) via a one-for-one share exchange. The reorganization is expected to deliver substantial cash savings, reduce share dilution, facilitate talent attraction and retention, enable robust succession planning, and better align compensation with shareholder value creation. Both Institutional Shareholder Services (ISS) and Glass, Lewis & Co. recommend voting FOR the Reorganization Proposal.

• ·Proxy solicitor: D.F. King & Co., Inc., toll-free at (877) 674-6273 for voting assistance.
• ·Filing date: April 20, 2026.
• ·Annual Meeting date: April 30, 2026.

20-04-2026

Tri-County Financial Group, Inc. held its Annual Meeting on April 16, 2026, with 1,788,476 shares represented, or 75.2% of the 2,376,998 outstanding shares, constituting a quorum. Shareholders elected Goodwin W. Toraason (1,574,265 for, 214,211 abstain/withheld, 0 against) and Kathleen Stevenson (1,572,453 for, 216,023 abstain/withheld, 0 against) to serve as directors for three-year terms. The elections passed with unanimous support (no against votes).

• ·Record date for shareholder voting: March 6, 2026
• ·Filing date: April 20, 2026
• ·No votes against either director candidate

20-04-2026

FMC Corporation entered into Amendment No. 6 to its Fifth Amended and Restated Credit Agreement on April 16, 2026, obtaining a waiver from all lenders for compliance with the Maximum Leverage Ratio covenant for the fiscal quarter ended March 31, 2026, signaling potential leverage ratio issues. The amendment adds collateral security through a new Guarantee and Collateral Agreement, including subsidiary guarantees, pledges of equity interests, IP security agreements (trademarks, patents, copyrights), and authorizes the Administrative Agent to perfect liens. Consenting lenders received a 0.05% consent fee on their aggregate Commitments, while the company commits to post-closing obligations.

• ·Amendment filed as 8-K on April 20, 2026, covering Items 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), and 9.01 (Financial Statements and Exhibits).
• ·Lenders constituting all under the Credit Agreement approved the changes, Specified Covenant Waiver limited solely to Q1 2026 Maximum Leverage Ratio in Section 6.01(a).
• ·Post-closing obligations required for certain foreign subsidiaries to execute supplements to Guarantee and Collateral Agreement.

20-04-2026

On April 1, 2026, PennantPark Private Income Fund issued and sold 331,680 common shares for aggregate consideration of approximately $8,490,000 pursuant to subscription agreements in a continuous private offering exempt under Section 4(a)(2) and Regulation D. As of March 31, 2026, the company's net asset value per share was $25.60, with aggregate net asset value of approximately $111,062,334. No prior period comparisons or declines were reported.

• ·Final number of common shares issued determined on April 16, 2026
• ·Sale conducted in reliance on exemptions from Securities Act registration for accredited investors
• ·Registrant is an emerging growth company