S&P 500 Consumer Staples Sector SEC Filings — April 14, 2026

14-04-2026

Brookfield Asset Management Ltd. filed an 8-K on April 14, 2026, under Items 8.01 (Other Events) and 9.01 (Financial Statements and Exhibits), announcing the issuance of a press release dated April 14, 2026, attached as Exhibit 99.1. The filing contains no financial data, performance metrics, or specific details from the press release. It was signed by Kathy Sarpash, Managing Director, Legal & Regulatory and Corporate Secretary.

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.

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

14-04-2026

On April 10, 2026, Patrick McCauley resigned as a director of Chicago Atlantic BDC, Inc., effective immediately, to pursue other opportunities, with no expressed disagreement on any matter relating to the Company’s operations, policies, or practices. Following the resignation, the Board consists of five members, four of whom are independent. The filing was made on April 14, 2026, under Items 5.02 and 9.01.

• ·Company is an emerging growth company.
• ·Common Stock ($0.01 par value per share) trades under symbol LIEN on The Nasdaq Stock Market LLC.
• ·Principal executive offices: 600 Madison Avenue, Suite 1800, New York, NY 10022.

14-04-2026

Chipmos Technologies Inc reported revenue growth of 6.2% YoY to NT$22,695.9 million in 2024 and 5.5% to NT$23,932.9 million ($762.9M) in 2025, driven by increasing revenue shares in Testing (to 23.7%), Assembly (to 28.6%), and Bumping (to 23.2%). However, gross profit margins compressed from 16.6% in 2023 to 10.8% in 2025 amid declines in the Display panel driver segment (share to 24.5%, margin to 7.5%), leading to operating profit falling to NT$1,142.7 million and net profit plunging 61.7% YoY to NT$550.6 million ($17.6M) in 2025.

• ·Capital expenditures declined to NT$3,666.1 million in 2025 from NT$5,451.4 million in 2024.
• ·Net cash from operating activities fell to NT$3,996.4 million in 2025 from NT$6,607.5 million in 2023.
• ·Non-operating income turned to net loss of NT$552.0 million ($17.6M) in 2025 from gains in prior years.
• ·Basic EPS declined to NT$0.78 ($0.02) in 2025 from NT$2.71 in 2023.
• ·Total employees decreased to 5,747 as of Dec 31, 2025 from 5,898 in 2024.

14-04-2026

Nature’s Miracle Holding Inc. announced on April 13, 2026, that investors should no longer rely on its unaudited condensed consolidated financial statements as of and for the three and nine months ended September 30, 2025, included in the Form 10-Q filed November 14, 2025, due to the erroneous omission of a short-term loan. The company plans to file an amended Form 10-Q/A to restate these financial statements. Management and the Audit Committee discussed the issue with auditor WWC, P.C., with no further details on the loan amount or impact provided.

• ·Original 10-Q filed with SEC on November 14, 2025.
• ·Company auditor for fiscal year ended December 31, 2025: WWC, P.C.
• ·Securities: Common Stock (NMHI, par value $0.0001), Warrants (NMHIW, exercise price $11.50 per share).

14-04-2026

Wells Fargo reported first quarter 2026 net income of $5,253 million, up 7% YoY from $4,894 million, with diluted EPS of $1.60, up 15% YoY, driven by total revenue of $21,446 million (+6% YoY), average loans of $996.0 billion (+10% YoY), and average deposits of $1,415.0 billion (+6% YoY). However, provision for credit losses surged to $11,135 million from $932 million YoY due to higher allowances on certain loan types, net income declined 2% QoQ to $5,253 million from $5,361 million, CET1 ratio fell to 10.3% from 11.1% YoY, and segments showed mixed results including Home Lending revenue down 9% YoY and Commercial Real Estate down 21% YoY.

• ·Net loan charge-offs of $1,106 million, stable at 45 basis points annualized YoY.
• ·Nonperforming assets at 0.86% of total loans, stable QoQ.
• ·Repurchased 46.3 million shares for $4.0 billion.
• ·Client assets grew 11% YoY to $2,483 billion.

14-04-2026

BlackRock reported first quarter 2026 results with $130 billion in total net inflows, including a record $132 billion in iShares ETFs and $9 billion in private markets, driving 27% YoY revenue growth to $6,698 million, 31% adjusted operating income growth to $2,669 million, and adjusted diluted EPS of $12.53 (up 11% YoY). However, institutional flows showed $11 billion in net outflows and cash management recorded $6 billion outflows, while GAAP results were boosted by non-cash items. AUM reached $13,894,600 million, up 20% YoY, with 8% organic base fee growth in the quarter and 10% over the last twelve months.

• ·Quarterly cash dividend increased 10% to $5.73 per share.
• ·Technology services and subscription revenue $530 million, up 22% YoY.
• ·Share repurchases of $450 million in Q1 2026.
• ·Active equity net inflows of $3 billion in Q1 2026.

14-04-2026

The Elmet Group Co., a Delaware corporation in the miscellaneous fabricated metal products industry (SIC 3490), filed Amendment No. 1 to its S-1 registration statement on April 14, 2026, for an initial public offering of 7,692,307 shares of common stock priced between $12.00 and $14.00 per share, with a 30-day over-allotment option for 1,153,846 additional shares. The company, an emerging growth company and smaller reporting company, seeks Nasdaq listing under 'ELMT' and operates through subsidiaries Elmet Technologies LLC and Microwave Techniques LLC following a January 2, 2026 reorganization; it notes high investment risk and no prior public market. Underwriting is led by Cantor Fitzgerald & Co., with 1.5% broker warrants and 2% shares reserved for directed sales to insiders.

• ·SEC file number: 333-294725
• ·CIK: 0002101698
• ·EIN: 33-1881598
• ·Incorporated: September 13, 2024
• ·Reorganization consummation: January 2, 2026
• ·Fiscal year end: December 31
• ·Business address: 2 Portland Fish Pier, Suite 214, Portland, ME 04101

14-04-2026

JPMorgan Chase & Co. reported first-quarter 2026 net income of $16.5 billion ($5.94 per diluted share), up 13% YoY, with managed net revenue of $50.5 billion, up 10% YoY, driven by record Markets revenue of $11.6 billion (+20% YoY) and strong growth in CIB (+19% revenue) and AWM (+11% revenue). However, noninterest expense increased 14% YoY to $26.9 billion, provision for credit losses was $2.5 billion, and Corporate net revenue declined 47% YoY to $1.2 billion. ROE was 19% and ROTCE 23%, with CET1 ratio at 14.3% standardized.

• ·#1 ranking for Global Investment Banking fees with 9.8% wallet share in Q1 2026
• ·Investment Banking fees $2.9 billion, up 28% YoY
• ·AUM $4.8 trillion, up 16% YoY; client investment assets up 18% YoY
• ·Common dividend $1.50 per share; book value per share $128.38, up 8% YoY
• ·$72B credit for consumers, $8B for U.S. small businesses, $750B for corporations in Q1 2026
• ·Active mobile customers up 7% YoY; debit and credit card sales volume up 9% YoY

14-04-2026

CareCloud, Inc. closed a $50 million credit facility with Citizens Bank, N.A. (lead arranger) and Provident Bank on April 13, 2026, providing non-dilutive capital, enhancing liquidity, and lowering the cost of capital amid $30 million annualized adjusted EBITDA. The company will fully redeem its 1,511,372 outstanding shares of 8.75% Series B Preferred Stock (CCLDO) on May 15, 2026, at $27.52 per share ($25.25 redemption price plus $2.27 dividends), eliminating $3.2 million in annual preferred dividend obligations and simplifying its capital structure. No declines or flat metrics were reported, supporting strategic growth in AI-driven healthcare solutions serving over 45,000 providers.

• ·Redemption notice period: 30 days prior to May 15, 2026.
• ·Series B Preferred Stock to be delisted from Nasdaq Global Stock Market post-redemption.
• ·Filing date: April 14, 2026; facility closing: April 13, 2026.

14-04-2026

Apellis Pharmaceuticals' Board unanimously recommends stockholders tender shares in Biogen's tender offer, citing Biogen's financial strength, absence of financing conditions, and high likelihood of timely regulatory approvals and consummation. The deal provides upfront cash certainty plus CVRs tied to SYFOVRE® milestones, but risks include business disruptions, management distraction, taxable gains, and no full participation in Apellis' standalone growth potential. A $205,000,000 termination fee applies for superior proposals post-March 31, 2026.

• ·Projections prepared for 2026-2059 on standalone basis, provided to Board and Evercore for fairness opinion.
• ·Merger to be effected under Section 251(h) of the DGCL, no additional stockholder approval needed post-tender.
• ·Annual Report for fiscal year ended December 31, 2025 filed February 24, 2026.

14-04-2026

The Federal Home Loan Bank of Chicago filed an 8-K disclosing consolidated obligation bonds and discount notes committed to be issued on trade dates April 8-10, 2026, for which it is the primary obligor, with total par value of $230 million and maturities ranging from October 2026 to April 2046. Instruments include fixed constant rate bonds at coupons of 4.000% to 5.500% and a variable single index floater, primarily with optional principal redemption features. This is routine disclosure of debt securities backed jointly by the eleven Federal Home Loan Banks, regulated by the FHFA.

• ·All listed consolidated obligations exclude discount notes with maturity of one year or less issued in ordinary course.
• ·Schedule A reports principal at par, which may differ from GAAP financial statement amounts due to discounts, premiums, or concessions.
• ·Consolidated obligations are joint and several obligations of the eleven Federal Home Loan Banks, not guaranteed by U.S. government.

14-04-2026

Redwood Mortgage Investors IX's 10-K for year ended December 31, 2025 shows net income declining sharply to $1,825 from $3,388 in 2024, driven by lower interest income of $5,042 versus $6,818 and higher provision for credit losses at $335 versus $90, while total operations expense rose slightly to $2,918 from $2,719. However, secured loans principal grew to $58,163 from $53,475, with first trust deeds increasing to $49,788 principal from $46,945. Members’ capital gross fell to $61,788 from $65,995 amid $3,307 in redemptions and $2,485 distributions, and total assets decreased to $59,140 from $67,115.

• ·Provision for credit losses increased to $335 in 2025 from $90 in 2024.
• ·Line of credit balance reduced to $0 from $4,000.
• ·Cash balance dropped to $562 from $12,058.
• ·Member redemptions slightly decreased to $3,307 from $3,458.

14-04-2026

The Procter & Gamble Company's Board of Directors declared a quarterly dividend of $1.0885 per share on its Common Stock and on the Series A and Series B ESOP Convertible Class A Preferred Stock. The dividend is payable on or after May 15, 2026, to Common Stock shareholders of record at the close of business on April 24, 2026, and to Series A and Series B ESOP Convertible Class A Preferred Stock shareholders of record at the start of business on April 24, 2026. The announcement was made via news release furnished under Item 7.01 Regulation FD Disclosure.

• ·Filing dated April 14, 2026, under Items 7.01 and 9.01.
• ·Exhibit 99.1: Dividend News Release dated April 14, 2026.

14-04-2026

Celsius Holdings, Inc. (CELH) filed its DEF 14A Proxy Statement on April 14, 2026, for its 2026 annual meeting, disclosing beneficial ownership of common stock as of the Record Date with 256,896,075 shares outstanding. Management, executive officers, and directors collectively own 6,029,971 shares (2.33%), while major 5%+ shareholders include Chau Hoi Shuen Solina (23,040,969 shares, 8.97%), Alani Holdings, LLC (22,451,224 shares, 8.74%), and Deborah DeSantis (19,577,490 shares, 7.62%). No period-over-period changes in ownership or performance metrics are reported.

• ·Stockholder proposals for inclusion in 2027 Annual Meeting proxy materials due by December 15, 2026.
• ·Director nominations or business proposals for 2027 Annual Meeting must be received no earlier than January 28, 2027, and no later than February 27, 2027.
• ·Hans Melotte will serve out his term on the Board, expiring at the Annual Meeting.
• ·Several directors and executives own 0 shares: Christy Jacoby, Fletcher Previn, John Short.

14-04-2026

Invesco Mortgage Capital Inc. announced Kevin Collins, current President, will become Chief Executive Officer effective May 1, 2026, succeeding John Anzalone who is retiring after a nine-year tenure as CEO. David Lyle, current Chief Operating Officer, will assume the role of President on the same date. The leadership transition emphasizes continuity with experienced executives, alongside recent shift to monthly dividend distributions to enhance investor alignment.

• ·John Anzalone to remain in advisory role through October 1, 2026
• ·Kevin Collins involved in company formation in 2009 and President since 2017; Co-Head of Structured Investments for Invesco Fixed Income
• ·David Lyle COO since 2017, involved since 2009; over 20 years in securitized markets; Co-Head of Structured Investments for Invesco Fixed Income

14-04-2026

Andrew Archambault, President, US of The Hershey Company, will depart the company effective May 1, 2026, with the company initiating a search for his replacement. This executive change was disclosed in an 8-K filing dated April 14, 2026, under Items 5.02 and 9.01. No financial impacts or performance metrics were reported.

• ·Securities registered: Common Stock, one dollar par value (HSY) on New York Stock Exchange
• ·Filing includes Exhibit 104: Cover Page Interactive Data File (embedded within the Inline XBRL document)

14-04-2026

Monroe Capital Corporation (MRCC) filed an 8-K on April 14, 2026, including an Amended and Restated Charter that authorizes 100 shares of common stock at $0.001 par value per share (aggregate par value $0.10) and designates a single director, Michael Balkin. The filing covers items such as termination of a material definitive agreement (1.02), completion of an acquisition (2.01), changes in control (5.01), director election (5.02), and charter amendment (5.03), indicating a significant corporate restructuring event.

• ·Principal office and resident agent address: c/o The Corporation Trust Incorporated, 2405 York Road, Suite 201, Timonium, Maryland 21093
• ·Board may amend charter to increase/decrease shares without stockholder action
• ·Provisions limit director/officer liability and provide indemnification, subject to Investment Company Act

14-04-2026

BlackRock ESG Capital Allocation Term Trust (ECAT) issued additional proxy materials urging shareholders to vote FOR nine board nominees across Class I, II, and III to avoid significant changes to investments and monthly payouts. The fund highlights strong performance with 86% cumulative return on market price since January 2023, outperforming peer median (47%) and benchmark (56%), alongside $927M higher total distributions than peers since inception. However, 93.11% of the distribution rate is from return of capital, with recent monthly and fiscal year distributions showing 63% and 78% ROC respectively, which may reduce NAV.

• ·Estimated monthly distribution sources as of March 31, 2026: Net Income $0.018474 (7%), Net Realized Long-Term Gains $0.082987 (30%), Return of Capital $0.175549 (63%).
• ·Fiscal year through March 31, 2026 distribution sources: Net Income $0.036097 (4%), Net Realized Long-Term Gains $0.153278 (18%), Return of Capital $0.641655 (78%).
• ·Cumulative total return 2.29% and cumulative fiscal year distributions 3.47% of NAV as of Feb 27, 2026.

14-04-2026

KORE Group Holdings, Inc. entered into a merger agreement on February 26, 2026, with KONA Parent, L.P. (affiliated with Searchlight Capital Partners, L.P. and Abry Partners, LLC/II, LLC) and KONA Merger Sub Co., under which eligible shareholders will receive $9.25 per share in cash upon completion of the merger. A Special Committee of independent directors unanimously recommended the transaction, and the full Board approved it, recommending stockholders vote FOR the merger agreement proposal at the upcoming special meeting. The merger requires approval by a majority of outstanding shares entitled to vote and a majority of votes cast by Disinterested Stockholders.

• ·Special meeting to be held virtually on [date], 2026 at [time] Eastern Time via www.virtualshareholdermeeting.com/KORE2026SM.
• ·Proposals include advisory (non-binding) vote on named executive officer compensation and adjournment if needed.
• ·Record date: [date], 2026; abstentions or broker non-votes count against Company Stockholder Approval but not Disinterested Stockholder Approval.
• ·Company common stock par value: $0.0001 per share.

14-04-2026

On April 10, 2026, York Space Systems Inc. (YSS) appointed Janine A. Davidson as a Class II director, effective immediately, and as a member of the Audit Committee, with the Board size increased to eight directors. Dr. Davidson, aged 59, brings extensive experience from roles including president of Metropolitan State University of Denver, Undersecretary of the U.S. Navy, and various defense policy positions. She will receive prorated compensation under the director program: $70,000 annual cash retainer, $20,000 Audit Committee retainer, and $180,000 in RSUs with one-year cliff vesting; she is a nominee of AE Industrial Partners, LP.

• ·Dr. Davidson will serve until the 2028 Annual Meeting of Stockholders or until her successor is elected.
• ·Dr. Davidson's prior roles include Senior Fellow at Council on Foreign Relations (2014-2016), Undersecretary of the U.S. Navy (2016-2017), and Air Force Officer.
• ·No other material transactions with Dr. Davidson pursuant to Item 404(a) of Regulation S-K.

14-04-2026

For the three months ended February 28, 2026, Cryo-Cell International Inc reported total revenue of $7,683,117, down 3.6% YoY from $7,968,880, driven by declines in processing and storage fees (-2.8% to $7,643,113) and public banking revenue (-98% to $1,410), though product revenue rose 84.5% to $38,594. Operating income fell 27.6% to $765,134 amid higher SG&A expenses (+8.1% to $5,011,847), resulting in net income of $47,108, an 83.3% YoY drop from $282,855; however, net cash from operating activities remained positive at $651,827 (down 31.6% YoY) and stockholders' deficit improved slightly to $(18,400,272). Total assets stood at $60,884,986, down from $61,728,514 at prior quarter-end.

• ·Cost of sales decreased 16.5% YoY to $1,656,488.
• ·Line of credit reduced to $1,600,000 from $2,300,000 quarter-over-quarter.
• ·Deferred revenue total increased to $61,460,549 from $60,704,996 during the quarter.
• ·No dividends paid in Q3 FY2026, compared to $2,020,539 in Q3 FY2025.

14-04-2026

Antelope Enterprise Holdings Ltd (AEHL) filed an F-3 shelf registration statement on April 14, 2026, enabling potential future offerings of ordinary shares, preferred shares, debt securities, warrants, rights, and units for working capital and general corporate purposes, including Bitcoin acquisitions and energy supply business plans. The company regained compliance with Nasdaq Listing Rule 5250(c)(1) on March 9, 2026, after filing its 2025 Interim Report for the fiscal half-year ended June 30, 2025. It also reported acquiring Bitcoin for $1,000,000 at $68,300 per Bitcoin and effected a 1-for-6 reverse stock split effective March 4, 2026, though the filing highlights extensive business, operational, regulatory, and share-related risks that could materially adversely affect performance.

• ·Class A ordinary shares entitled to 1 vote each; Class B ordinary shares entitled to 20 votes each.
• ·No preferred shares outstanding as of filing date.
• ·Shares listed on Nasdaq under symbol 'AEHL' since October 15, 2020.
• ·Company is a 'controlled company' under Nasdaq rules and may rely on governance exemptions.

14-04-2026

Well Done, LLC filed its 13F-HR on April 14, 2026, disclosing 197 equity holdings totaling $680,777,910 as of March 31, 2026. The portfolio is diversified across ETFs and individual stocks, with top positions including iShares Core S&P 500 ETF valued at $79,934,688 (122,372 shares) and American Century ETF TR Avantis US Large ($26,322,487, 339,426 shares). No changes from prior periods are indicated in this snapshot filing.

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

14-04-2026

This 10-K/A amendment discloses FY2025 executive compensation, with total pay declining YoY for all named officers: CEO Walter V. Klemp from $1,458,759 to $1,345,958 (-7.7%), CFO Jonathan P. Foster from $989,639 to $907,268 (-8.3%), and CSO Donald Picker from $694,062 to $622,919 (-10.3%), despite a 14% increase in CEO non-equity incentives to $426,750 and flat salaries. Salaries remained unchanged YoY across executives. Insiders beneficially own 7.58% of shares as of March 31, 2026, and equity compensation plans show 191,854 outstanding securities under approved plans.

• ·Approved equity compensation plans have weighted-average exercise price of $88.89; unapproved plans $57.88.
• ·Director total 2025 compensation ranged from $98,716 (Joy Yan) to $135,216 (John Climaco).
• ·CEO has 33,200 unexercisable options from 11/12/2025 grant at $12 exercise price.

14-04-2026

Greystone Logistics, Inc. (GLGI) reported a net loss of $5,965,195 for the nine months ended February 28, 2026, compared to net income of $1,096,405 in the prior year period, driven by a sharp 45% YoY decline in sales to $21,973,016 from $39,911,692 and a gross loss of $1,387,683 versus a prior gross profit of $6,021,246. The three-month period ending February 28, 2026 showed an even steeper sales drop of 76% YoY to $3,471,399 from $14,315,798, resulting in a net loss of $2,802,078 versus prior income of $965,665. Total assets decreased to $38,874,743 from $45,972,917 at fiscal year-end, with cash plummeting to $216,600 from $1,545,035, though operating cash flow remained minimally positive at $2,660 versus a robust $7,897,021 prior year.

• ·Current portion of revolver loan increased to $1,900,000 from $0.
• ·Current portion of long-term debt rose to $9,800,695 from $2,249,524.
• ·Property, Plant and Equipment, net declined to $27,200,432 from $30,044,886.
• ·Net cash used in investing activities was $1,796,189, lower outflow than prior $5,063,300.
• ·Interest paid $664,012 versus prior $804,097.

14-04-2026

Clearway Energy, Inc. filed a DEFA14A proxy statement seeking shareholder approval for an Amended Charter that automatically converts all outstanding Class A common stock to Class C common stock upon filing, reduces authorized Class A shares to 34,613,853 (equal to outstanding shares as of March 19, 2026), and eliminates Class A references post-conversion via a certificate of retirement. The proposal requires 66 2/3% of combined voting power and a majority of Class A voting power; the Board recommends approval and notes no tax gain/loss expected, while a March 30, 2026 lawsuit alleging fiduciary breaches by CEG and directors is believed mooted by revisions. If not approved, the company may pursue a Potential Exchange Offer for Class A shares.

• ·Amended Charter effective upon Delaware Secretary of State filing, expected day after Annual Meeting, subject to Voting Trust Agreement execution.
• ·Class A Conversion occurs automatically at 12:01 a.m. ET on second business day post-filing.
• ·No appraisal rights for Class A holders under Delaware law.
• ·Lawsuit: New England Teamsters Pension Fund v. Clearway Energy, Inc., et al. (C.A. No. 2026-0427-KSJM), filed March 30, 2026, in Delaware Court of Chancery.
• ·Board reserves right to abandon Amended Charter filing pre-effectiveness if not in best interests.

14-04-2026

Dennis J. Wilson and affiliated Reporting Persons filed Amendment No. 18 to Schedule 13D on April 14, 2026, reporting no change in beneficial ownership of lululemon athletica inc. common stock since the prior amendment on March 30, 2026, with Dennis J. Wilson's ownership steady at 8.6%. On April 10, 2026, the Reporting Persons filed a definitive proxy statement soliciting votes at the Annual Meeting to elect Laura Gentile, Eric Hirshberg, and Marc Maurer to the Board and to approve a shareholder proposal to declassify the Board.

• ·Total shares outstanding: 550,021,109.
• ·Proxy card: GOLD proxy card filed with SEC on April 10, 2026.

14-04-2026

Pelthos Therapeutics Inc. issued a press release announcing that CEO Scott Plesha will participate in one-on-one investor meetings at the Piper Sandler Spring Biopharma Symposium on April 16, 2026, in Boston, Massachusetts. The company also made an investor presentation available on its website, furnished as Exhibits 99.1 and 99.2. The disclosure includes standard forward-looking statements with associated risks but no financial metrics or performance data.

14-04-2026

GOWell Energy Technology filed a Form 425 on April 14, 2026, announcing the posting of a strictly private and confidential investor presentation on its website regarding a proposed business combination between GOWell Technology Limited and Inflection Point Acquisition Corp. V (f/k/a Maywood Acquisition Corp.) (IPEX). The presentation includes extensive disclaimers, forward-looking statements, risk factors, and notes on preliminary unaudited data for the year ended December 31, 2025, but contains no specific financial metrics or performance comparisons.

• ·Presentation prepared to assist evaluation of investment in connection with the Proposed Business Combination.
• ·Preliminary estimated and unaudited data for year ended December 31, 2025; audit not complete.
• ·Non-IFRS measures mentioned (e.g., Adjusted EBITDA), but no values provided; reconciliations in appendix (not included in filing excerpt).

14-04-2026

Aptera Motors Corp entered into a settlement agreement with Zaptera USA, Inc. on April 8, 2026, resolving litigation initiated in August 2024 by issuing 105,000 shares of Class B common stock and warrants to purchase up to 210,000 shares at $2.78 exercise price. The court dismissed all claims with prejudice on April 9, 2026. A press release announcing the resolution was issued on April 14, 2026.

• ·Litigation filed in U.S. District Court for the Southern District of California in August 2024, amended in February 2025 and June 26, 2025.
• ·Equity issuance exempt from registration under Section 4(a)(2) of the Securities Act of 1933.
• ·Class B common stock has par value of $0.0001 per share; traded on Nasdaq Capital Market under symbol SEV.

14-04-2026

Harmony Biosciences Holdings, Inc. (HRMY) appointed Glenn Reicin as Chief Financial Officer effective immediately, succeeding Sandip Kapadia, to support strategic growth and financial strength. The company reiterated its 2026 net product revenue guidance of $1.0 to $1.04 billion for WAKIX sales. Reicin brings extensive experience from roles at Eccogene, Alladapt Immunotherapeutics, Morgan Stanley, and Skyline Ventures.

• ·Appointment effective April 14, 2026
• ·Harmony headquartered in Plymouth Meeting, Pa., established by Paragon Biosciences, LLC in 2017

14-04-2026

Neumann Advisory Hong Kong Ltd filed a 13F-HR on April 14, 2026, disclosing its equity holdings as of March 31, 2026, with sole voting power over all positions and no shared or other powers reported. Key holdings include 1,073,970 shares of Agora Inc ADR, 649,768 shares of Tesla Inc, 315,586 shares of Sinovac Biotech Ltd, and smaller positions in Alphabet Inc (160,739 shares), Meta Platforms (38,537 shares), and Elastic N.V. (35,930 shares). No changes, performance metrics, or period-over-period comparisons are provided in the filing.

• ·All positions reported with 0 shares for shared discretionary and other voting powers.
• ·Filing managed by Catherine Leung, contact phone: 85239564336.
• ·Business address: Unit 905-6 ICBC Tower, 3 Garden Road, Central, K3 00000.

14-04-2026

Marsh (NYSE: MRSH) announced that Mark McGivney, its Chief Financial Officer, will assume additional roles as Executive Vice President and Chief Operating Officer effective April 15, 2026, to support strategy execution and inorganic initiatives. CEO John Doyle highlighted McGivney's nearly 20 years of contributions to the firm's success. Marsh reports annual revenue of $27 billion and more than 95,000 colleagues.

• ·Mark McGivney joined Marsh in 2007; previously served as CFO of Mercer and Marsh Risk, and Senior VP of Corporate Finance.
• ·Holds MBA from University of Chicago Graduate School of Business and BS in accounting from University of Rhode Island.
• ·Marsh operates in 130 countries.

14-04-2026

Wheels Up Experience Inc.'s Board approved a 1-for-20 reverse stock split of its Class A common stock and a proportionate reduction in authorized shares from 1.5 billion to 75 million shares, effective after NYSE close on April 24, 2026. This follows stockholder authorization at the June 10, 2025 Annual Meeting and includes adjustments to outstanding warrants (now exercisable for 1/200th of one share at $2,300 per whole share) and equity awards, with cash payments in lieu of fractional shares. The action aims to address NYSE compliance but carries forward-looking risks including no guaranteed price increase and potential negative public perception due to the company's prior reverse stock split.

• ·Reverse stock split assigns new CUSIP (96328L304) and ISIN (US96328L3042) to common stock; warrants retain existing CUSIP/ISIN.
• ·Warrants expire July 13, 2026; no fractional shares issued upon warrant exercise (rounded down).
• ·Equity incentive award holders to receive separate communications on fractional treatment.

14-04-2026

Moller Wealth Partners filed its 13F-HR on April 14, 2026, reporting total holdings value of $506502641 across 67 positions as of March 31, 2026, all held with sole voting authority. The portfolio features a mix of individual stocks and ETFs, with top positions including FlexShares TR Morningstar US Market Factor ETF at 53816232, Schwab Strategic TR Fundamental US Small Company at 41057350, Vanguard Malvern FDS STRM INFPROIDX at 39130727, and Vanguard INDEX FDS SMALL CP ETF at 35667474. This represents a standard quarterly disclosure with no period-over-period changes indicated in the filing.

• ·Filer CIK: 0001475271
• ·SEC File Number: 028-13687
• ·Business address: One Northfield Plaza, Suite 200, Northfield, IL 60093
• ·Phone: 847-441-7575
• ·All positions reported as SH SOLE with sole voting authority ranging from full to partial shares
• ·Former name: MOLLER FINANCIAL SERVICES (changed 20091026)

14-04-2026

CDM Financial Counseling Services, Inc. filed its 13F-HR on April 14, 2026, disclosing 80 equity holdings as of March 31, 2026, all managed on a sole discretionary basis with no other voting authority reported. The portfolio emphasizes ETFs including the SPDR S&P 500 ETF ($12,470,980 market value) and Technology Select Sector SPDR ETF ($8,832,847), alongside stocks such as Microsoft Corp ($3,508,999) and Vanguard Total Stock Market ETF ($6,229,356). No period-over-period changes are indicated in the filing.

• ·All positions reported with zero shared, other, or voting authority shares.
• ·Firm incorporated in CT, fiscal year end December 31, business address 457 West Main St, Norwich, CT 06360.

14-04-2026

Clean Yield Group filed its 13F-HR report on April 14, 2026, disclosing U.S. equity holdings as of March 31, 2026, totaling $355230160 across 386 positions, all with sole voting and dispositive power. The portfolio is diversified across stocks, ETFs, and REITs, with top holdings including Broadcom Inc ($12247001), ASML Holding NV ($11718404), Prologis Inc ($7435125), Sprouts Farmers Market Inc ($5293432), and Henry Jack & Associates Inc ($5253092). No changes from prior periods are indicated in this filing.

• ·Filer address: 16 Beaver Meadow Rd, Norwich, VT 05055
• ·All positions reported as SH SOLE with 0 shared voting/dispositive power

14-04-2026

Lee-Kelleher Wealth Management filed its 13F-HR on April 14, 2026, reporting total holdings of $168,071,104 across 41 positions as of March 31, 2026. The portfolio is heavily weighted toward ETFs, with the top holding being WisdomTree Trust US LargeCap Dividend Fund at $34,319,997 (384,193 shares), followed by WisdomTree Trust US MidCap Dividend Fund at $11,629,534 (221,346 shares) and iShares Core S&P Mid-Cap ETF at $11,186,952 (165,659 shares). No period-over-period changes or performance metrics are provided in the filing.

• ·All positions held with sole voting power (SH SOLE); no shared or other powers reported.
• ·Smallest notable holding: Apple Inc 1,526 shares.
• ·Firm address: 11810 Federal St, Fulton, MD 20759.

14-04-2026

Pinnacle Wealth Management Group, Inc. reported total holdings of $203,706,457 across 120 positions as of March 31, 2026, in its quarterly 13F-HR filing submitted April 14, 2026. The portfolio is heavily weighted toward Innovator ETFs (e.g., various US Equity Power Buffer and Defined Outcome series) and Vanguard funds, alongside individual stocks in tech (Microsoft, JPMorgan), utilities, and gold miners (Agnico Eagle, Alamos Gold). No period-over-period changes are disclosed in this snapshot filing; all positions reflect sole voting power with no shared authority.

• ·Business address: 849 Penniman, Suite 201, Plymouth, MI 48170
• ·All 120 holdings reported with sole voting and sole investment discretion (SH SOLE 0 0)
• ·Notable concentrations: multiple Innovator buffer ETFs (e.g., 45782C540: 71,605 shares, $3.0M), gold miners (Coeur Mining: 137,215 shares), and treasury/mortgage ETFs (Vanguard Mtg-Bkd Secs ETF: 157,588 shares)

14-04-2026

Socket Mobile, Inc. filed its DEF 14A Proxy Statement for the 2026 Annual Meeting of Stockholders, expected in June 2026, with a Record Date of April 6, 2026. The meeting includes Proposal 1: election of five directors (Charlie Bass, Kevin Mills, Bill Parnell, Ivan Lazarev, Lynn Zhao), as Felix Marx is not standing for re-election; Proposal 2: advisory vote on named executive officer compensation; and Proposal 3: ratification of Sadler, Gibb & Associates, LLC as independent auditors for the fiscal year ending December 31, 2026. As of the Record Date, 8,222,958 shares of Common Stock were outstanding, plus 733,194 shares subject to unvested restricted stock awards.

• ·Principal beneficial owners of more than 5% of Common Stock as of Record Date: Charlie Bass, Kevin Mills, Enrico Mills
• ·Deadline for stockholder proposals for inclusion in 2027 proxy statement: December 2, 2026
• ·Advance notice deadline for 2027 Annual Meeting nominations/proposals: February 15, 2027
• ·Rule 14a-19 proxy solicitation notice deadline for 2027: March 16, 2027

14-04-2026

Perfect Moment Ltd. (PMNT) filed an 8-K on April 14, 2026, under Items 7.01 (Regulation FD Disclosure) and 9.01, announcing a press release responding to unusual market action. The press release is furnished as Exhibit 99.1 but is not deemed 'filed' for liability purposes. No financial metrics, results, or period comparisons are disclosed in the filing.

• ·Securities registered: Common Stock, par value $0.0001 per share (PMNT) on NYSE American LLC.
• ·Registrant is an emerging growth company.

14-04-2026

Elevation Wealth Partners, LLC, formerly ZRC Wealth Management, LLC, reported 1,076 equity positions in its 13F-HR filing for the quarter ended March 31, 2026, with a total market value of $279134457 thousand. Top holdings include American Centy ETF TR Intl Eqt ETF (14598618 thousand), Apple Inc (7140392 thousand), and American Centy ETF TR Avantis EM Gkt (8546223 thousand), all held with sole voting and disposition authority. No prior period data is available in this filing for comparison.

• ·Filing date: April 14, 2026
• ·Report period end: March 31, 2026
• ·Business address: 200 Pringle Avenue, Suite 400, Walnut Creek, CA 94596
• ·Name change from ZRC Wealth Management, LLC: May 3, 2023
• ·All holdings reported with sole voting and sole investment discretion authority (no shared or other)

14-04-2026

Benchmark 2018-B7 Mortgage Trust reported that Situs Holdings, LLC resigned as special servicer for the Aon Center Mortgage Loan, comprising 3.7% of the asset pool as of the cut-off date, effective April 14, 2026. Argentic Services Company LP was appointed as the successor special servicer under the JPMCC 2018-AON TSA. No financial performance metrics, improvements, declines, or other impacts were disclosed.

• ·Servicing governed by trust and servicing agreement dated June 29, 2018.
• ·Argentic principal office: 500 North Central Expressway, Suite 261, Plano, Texas 75074; phone: 469-609-2000.

14-04-2026

Benchmark 2018-B4 Mortgage Trust filed an 8-K announcing that effective April 14, 2026, Situs Holdings, LLC resigned as special servicer for the Aon Center Mortgage Loan, which represents approximately 4.3% of the asset pool as of the cut-off date, and Argentic Services Company LP was appointed as successor special servicer under the JPMCC 2018-AON TSA. This change pertains to a loan combination serviced pursuant to the trust and servicing agreement dated June 29, 2018. No financial performance metrics or period-over-period changes were reported.

• ·Trust and servicing agreement (JPMCC 2018-AON TSA) dated June 29, 2018, filed as Exhibit 4.5 to 8-K on July 13, 2018
• ·Argentic principal executive office: 500 North Central Expressway, Suite 261, Plano, Texas 75074; Telephone: 469-609-2000
• ·Change effective pursuant to Section 6.4(a) of the JPMCC 2018-AON TSA