S&P 500 Healthcare Sector SEC Filings — April 03, 2026

03-04-2026

Ensysce Biosciences, Inc. announced the resignation of Curtis Rosebraugh from its Board of Directors, effective April 1, 2026; he had served on the Nominating and Corporate Governance Committee. The resignation notice is attached as Exhibit 17. No additional details on reasons or successor were provided in the filing.

• ·Resignation notice dated and effective April 1, 2026; Form 8-K filed April 3, 2026
• ·Common Stock trades as ENSC on Nasdaq

03-04-2026

Kezar Life Sciences, Inc. entered into a Lease Termination Agreement effective April 1, 2026, for approximately 47,714 rentable square feet (24,357 sq ft on the 3rd floor and 23,357 sq ft on the 4th floor) at 4000 Shoreline Court, San Francisco, California, originally leased since August 16, 2017. The company paid a termination fee of $1,318,453.88 to Landlord GNS South Tower, LP, representing the remaining rent obligation of $1,984,536.88 less the security deposit of $666,083.00 (after $7,600.00 retained for repairs). Parties exchanged mutual releases, with no reconciliation of 2026 operating expenses, tax expenses, or utilities costs.

• ·Lease originally dated August 16, 2017, amended November 1, 2022.
• ·Agreement executed April 1, 2026; filed April 03, 2026.
• ·Tenant must complete Surrender Obligations by Termination Date, including walk-through inspection option.
• ·No further liability post-termination except surviving obligations; governed by California law.

03-04-2026

On March 31, 2026, Skye Bioscience, Inc. repriced all outstanding stock options for current full-time employees and executives, covering 2,420,978 shares, to a new exercise price of $0.6150 per share from prior ranges of $1.055 to $14.56, aiming to retain and motivate personnel without dilution or additional cash costs. The Board also appointed John P. Sharp as Chief Financial Officer effective immediately via a Master Services Agreement with Lohman & Associates, billing at a flat rate of $25,600 for up to 64 hours per month. Punit Dhillon (CEO) holds 1,103,959 repriced options and Tuan Diep (COO) holds 396,295 repriced options.

• ·Repriced options granted prior to December 31, 2025 under the 2014 Omnibus Plan or 2024 Inducement Plan.
• ·John P. Sharp's prior roles: CFO at SaNOtize (Dec 2022-Oct 2025), PhaseBio (Apr 2016-Nov 2022), HUYA (Mar 2014-Dec 2015), Ligand (Apr 2007-Mar 2014); former auditor at PricewaterhouseCoopers LLP.
• ·No family relationships or related party transactions for Mr. Sharp under Items 401(d) or 404 of Regulation S-K.

03-04-2026

Citigroup Inc. furnished a Historical Quarterly Financial Data Supplement for five-year periods ended December 31, 2025, reflecting Q1 2026 reporting changes ahead of earnings on April 14, 2026. Changes include transferring Retail Banking from U.S. Personal Banking to Wealth, creating a new U.S. Consumer Cards segment from remaining USPB, and updating TCE allocations among Services, Markets, and Banking segments. Prior period results recast for comparability, with consolidated results and TCE unchanged.

• ·10-K filed February 20, 2026 for additional reporting change details
• ·Q1 2026 earnings materials issuance on April 14, 2026

03-04-2026

Lucid Group announced Q1 FY26 production of 5,500 vehicles and deliveries of 3,093 vehicles for the quarter ended March 31, 2026, with deliveries disrupted for 29 days due to a supplier quality issue affecting Lucid Gravity second-row seats, impacting the ability to meet customer demand. The company has resolved the issue and is reaffirming its previously shared production guidance of 25,000-27,000 vehicles. Full Q1 financial results and net income will be released prior to the earnings conference call on May 5, 2026.

• ·Earnings call on May 5, 2026, at 2:30 pm PT / 5:30 pm ET; Q&A submissions open April 20 to May 4, 2026 via https://app.saytechnologies.com/lucid-group-2026-q1
• ·Production numbers now include all vehicles at AMP-1, including those shipped to Saudi Arabia
• ·Vehicle production and delivery numbers are not sole indicators of financial results

03-04-2026

On April 1, 2026, Mark Hilz, Chief Operating Officer, Corporate Secretary, and Board member of HeartSciences Inc., passed away at age 67 after a period of illness; he had served on the Board since 2013 and in his executive roles since March 2022. The company does not anticipate hiring a replacement COO or any disruptions to operations, as the MyoVista Insights™ platform has launched and the MyoVista® wavECG™ device was submitted for FDA 510(k) clearance in December 2025.

• ·Mr. Hilz was 67 years old at the time of his passing.
• ·MyoVista® wavECG™ submitted to FDA for 510(k) premarket clearance in December 2025.

03-04-2026

Western New England Bancorp, Inc. (WNEB) filed its DEF 14A definitive proxy statement on April 3, 2026, for the 2026 Annual Meeting of Shareholders on May 14, 2026 (record date March 16, 2026), seeking approval for director elections, a non-binding advisory vote on Named Executive Officer compensation, and ratification of Wolf & Company as independent auditors for the fiscal year ending December 31, 2026. The filing includes sections on board composition, corporate governance, executive compensation (with pay-versus-performance data for 2023-2025), director compensation, and security ownership, but no specific financial performance metrics or period-over-period changes are detailed in the provided content. As of the record date, 20,258,872 shares of common stock were outstanding.

• ·Annual Meeting location: Sheraton Springfield Monarch Place Hotel, One Monarch Place, Springfield, Massachusetts 01114 at 10:00 A.M. Eastern Daylight Time.
• ·Proxy materials available at wneb.q4ir.com/financials/proxy-materials and web.viewproxy.com/WNEB/2026.
• ·Shareholder proposals for 2027 Annual Meeting must be submitted by December 4, 2026.

03-04-2026

Arcadia Biosciences, Inc. dismissed Deloitte & Touche LLP as its independent registered public accounting firm on March 30, 2026, and simultaneously engaged Ramirez Jimenez International CPAs (RJI) as its successor, effective immediately for the quarter ending March 31, 2026. There were no disagreements with Deloitte on accounting principles or auditing scope, but Deloitte's prior audit reports included a going concern explanatory paragraph due to accumulated deficits, recurring losses, and insufficient cash resources, alongside disclosed material weaknesses in internal controls. Deloitte provided a confirming letter as Exhibit 16.1.

• ·Material weaknesses in internal controls as of December 31, 2025, involved insufficient segregation of duties in financial close process and inadequate information system controls (access and change management), attributed to reduced employee headcount.
• ·No consultations with RJI occurred in the two most recent fiscal years or interim period regarding accounting, auditing, or reporting matters.
• ·10-K for year ended December 31, 2025, filed March 26, 2026, disclosed the material weaknesses in Item 9A.

03-04-2026

Harmony Biosciences Holdings, Inc. (HRMY) filed definitive additional proxy materials (DEFA14A) on April 3, 2026, for its 2026 Annual Meeting of Stockholders scheduled for May 14, 2026, at 1:00 p.m. ET virtually. Shareholders are to vote on: (1) election of four Class III directors (Geno J. Germano, Troy Ignelzi, Ron Philip, Andreas Wicki, Ph.D.) to serve until the 2029 annual meeting; (2) ratification of Deloitte & Touche LLP as independent auditors for the fiscal year ending December 31, 2026; and (3) a non-binding advisory vote on named executive officer compensation.

• ·Voting deadline: May 13, 2026, 11:59 p.m. ET
• ·Virtual meeting URL: www.virtualshareholdermeeting.com/HRMY2026
• ·Proxy materials request deadline: April 30, 2026
• ·Control numbers referenced: V89931-P48489, V89932-P48489

03-04-2026

Elventix Technology Corp reported zero revenues and net losses of $31,820 for the three months ended February 28, 2026 and $68,189 for the nine months ended, with loss per share steady at $0.01 amid higher weighted average shares outstanding. While the company raised $38,925 via issuance of 1,297,500 common shares at $0.03 each and total assets grew 7.5% to $231,194, cash declined 64.4% to $890, stockholders' equity swung to a $(24,963) deficit from $4,301, and liabilities rose 21.5% to $256,157. Operating cash flows used $68,707, reflecting ongoing expenses including amortization of $34,214 and R&D of $5,500.

• ·Operating expenses totaled $31,820 for three months (including amortization $12,027, server rental $8,400, R&D $5,500) and $36,369 for nine months.
• ·Promissory note payable: $163,000 (down from $188,538); related party loan payable: $92,709 (up from $22,199).
• ·Accumulated deficit: $(68,388) as of February 28, 2026.
• ·No cash paid for interest or income taxes.

03-04-2026

American Financial Group, Inc. (AFGB) filed a DEFA14A, Definitive Additional Proxy Materials, on April 03, 2026. This filing serves as additional materials pursuant to Section 14(a) of the Securities Exchange Act of 1934, submitted by the registrant with no filing fee required. No substantive financial data, metrics, or specific proposals are detailed in the provided content.

03-04-2026

Waller Financial Planning Group, Inc. disclosed $453,084,712 in total equity holdings as of March 31, 2026, in its 13F-HR filing submitted on April 3, 2026. The portfolio comprises 74 positions held on a sole discretionary basis, dominated by ETFs including iShares Core S&P 500 ETF ($71,139,285), iShares EAFE Value ETF ($38,015,378), SPDR (CUSIP 78464A409) ($37,656,045), Vanguard Small Cap Value ETF ($34,178,423), and SPDR (CUSIP 78464A508) ($33,716,869). Notable stock holdings include Apple Inc. ($4,804,865) and Vanguard Mid Cap ETF ($6,492,104), with no prior period data provided for comparison.

• ·All 74 positions held with sole voting and disposition power.
• ·One additional position: 200 call options in Microsoft Corp. valued at $10,339.
• ·Filer address: 941 Chatham Lane, Suite 212, Columbus, OH 43221.

03-04-2026

At Hewlett Packard Enterprise Company's 2026 Annual Meeting on April 1, 2026, stockholders elected all 12 director nominees with strong majorities (ranging from ~95% to ~99% votes for), ratified Ernst & Young LLP as auditors with 98% support, and approved Amendment No. 5 to the 2021 Stock Incentive Plan increasing shares reserved by 22 million. However, the advisory vote on executive compensation passed with only 74% support amid 264 million votes against, and a stockholder proposal on discrimination reporting failed overwhelmingly with just 1% support.

• ·Broker non-votes: 157,291,562 across director elections, Proposals 3, 4, and 5
• ·Proposal 2 (auditor ratification): 1,143,409,866 votes for, 18,711,455 against
• ·Patricia F. Russo received the highest against votes among directors (47,841,595)

03-04-2026

Global Wealth Strategies & Associates, an investment advisor based in Denver, CO, filed its 13F-HR report disclosing $406,982,747 in total holdings across 543 positions as of March 31, 2026, all held with sole discretionary authority. Top holdings include Vanguard S&P 500 ETF at $122,325,310 (204,711 shares), iShares U.S. Equity Factor Rotation Active ETF at $20,688,284 (355,591 shares), and Schwab U.S. Small-Cap ETF at $8,313,909 (285,898 shares). The portfolio features a diversified mix of equities, ETFs, and fixed income products with no period-over-period changes disclosed in this filing.

• ·Filing submitted on April 3, 2026, for period ending March 31, 2026.
• ·CIK: 0001912297; SEC File Number: 028-22730.
• ·Business address: 3200 Cherry Creek South Drive, Suite 280, Denver, CO 80209.

03-04-2026

Wells Fargo Commercial Mortgage Trust 2016-C37 filed an 8-K announcing that the Potomac Mills Mortgage Loan, comprising approximately 4.8% of the asset pool as of its cut-off date, will now be specially serviced by Torchlight Loan Services, LLC, replacing Situs Holdings, LLC, effective April 3, 2026, under the CFCRE 2016-C6 PSA. This administrative change is made in the interest of transaction management. No performance metrics or financial impacts were disclosed.

• ·CFCRE 2016-C6 PSA dated as of November 1, 2016
• ·Torchlight principal special servicing office: 90 Park Avenue, 20th Floor, New York, New York 10016; Telephone: 212-883-2800

03-04-2026

Bank of America Merrill Lynch Commercial Mortgage Trust 2017-BNK3 announced that Situs Holdings, LLC has been removed as special servicer for the Potomac Mills Mortgage Loan, which represents approximately 2.1% of the asset pool as of the cut-off date, and Torchlight Loan Services, LLC has been appointed as the successor special servicer effective April 3, 2026, under the CFCRE 2016-C6 PSA. This change is in the interest of transaction management. No performance metrics or financial impacts were disclosed.

• ·Torchlight Loan Services, LLC principal office: 90 Park Avenue, 20th Floor, New York, New York 10016; telephone: 212-883-2800
• ·Servicing governed by pooling and servicing agreement dated November 1, 2016

03-04-2026

Citigroup Commercial Mortgage Trust 2016-P6 reported a change in the special servicer for the Potomac Mills mortgage loan under the CFCRE 2016-C6 PSA. Situs Holdings, LLC was terminated as special servicer effective April 3, 2025, and Torchlight Loan Services, LLC was appointed as successor special servicer effective April 3, 2026. The Acknowledgment of Replacement Special Servicer dated April 3, 2026, is attached as Exhibit 20.1.

• ·Filing date: April 3, 2026
• ·Date of earliest event: April 3, 2026
• ·Pool and servicing agreement dated November 1, 2016, filed as Exhibit 4.5 to 8-K on December 15, 2016

03-04-2026

Citigroup Commercial Mortgage Trust 2016-C3 reported a change in the special servicer for the Potomac Mills mortgage loan under the CFCRE 2016-C6 PSA. Effective April 3, 2025, Situs Holdings, LLC was terminated as special servicer, and Torchlight Loan Services, LLC was appointed as successor special servicer. The acknowledgment of this replacement, dated April 3, 2026, is attached as Exhibit 20.1.

• ·Filing date: April 3, 2026
• ·Date of earliest event: April 3, 2026
• ·Effective date of servicer change: April 3, 2025
• ·Issuing entity CIK: 0001687605
• ·Depositor CIK: 0001258361

03-04-2026

Ridgewood Investments LLC filed its 13F-HR on April 3, 2026, disclosing $244.5B in holdings across 208 positions as of March 31, 2026 (Q1 2026). The portfolio saw broad-based increases, with the largest position in Berkshire Hathaway Inc Del Cl B New growing 19% QoQ to $23.05B (48,100 shares from 40,456). Other key holdings like Alphabet Inc Cap Stk Cl A (+14% to $7.67B, 26,669 shares) and Pinterest Inc Cl A (+33% to $240.9M, 13,135 shares) also expanded, while many positions remained flat.

• ·Filing effective date: April 03, 2026
• ·Filer address: 623 Morris Avenue, Springfield, NJ 07081
• ·No positions were reduced (removed shares = 0 across all reported holdings); all changes were additions or flat

03-04-2026

NewtekOne, Inc. renewed one-year employment agreements effective April 1, 2026, with executives Barry Sloane (CEO and President), Michael A. Schwartz (Chief Legal Officer and Corporate Secretary), and Frank DeMaria (Chief Financial Officer and Executive Vice President), with terms unchanged except for added non-renewal payments equal to one year of base compensation in some agreements. The Company's subsidiary, Newtek Bank, N.A., similarly renewed the employment agreement with President Peter Downs on identical terms. These renewals ensure executive continuity with no reported changes to compensation structures beyond the non-renewal provision.

• ·Renewals filed under Item 5.02 of Form 8-K on April 3, 2026.
• ·Employment agreements to be filed as exhibits in next Quarterly Report on Form 10-Q.
• ·Change in Control Agreements remain unchanged from Form 10-K for year ended December 31, 2024.

03-04-2026

Medallion Financial Corp. reported an SBA-declared event of default on $73.5 million (approximately 3%) of its consolidated borrowings via debentures to subsidiary Medallion Capital, Inc., as of March 31, 2026, due to an unqualified management team. The SBA directed submission of at least one qualified full-time principal and investment committee candidate within 120 days, with potential acceleration of the debt upon failure to comply. No cross-default clauses were triggered in other debt arrangements, and Medallion Capital is actively responding by identifying candidates.

• ·SBA debentures typically provide 10-year terms at fixed rates lower than other capital sources.
• ·SBA licensing division review of Medallion Capital’s management team is ongoing; company believes supplemented submission will qualify the team.

03-04-2026

AbbVie Inc. updated its 2026 adjusted diluted EPS guidance to incorporate a $744 million Q1 acquired IPR&D and milestones expense, reducing the Q1 range to $2.56-$2.60 from the prior $2.97-$3.01 and the full-year range to $13.96-$14.16 from $14.37-$14.57. This reflects a $0.41 per share downward impact for both periods, with no offset from other improvements noted. Guidance excludes any potential future IPR&D and milestones expenses beyond Q1, as they cannot be reliably forecasted.

• ·Guidance excludes impact from acquired IPR&D and milestones expense beyond Q1 2026, as such expenses cannot be reliably forecasted.

03-04-2026

CVS Health Corporation issued definitive additional proxy soliciting materials for its 2026 Annual Meeting of Stockholders, scheduled virtually for May 14, 2026 at 8:00 A.M. ET, with a voting deadline of May 13, 2026 at 11:59 P.M. ET. Key proposals include the election of 13 director nominees (all recommended For by the Board), ratification of the independent registered public accounting firm for 2026 (For), advisory approval of executive compensation (For), approval of the 2026 Incentive Compensation Plan (For), and a stockholder proposal to reduce the threshold for stockholder action by written consent (Against). Proxy materials, including the Notice, Proxy Statement, and 2025 Annual Report, are available online at www.ProxyVote.com.

• ·Meeting attendance is virtual at www.virtualshareholdermeeting.com/CVS2026.
• ·Requests for paper/email copies of materials must be made by April 30, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com.

03-04-2026

On March 30, 2026, Jeff Park resigned as Chief Investment Officer of ProCap Financial, Inc., effective April 3, 2026, from all positions with the Company and its subsidiaries; the resignation was voluntary with no disagreements on operations, policies, or practices. The Company entered into a Separation Agreement providing continued base salary through May 8, 2026, vesting of restricted stock units under the 2025 Equity Incentive Plan through August 2026, and group health insurance for up to six months post-effective date. No successor Chief Investment Officer has been appointed.

• ·Separation Agreement waives Mr. Park's non-competition covenant but maintains confidentiality, non-solicitation, and non-disparagement obligations.
• ·Full text of Separation Agreement filed as Exhibit 10.1.