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

14-04-2026

Johnson & Johnson reported Q1 2026 sales of $24.1 Billion, up 9.9% reported (6.4% operational, 5.3% adjusted operational), with Innovative Medicine up 7.4% operational and MedTech up 4.6% operational, driven by products like DARZALEX, CARVYKTI, and TREMFYA but offset by declines from STELARA (-9.2% impact) and IMBRUVICA. However, GAAP net earnings fell 52.4% to $5.2 Billion and adjusted EPS declined 2.5% to $2.70, with free cash flow dropping to ~$1.5 Billion from $3.4 Billion. The company raised full-year 2026 guidance to $100.8 Billion reported sales (7.0% growth midpoint) and adjusted EPS of $11.55 (7.1% growth midpoint), amid multiple product approvals including ICOTYDE and TECVAYLI plus DARZALEX FASPRO.

• ·Innovative Medicine growth positively impacted by net acquisitions/divestitures +1.8% (primarily CAPLYTA)
• ·MedTech divestitures negatively impacted growth by -0.1%
• ·U.S. sales +8.3% operational; International operational +3.9%
• ·FDA approvals include ICOTYDE for plaque psoriasis, TECVAYLI + DARZALEX FASPRO for multiple myeloma, VARIPULSE Pro in Europe
• ·Planned Enterprise Business Review on December 8, 2026

14-04-2026

Davies Financial Advisors, Inc. disclosed total holdings of $10,917,105 across 11 positions as of March 31, 2026, in its quarterly 13F-HR filing submitted on April 14, 2026. The portfolio is heavily weighted toward ETFs including Invesco QQQ Trust ($4,632,699, top holding) and SPDR S&P 500 ETF Trust ($1,581,692), with additional exposure to tech stocks like Apple ($430,936) and Microsoft ($531,934). No changes or prior period comparisons were reported.

• ·All holdings reported with sole voting power and no shared power, puts, or calls.
• ·Filing covers period ending March 31, 2026.

14-04-2026

Brighthouse Financial's 2026 Proxy Statement outlines director governance practices, including stock ownership guidelines met by all long-serving directors with unvested RSUs held at 4,556 for Chairman Chaplin and 2,837 each for the other seven directors as of December 31, 2025; it notes that a pending merger could trigger immediate vesting of pre-November 6, 2025 RSUs. Proposal 2 seeks stockholder ratification of Deloitte & Touche LLP as independent auditor for 2026, with audit fees nearly flat at $13.694M in 2025 versus $13.666M in 2024 (up 0.2%), while audit-related fees rose sharply 82% to $0.902M and total fees increased 3.4% to $14.78M. The proxy also covers sustainability initiatives overseen by board committees and human capital management rooted in core values.

• ·Independent Directors expected to hold shares equal to at least 4x equity portion of annual retainer, achievable within 5 years of guidelines effective date (Jan 1, 2018) or service start.
• ·Directors required to retain 50% of net shares from vesting until guidelines met; no Director sold vested equity as of Record Date.
• ·Current Deloitte lead partner engaged since 2022 audit, eligible through 2026; new partner in 2027 per rotation rules.

14-04-2026

Cingulate Inc. filed an S-3 registration statement on April 14, 2026, registering 4,208,711 shares of common stock for resale by selling stockholders from a January 2026 private placement that raised approximately $12.0 million gross proceeds. Falcon Creek Capital Advisor LLC, the largest selling stockholder with 3,856,766 shares (28.22% ownership), gained two board seats, while lock-up (180 days) and standstill (24 months) provisions limit near-term sales and activism. Potential warrant exercises could yield $9.4 million for CTx-1301 development, but substantial share sales risk diluting existing shareholders and pressuring the stock price.

• ·Purchase Agreement dated January 27, 2026; closings on February 6 and 13, 2026.
• ·Certificate of Designation filed January 28, 2026; stockholder approval March 24, 2026.
• ·Jeff Hargroves appointed February 13, 2026; Zhanpeng “Frederick” Jiang appointed March 27, 2026.
• ·Falcon Creek board rights: resign if ownership <15% (one director) or <5% (both).
• ·Lock-up Period: 180 days from Purchase Agreement; 24-month standstill limiting ownership >40%, proxies, or M&A proposals.
• ·No proceeds to company from share resales; warrant exercisable cashless pre-effectiveness.

14-04-2026

Kezar Life Sciences, Inc. filed SC 14D9 on April 14, 2026, recommending shareholders tender shares in response to Aurinia's tender offer commenced April 13, 2026, for $6.955 per share in cash plus one non-transferable CVR, assuming $50M Signing Net Cash. The Board received a fairness opinion from TD Securities (USA) LLC dated March 29, 2026, deeming the consideration fair from a financial point of view. Key related documents include the Merger Agreement dated March 30, 2026, separation agreements for executives effective April 1, 2026, and a lease termination agreement.

• ·Tender Offer documents filed by Aurinia on April 13, 2026.
• ·Merger Agreement dated March 30, 2026, among Kezar, Aurinia Pharma U.S., Inc., and Aurinia Merger Sub, Inc.
• ·Fairness Opinion dated March 29, 2026, from TD Securities (USA) LLC.
• ·Separation Agreements dated April 1, 2026, for Christopher Kirk, Ph.D., Marc Belsky, and Mark Schiller.
• ·Lease Termination Agreement dated April 1, 2026, with GNS South Tower, LP.
• ·CVR entitles holders to 90% of Net Proceeds from Legacy Asset Transaction during specified period.

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

CGC Financial Services, LLC filed its 13F-HR on April 14, 2026, disclosing total equity holdings of $346,057,622 across 331 positions as of March 31, 2026. The portfolio is heavily weighted toward ETFs, with top holdings including JPMorgan Hedged Equity Laddered Overlay ETF ($69,665,102), Schwab US Dividend Equity ETF ($49,587,952), and JPMorgan Small & Mid Cap Enhanced Equity ETF ($22,671,153). All positions are held solely with full discretionary voting authority and no reported changes from prior periods in this filing.

• ·Filing CIK: 0001992785
• ·SEC File Number: 028-23386
• ·Business Address: 5 Centerpointe Dr, Suite 550, Lake Oswego, OR 97035
• ·All holdings reported as sole discretionary with zero shared or other voting authority

14-04-2026

News Corporation disclosed updates to the Australian Securities Exchange (ASX) regarding its ongoing $1 billion stock repurchase program authorizing purchases of Class A (NWSA) and Class B (NWS) common stock. Exhibits 99.1 and 99.2 provide the specific transaction details, if any, on the dates noted therein. The filing includes forward-looking statements about potential repurchases subject to market conditions and other factors.

• ·Event date: April 13, 2026
• ·Filing date: April 14, 2026
• ·Securities: Class A Common Stock (NWSA) and Class B Common Stock (NWS) on Nasdaq Global Select Market

14-04-2026

New Horizon Aircraft Ltd. (NASDAQ: HOVR) reported Q3 FY2026 results ended February 28, 2026, with $20 million in cash providing sufficient liquidity through planned milestones in fiscal 2027. The company is advancing its Cavorite X7 hybrid-electric VTOL aircraft toward full-scale assembly later in 2026 and flight testing in early 2027, supported by manufacturing partnerships with RAMPF Composite Solutions, North Aircraft Industries, and MHIRJ. A third-party evaluation validated projected operating costs at $0.97 per available seat mile, with improved operational efficiency shown by lower administrative costs relative to increased engineering expenses.

• ·Conference call scheduled for April 14, 2026, at 8:30 a.m. ET (dial-in: 888-506-0062 NA / 973-528-0011 international, code 835351; webcast at https://ir.horizonaircraft.com/events-presentations)
• ·Q3 FY2026 period ended February 28, 2026

14-04-2026

Lucid Group, Inc. (LCID) announces $550 million investment from Ayar Third Investment Company (PIF affiliate) in convertible preferred stock and Uber's additional $200 million commitment, increasing Uber's total investment to $500 million. Uber expands its purchase commitment to at least 35,000 Lucid vehicles, including Gravity and Midsize platforms, for a global robotaxi service in partnership with Nuro. This strengthens Lucid's capital position and builds on prior announcements from July 2025, with autonomous testing underway since December 2025.

• ·Lucid’s future Midsize vehicles expected to have starting price under $50,000.
• ·Autonomous on-road testing with Nuro began in December 2025; Lucid completed delivery of test vehicles in February 2026.
• ·Prior partnership announcement between Lucid, Nuro, and Uber in July 2025.

14-04-2026

Lockerman Financial Group, Inc., based in Newport Beach, CA, filed its Form 13F-HR on April 14, 2026, disclosing equity holdings as of March 31, 2026. The portfolio features diversified positions in large-cap stocks such as Apple Inc. ($319,015), Microsoft Corp. ($505,023 total across accounts), and Nvidia Corporation ($491,111), alongside substantial ETF holdings including JPMorgan Betabuilders US ETF ($3,484,058) and SPDR S&P 500 ETF ($3,265,358). No prior quarter share disclosures (all reported as 0) suggest this may be the firm's inaugural 13F filing with no indicated changes.

• ·All positions reported as DFND or SOLE with 0 shares previously disclosed and no put/call options.
• ·Business address: 4695 MacArthur Court, Suite 490, Newport Beach, CA 92660.
• ·Phone: 949-554-3500.
• ·Fiscal year end: December 31.
• ·State of incorporation: CA.

14-04-2026

New Concept Energy, Inc. (GBR) entered into a Subscription Agreement on April 13, 2026, with Realty Advisors, Inc. to issue 2,000,000 shares of common stock at a minimum price of $1.00 per share, potentially raising at least $2,000,000 in cash. The transaction requires stockholder approval by majority vote and NYSE American listing approval, with no assurance of completion, and would result in a change of control as the Investor, already holding 400,000 shares and sharing a common director, becomes an affiliate. The shares would be issued as restricted securities under Section 4(2) exemption.

• ·Investor may be deemed a 'Related Party' and would become an 'Affiliate' upon completion
• ·Proxy materials for stockholder meeting in preparation, targeted before end of Q2 2026
• ·Issuance represents 20% or more of current outstanding shares, triggering NYSE American stockholder approval requirement under Company Guide Section 7.13

14-04-2026

The Compensation Committee of First Business Financial Services, Inc. approved the vesting of Performance Restricted Stock Units (PRSUs) granted in 2023 to Named Executive Officers under the Long-Term Incentive Plan, based on superior Company performance in Total Shareholder Return (TSR) and Return on Average Tangible Common Equity (ROATCE) for the 2023-2025 measurement period. This resulted in payouts of Company common stock to the NEOs, with no negative performance noted. The determination was effective April 9, 2026, following the Proxy Statement filed March 5, 2026.

• ·Performance measurement period: beginning in 2023 and ending in 2025
• ·Vesting determined at 'Superior' level for both TSR and ROATCE goals
• ·Proxy Statement filed with SEC on March 5, 2026

14-04-2026

Bayview Acquisition Corp held its annual general meeting on April 10, 2026, with 2,274,294 shares present, representing 83.05% quorum of the 2,738,292 shares entitled to vote as of the March 2, 2026 record date. John Joseph DeVito was re-elected as Class I director for a three-year term with 2,184,194 FOR votes (79.76%) and 90,100 abstentions (3.29%), with no votes against. The ratification of UHY LLP as independent auditor for the fiscal year ending December 31, 2026 received unanimous approval from all votes cast.

• ·Record date for Annual Meeting: March 2, 2026
• ·Proxy statement filed with SEC: March 23, 2026
• ·No broker non-votes for auditor ratification

14-04-2026

New Era Energy & Digital, Inc. closed the full exercise of the $115 million underwriters’ option in its public equity offering, received $20 million initial funding from a $290 million senior secured term loan credit facility with Macquarie, and secured an additional $5 million equity investment from Macquarie at approximately $5 per share. These funds will support development of the Texas Critical Data Centers LLC (TCDC) project, including procurement of long-lead equipment and site development, and repay the outstanding SharonAI Holdings Inc. note to simplify the capital structure. No declines or flat metrics reported, marking a strengthened financial position.

• ·TCDC located in Ector County, outside Odessa, Texas; master planned as multi-phase development.
• ·Non-binding letter of intent with Stream Data Centers.
• ·Northland Capital Markets as lead book-running manager for Equity Offering and capital markets advisor for Term Loan; Texas Capital Securities as book-running manager.

14-04-2026

New Fortress Energy Inc.'s indirect subsidiary, NFE Brazil Holdings Limited, entered into the Brazil Bridge Credit Agreement providing a $50,000,000 senior secured multiple draw term loan facility maturing on the earliest of certain restructuring events or September 15, 2026 (potentially extended to December 2026). The facility bears 10% paid-in-kind interest per annum and is secured by substantially all assets of NFE Brazil, including equity interests in Hygo Energy Transition Ltd., with proceeds for general corporate purposes and operational expenditures, including repaying LNG payables at CoreCo. Amendments to the Restructuring Support Agreement and Letter of Credit Facility Forbearance Agreement obtained necessary consents for the transaction.

• ·Loan matures on earliest of: closing of refinancing of NFE Brazil Financing Limited’s 15% senior secured notes due 2029, RSA termination re PW/PWP AHG members, Restructuring Effective Date, or September 15, 2026 (extendable to December 14 or 31, 2026 per RSA)
• ·Obligations secured by pledge of equity interests held by NFE Brazil in Hygo Energy Transition Ltd.
• ·Standard covenants include limitations on indebtedness, liens, restricted payments, asset sales, affiliates transactions, and prepayments of other debt

14-04-2026

Prudential Financial reported Q4 and full-year 2025 financial results with year-to-date adjusted operating income before taxes up 12% to $6,637 million versus 2024, driven by U.S. Businesses (+10%) and International Businesses (+5%), while PGIM remained flat at $878 million. However, total revenues declined 15% year-to-date to $57,677 million, reflecting lower premiums (-30%), and Corporate and Other losses narrowed but remained negative at $(1,574) million. The company also announced segment reporting changes effective January 1, 2026, creating new 'U.S. Legacy Products' and 'Retirement' segments to isolate run-off businesses.

• ·Effective January 1, 2026, segment changes isolate discontinued U.S. Legacy Products (run-off blocks no longer sold) from active Retirement and Individual Life segments.
• ·Total assets under management and administration end Q4 2025: $1,804.2 billion.
• ·Adjusted book value per share diluted end Q4 2025: $100.17.
• ·Senior long-term debt end Q4 2025: $11,261 million.

14-04-2026

Accustem Sciences Inc., a pre-clinical stage company, reported zero revenue for the year ended December 31, 2025, flat from the prior year. Research and development expenses surged 103% to $281,014, general and administrative expenses increased 8% to $1,475,082, driving net losses higher by 16.68% to $1,756,096 from $1,505,102 in 2024. Cash and equivalents ended at $13,929, up from $5,047, amid higher cash burn from operations offset by financing activities.

• ·Cash flows used in operating activities increased to $850,389 in 2025 from $664,066 in 2024.
• ·Cash flows from financing activities provided $859,271 in 2025, up from $647,632 in 2024.
• ·Company has incurred net losses in every year since inception and anticipates continued losses.

14-04-2026

Emmaus Life Sciences, Inc. announced on April 13, 2026, the resignation of Jon Kuwahara as a director, effective April 15, 2026. No additional details regarding the reasons for the resignation, successor appointment, or any compensatory arrangements were disclosed in the filing.

• ·Filing submitted on April 14, 2026, under Items 5.02 (Departure of Directors or Certain Officers) and 9.01 (Financial Statements and Exhibits).
• ·No securities registered pursuant to Section 12(b) of the Act.
• ·Principal executive offices: 21250 Hawthorne Boulevard, Suite 800, Torrance, CA 90503.

14-04-2026

On April 14, 2026, Tianci International, Inc. (CIIT) announced via press release that it has entered into a non-binding Memorandum of Understanding with Greypole Mineral Resources, a Zimbabwe-based mining and trading company. The press release is furnished as Exhibit 99.1. No financial terms or binding commitments were disclosed in the filing.

14-04-2026

Praxis Precision Medicines, Inc. announced on April 14, 2026, that the U.S. Food and Drug Administration (FDA) has accepted for review its New Drug Application (NDA) for ulixacaltamide HCl for the treatment of essential tremor in adults. The FDA has set a target action date of January 29, 2027, under the Prescription Drug User Fee Act. The agency is not planning to hold an advisory committee meeting.

14-04-2026

Effective April 14, 2026, KeyBank National Association was removed as special servicer for J.P. Morgan Chase Commercial Mortgage Securities Trust 2012-C6 under the April 1, 2012 Pooling and Servicing Agreement, with CWCapital Asset Management LLC (CWCAM) appointed as successor special servicer responsible for specially serviced mortgage loans and REO properties. CWCAM, a subsidiary of CW Financial Services LLC owned by Fortress Investment Group affiliates since 2010, manages declining CMBS portfolios, dropping from 336 pools, 10,183 loans, and $211B unpaid balance as of December 31, 2024, to 330 pools, 9,300 loans, and $194.7B as of December 31, 2025. While CWCAM has 62 employees and policies compliant with Regulation AB, it faces ongoing litigation related to prior fiduciary duty claims.

• ·CWCAM organized in June 2005; has acted as special servicer since 2005.
• ·Ongoing litigation: CWCapital Cobalt Vr Ltd. v. CWCapital Investments LLC et al. (NY Supreme Court, Index No. 653277/2018), with remaining claims against affiliate CWCI affirmed on appeal; claims against CWCAM dismissed.
• ·CWCAM servicing office: 900 19th Street NW, 8th Floor, Washington, D.C. 20006.
• ·No current plans to engage sub-servicers for this transaction.

14-04-2026

William Mack & Associates, Inc. filed a 13F-HR report on April 14, 2026, disclosing 73 equity positions held solely, with a total portfolio value of $174,947,843 as of March 31, 2026. Key holdings include Apple Inc. (30,350 shares), Dimensional ETF Trust - International Small Cap Value (372,761 shares), and Vanguard FTSE Developed Markets ETF (385,705 shares). No period-over-period changes or performance metrics were reported in the filing.

• ·Filing covers period ending 03/31/2026
• ·All positions held with sole investment discretion

14-04-2026

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

14-04-2026

eCIO, Inc. disclosed holdings across 42 positions totaling $227,592,923,000 as of March 31, 2026, in its 13F-HR filing submitted on April 14, 2026. The portfolio features a strong emphasis on ESG, Catholic values, and fossil fuel-free ETFs alongside fixed income and equity funds, with the largest holding in iShares Core U.S. Aggregate Bond ETF (AGG) at $39,705,091,000, followed by Schwab U.S. Dividend Equity ETF (SCHD) at $31,220,461,000 and Schwab International Equity ETF (SCHF) at $25,889,547,000. All positions are held solely with no shared discretion or other voting authority indicated.

• ·All holdings reported as SOLE ownership with 0 shared power to vote or dispose
• ·Filer CIK: 0001830823, SEC file number: 028-25634
• ·Business address: 821 E. Washington Avenue, Suite 200, Madison, WI 53703

14-04-2026

Banque Pictet & Cie SA filed its 13F-HR report on April 14, 2026, disclosing U.S. equity and ETF holdings as of March 31, 2026, with all positions under sole voting power. Top holdings by market value include Amazon.com Inc at $861197700 (4135006 shares), Alphabet Inc Cap Stk Cl C at $507012141 (1767455 shares), and Alphabet Inc Cap Stk Cl A at $464802207 (1616366 shares). Other major positions feature Apple Inc at $138633295 (546252 shares) and Broadcom Inc at $122822234 (396828 shares).

• ·All reported holdings have sole voting power (SH SOLE) with no shared or other voting authority indicated.
• ·Filing is a confirming copy for period ending 2026-03-31.

14-04-2026

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

• ·CUSIP for JBT Marel Corporation COM: 477839104
• ·CUSIP for Oculis Holding AG Ordinary Shares: H5870P102
• ·Filer CIK: 0002108148
• ·Filer address: Gudrunartun 1, Reykjavik, K6 105

14-04-2026

L. Roy Papp & Associates, LLP filed a 13F-HR reporting total holdings valued at $867,407,772 across 184 positions as of March 31, 2026. Top holdings include Apple Inc. ($57,641,792, 227,124 shares), Alphabet Inc. Class C ($44,808,015, 156,202 shares), Microsoft Corp. ($43,391,606, 117,221 shares), and Alphabet Inc. Class A ($28,220,564, 98,138 shares). No prior period comparisons or changes in holdings are provided in this filing.

• ·Filing date: April 14, 2026
• ·Report period end: March 31, 2026
• ·Filer CIK: 0000809339
• ·Filer address: 2201 E. Camelback Road, Suite 227B, Phoenix, AZ 85016

14-04-2026

Bank Pictet & Cie (Europe) AG filed its 13F-HR report for the quarter ended March 31, 2026, disclosing holdings across 207 equity positions with a total market value of $4,688,587,650. Top holdings include Microsoft Corp (862,862 shares valued at $317,991,967), NVIDIA Corporation (2,194,516 shares valued at $382,723,590), Amazon.com Inc (1,723,929 shares valued at $359,042,693), and Alphabet Inc Class A (1,222,048 shares valued at $351,412,123). The portfolio shows broad diversification with significant concentration in technology and healthcare sectors, but no period-over-period changes are provided in the filing.

• ·Filing date: April 14, 2026
• ·Report period end: March 31, 2026
• ·Filer CIK: 0001123274
• ·Business address: Neue Mainzer Strasse 2, Frankfurt am Main 60311, Germany

14-04-2026

Citigroup reported Q1 2026 net income of $5.8 billion (up 42% YoY) and revenues of $24.6 billion (up 14% YoY), driven by strong growth across Services (17%), Markets (19% to $7.2B), and other businesses, with $7.4B returned to shareholders via repurchases and dividends. However, operating expenses rose 7% YoY to $14.3B, provision for credit losses increased 3% to $2.8B, CET1 ratio declined to 12.7%, and non-accrual loans grew 25% YoY to $3.4B. The company remains on track for 10-11% RoTCE target amid ongoing divestitures and transformation.

• ·Non-accrual loans increased to $3.4B (up 25% YoY), with corporate non-accruals up 42% to $2.0B.
• ·Efficiency ratio improved to 58.1% from 62.2% YoY.
• ·RoTCE reached 13.1% in Q1'26 (up 400 bps YoY).
• ·90% of Transformation programs at or near target state.

14-04-2026

BeOne Medicines Ltd. filed its 2025 STAR Annual Report on April 14, 2026, reporting total revenue of $5.343 billion under U.S. GAAP, up 40.2% YoY from $3.810 billion, driven by 52.8% growth ex-China to $3.664 billion while China revenue rose 19.0% to $1.680 billion. Gross margins improved slightly in China to 66.6% from 62.9% but dipped marginally ex-China to 97.0% from 97.1%; however, R&D expenses increased 9.8% YoY to $2.146 billion, with declines in BRUKINSA® (-24.5%) and TEVIMBRA® (-18.2%) offset by gains in Sonrotoclax (+76.9%). Key product sales volumes reached 5,996,100 vials in 2025 with ending inventory of 2,913,000 vials.

• ·PRC GAAP vs U.S. GAAP differences include accelerated share-based compensation recognition, separate lease interest/depreciation presentation, and deferred revenue treatment for royalty transfers.
• ·BGB-16673 R&D expenses rose to $93.8M from $20.4M; BGB-43395 to $18.0M from $6.1M.
• ·Other R&D projects expenses increased to $312M from $215M; R&D collaboration projects declined to $105M from $189M.

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

Affiance Financial, LLC filed its 13F-HR on April 14, 2026, disclosing total holdings of $617,118,733 across 106 positions as of March 31, 2026. The portfolio is dominated by ETFs including Vanguard S&P 500 ETF at $116,309,133, iShares Core U.S. Aggregate Bond ETF at $96,500,832, and Vanguard Total Stock Market ETF at $73,103,412, with individual stocks like Apple Inc. ($9,907,599) and Microsoft Corp. ($4,047,091). All positions are held with sole voting and investment power, except one put position in Invesco QQQ.

• ·One put position: Invesco QQQ Trust Unit Ser 1 (value $519462, 900 shares)
• ·Headquartered at 600 Highway 169 S., Suite 1750, St. Louis Park, MN 55426
• ·No shared or other voting power reported across all holdings

14-04-2026

OLIO Financial Planning filed its 13F-HR report disclosing total holdings of $360,958,145 across 72 positions as of March 31, 2026, with all shares held under sole voting power and no shared or other voting authority. The portfolio consists primarily of ETFs from Vanguard, Dimensional, iShares, and SPDR, alongside individual large-cap stocks such as Apple Inc. (11,188 shares valued at $2,839,437), NVIDIA Corporation (4,427 shares valued at $771,984), and Berkshire Hathaway (1,913 shares valued at $916,710). No period-over-period changes or performance metrics are provided in the filing.

• ·Filed on April 14, 2026 for period ending March 31, 2026
• ·Business address: 1751 Pinnacle Drive, Suite 600, McLean, VA 22102
• ·All 72 positions held with sole voting power (SH SOLE), zero shared or other voting authority

14-04-2026

Onyx Financial Advisors, LLC filed its 13F-HR on April 14, 2026, disclosing 18 equity positions held as of March 31, 2026, with a total market value of $240841437. The portfolio is dominated by Dimensional ETF Trust funds, led by US Core Equity 2 ETF at $142864001 (3676377 shares), World ex US Core Equity ETF at $39423802 (1160548 shares), and Short Duration Fixed ETF at $18491725 (386210 shares). Other holdings include individual stocks such as Microsoft Corp ($2672276, 7219 shares) and Caterpillar Inc ($753703, 1064 shares), all with sole investment discretion and voting authority.

• ·All 18 positions held with sole investment discretion and sole voting authority.
• ·No put/call positions, investment discretion other than sole, or shared voting authority reported.
• ·Firm located in Idaho Falls, ID; CIK 0001957840.

14-04-2026

CATHY PARETO & ASSOCIATES, INC, a Florida-based investment adviser, filed its 13F-HR on April 14, 2026, disclosing Q1 2026 holdings as of March 31, 2026, totaling $149,005,040 across 96 securities, all with sole voting and investment power. The portfolio features diversified positions in large-cap stocks like Apple Inc. ($8,847,669) and Berkshire Hathaway Inc. Del Cl A ($718,140 for 1 share), alongside heavy ETF allocations including SCHWAB STRATEGIC TR US LCAP VA ETF ($9,544,231). No shared discretion, other managers, puts, calls, or explicit changes from prior periods were reported.

• ·All holdings reported with sole voting power and no shared discretion.
• ·No put options, call options, or other investment managers listed.
• ·Portfolio heavily weighted toward ETFs from Schwab, Dimensional, iShares, and Vanguard.
• ·Business address: 901 Ponce de Leon Blvd., Suite 501, Coral Gables, FL 33134.

14-04-2026

Pacific Capital Wealth Advisors, Inc. disclosed total holdings of $595,401,471 across 87 positions in its 13F-HR filing as of March 31, 2026. The portfolio features heavy allocations to ETFs including the SPDR S&P 500 ETF Trust ($182,165,234 or 31%), Vanguard Total Bond Market ETF ($81,188,805 or 14%), and Vanguard Intermediate-Term Corporate Bond ETF ($27,785,428 or 5%), alongside individual stocks like Apple Inc. ($4,393,736) and Alphabet Inc. ($752,970 combined Classes A and C). No period-over-period changes are provided in this snapshot filing.

• ·Filing submitted on April 14, 2026, for period ending March 31, 2026
• ·All positions reported as sole discretionary with no shared or other voting authority
• ·Firm address: 1861 California Avenue, Suite 101, Corona, CA 92881
• ·CIK: 0001803523; Investment Adviser CRD: 159294

14-04-2026

Roffman Miller Associates Inc /PA/ filed its 13F-HR on April 14, 2026, for the quarter ended March 31, 2026, disclosing $1,734,559,532 in total holdings across 86 positions, all held on a sole discretionary basis. Top holdings include Apple Inc ($113,600,892), Alphabet Inc Cl A ($110,467,900), Microsoft Corp ($95,363,096), Johnson & Johnson ($64,482,246), and Amazon.com Inc ($57,974,493), with significant allocations to ETFs such as Vanguard Total Stock Market ETF ($1,972,915) and State Street SPDR S&P 500 ETF ($4,384,495). The portfolio features a mix of large-cap stocks, ETFs, and one put option position, with no comparative prior period data provided.

• ·Business address: 1835 Market Street, Suite 500, Philadelphia, PA 19103
• ·Business phone: 215-981-1030
• ·SEC file number: 028-04141
• ·All positions reported as SOLE discretionary with minor sole voting authority shares (e.g., Apple 447617 sole voting)
• ·Portfolio includes ETFs, stocks, one put option on SPDR S&P 500 ETF, and ADRs

14-04-2026

Focus Financial Network, Inc. filed its 13F-HR on April 14, 2026, disclosing holdings across 729 positions with a total value of $2,789,424,185 as of March 31, 2026. The portfolio is diversified across equities and ETFs, with top holdings including Apple Inc. (339,314 shares), Amazon.com Inc. (306,884 shares), and Alphabet Inc. Class A (99,434 shares). No period-over-period changes are provided in this snapshot filing.

• ·All holdings reported with sole voting power (no shared voting or other managers).
• ·Portfolio heavily weighted toward technology (e.g., Apple, Amazon, Alphabet) and ETFs.
• ·Business address: 1300 Godward St, Minneapolis, MN 55413.

14-04-2026

Twin Cities Retirement Group LLC filed a 13F-HR report on April 14, 2026, for the quarter ended March 31, 2026, disclosing 24 holdings with a total portfolio value of $109,358,976. The holdings consist entirely of sole discretionary shares in various ETFs from Dimensional, iShares, Schwab Strategic Trust, SPDR, and Vanguard, plus a small position in 3M Co. No changes, additions, or reductions are detailed in the filing.

• ·All 24 holdings reported with sole voting authority and no put/call options.
• ·Firm address: 15600 36th Avenue North, Suite 240, Plymouth, MN 55446.
• ·SEC file number: 028-26133; CIK: 0002109366.

14-04-2026

Xena Financial Planning, LLC filed its 13F-HR report on April 14, 2026, disclosing 33 equity holdings as of March 31, 2026, all held with sole discretionary voting power. The portfolio is heavily weighted toward ETFs including SPDR (207,551 shares), iShares Core Universal USD (139,477 shares), and Vanguard Municipal Bond Tax Exempt Bond (136,450 shares), alongside stocks like Apple Inc (37,460 shares). No market values, prior period comparisons, or changes in holdings are provided in the filing.

• ·Filing period end date: March 31, 2026
• ·All 33 positions held with sole voting power (SH SOLE)
• ·Other notable holdings: NVIDIA Corporation (1,428 shares), Microsoft Corp (1,606 shares), Berkshire Hathaway Inc Del Cl B (678 shares)

14-04-2026

Arnold Financial Planning LLC, a small investment advisor based in Hiawatha, IA, filed its 13F-HR on April 14, 2026, reporting holdings as of March 31, 2026, across 26 positions primarily in low-cost ETFs from Schwab Strategic Trust, Dimensional ETF Trust, iShares, and Vanguard. Largest holdings by shares include Schwab Strategic Trus Aggregate B ETF (638,805 shares), Schwab Strategic Trus Lrg Cap ETF (528,506 shares), and Schwab Strategic Tr Sht Tm US Tres ETF (517,952 shares), with smaller positions in individual stocks like Apple Inc. (5,153 shares), Nvidia Corporation (3,220 shares), and Meta Platforms Inc. (467 shares). This quarterly snapshot provides no period-over-period changes, performance data, or shifts in portfolio composition.

• ·All reported holdings held with sole investment discretion and sole voting authority (no shared or none voting authority)
• ·Filer CIK: 0002107020, EIN: 812132994, State of Incorporation: IA
• ·Business address: 1202 DINA CT, Hiawatha, IA 52233
• ·SEC file number: 028-25985

14-04-2026

Enveric Biosciences, Inc. (ENVB) filed a DEFA14A Definitive Additional Proxy Materials on April 14, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing was made by the registrant with no fee required. No specific proposals, financial data, or voting matters are detailed in the provided filing header.

• ·Filing subcategory: Proxy Statement (Definitive Additional Materials)
• ·Not filed by a party other than the registrant

14-04-2026

LifePlan Financial, LLC filed a 13F-HR report on April 14, 2026, disclosing $135,316,855 in equity holdings across 83 positions as of March 31, 2026. All positions are held solely with sole voting and investment discretion. Notable holdings include iShares Gold Trust (11941757 value), SPDR S&P 500 ETF Trust (9137940 value), and various sector ETFs and individual stocks like Microsoft and Amazon.

• ·All holdings reported with sole voting power (SH SOLE) and no shared voting or discretion.
• ·Filer CIK: 0001739485, based in Mankato, MN.
• ·Report filed under SEC file number 028-23556.