S&P 500 Industrials Sector SEC Filings — April 02, 2026

02-04-2026

Acuity Inc. reported fiscal 2026 Q2 net sales of $1,055.7 million, up 4.9% YoY from $1,006.3 million, driven by strong growth in the AIS segment, while ABL segment sales declined 2.8% to $817.4 million; operating profit rose 20.7% to $133.0 million, though impacted by $5.9 million special charges related to productivity improvements. Adjusted operating profit increased 8% to $176.0 million with margin expansion to 16.7%, and adjusted diluted EPS grew 11% to $4.14. Year-to-date net cash from operating activities was $229.9 million, supporting share repurchases of 318,000 shares for $106 million and an 18% dividend increase to $0.20 per share.

• ·Special charges of $5.9 million in Q2 FY2026 related to productivity improvements in ABL segment (primarily labor cost reductions).
• ·Cash and cash equivalents decreased to $272.5 million from $422.5 million as of August 31, 2025.
• ·Total assets decreased to $4,558.5 million from $4,755.2 million.
• ·Long-term debt reduced to $697.1 million from $896.8 million.
• ·Quarterly dividend increased 18% to $0.20 per share.
• ·Conference call scheduled for 8:00 a.m. ET on April 2, 2026.

02-04-2026

Manhattan Associates, Inc. filed its DEF 14A proxy statement for the 2026 Annual Meeting of Shareholders on May 14, 2026, seeking approval for election of three Class I directors (expiring 2029), advisory vote on named executive officer compensation, ratification of Ernst & Young LLP as independent auditors for FY 2026, and the First Amendment to the 2020 Equity Incentive Plan. The proxy highlights 2025 business progress, including $145 million in R&D investment (up 5% YoY) focused on Manhattan Active® cloud solutions and new AI-driven products like Manhattan Active® Agents, while noting risks outlined in the 2025 Form 10-K. The Board consists of 8 directors (75% independent) with active committees holding 5 full board, 4 audit, 6 compensation, and 4 nomination/governance meetings in FY 2025.

• ·Record date: March 18, 2026
• ·Meeting location: 2300 Windy Ridge Parkway, Atlanta, GA 30339 at 9:00 a.m. ET
• ·Proposal 1 voting: Plurality, with majority withhold policy requiring resignation offer
• ·Proposals 2, 3, 4 voting: Majority of votes cast in favor vs. against
• ·2025 Annual Report on Form 10-K available at www.manh.com Investor Relations

02-04-2026

Associated Banc-Corp completed its merger with American National Corporation on April 1, 2026, pursuant to a Merger Agreement dated November 30, 2025, resulting in the Board increasing its size from 13 to 14 directors and appointing Wende Kotouc, former Executive Co-Chairman and CEO of American National Bank, as a new director nominee under added Proposal 4 for the April 28, 2026 virtual Annual Meeting. Ms. Kotouc became the beneficial owner of 10,648,000 shares (5.7%) of Associated common stock via a 36.250 exchange ratio, while her husband John F. Kotouc entered a two-year consulting agreement with an annual retainer of $400,000. The supplement provides her background, compensation details including a $400,000 base salary and $1,694,049 severance, and notes she is not independent, leaving nine of 11 nominees independent.

• ·Annual Meeting record date: March 5, 2026; virtual at www.virtualshareholdermeeting.com/ASB2026 on April 28, 2026 at 11:00 a.m. CDT
• ·Transfer restrictions on shares: no transfers first 60 days post-merger; then limited to 150,000 shares per day publicly
• ·Three directors not standing for re-election at Annual Meeting (per original Proxy Statement)
• ·Nine of 11 director nominees are independent

02-04-2026

Norfolk Southern Corporation, through its subsidiary Norfolk Southern Railway Company (NSRC), entered into amended and restated agreements on April 1, 2026, to renew the lease for its corporate headquarters building at 650 West Peachtree Street NW, Atlanta, Georgia, for an additional five-year term with an aggregate lease amount of approximately $498.7 million. The transaction consolidates all interests with BA Leasing BSC, LLC (BAL) as the sole counterparty, structures the lease as a finance lease (previously operating), and requires monthly rent based on Term SOFR plus an applicable margin under a triple-net arrangement. The parent company provides an unconditional guaranty for NSRC's obligations, with options at term end to extend, purchase, or sell the building.

• ·Lease base term: five years commencing April 1, 2026
• ·Original agreements dated March 1, 2019
• ·At least 90 days prior to end of base term, NSRC must elect to extend for five years (with consent), purchase the building, or arrange third-party sale (if not in default)
• ·Triple-net lease: NSRC responsible for maintenance, insurance, property taxes, and operating costs

02-04-2026

Ohio Valley Banc Corp's DEF 14A proxy statement outlines executive compensation policies, including a Stock Ownership and Retention Policy requiring directors elected after September 21, 2021, to hold at least 2,500 common shares (with 50% of fees withheld for purchases), a three-year clawback policy for incentive compensation, and restrictions on hedging under the Insider Trading Policy. Executive officers, compensated by subsidiaries, have their pay determined by the Compensation Committee using Payfactors benchmarking and performance appraisals. Shareholders approved the prior year's named executive officer compensation with 82% support in the May 2025 say-on-pay vote.

• ·Directors have up to five years from election to meet the 2,500 share ownership requirement.
• ·Compensation Committee conducts annual performance appraisals for executives like Wiseman, Miller, and Jones to set compensation.
• ·Company licenses Payfactors web-based system for biennial compensation benchmarking against regional and national peer banks.
• ·Subsidiaries closed: OVBC Captive, Inc. on December 6, 2023; Race Day Mortgage, Inc. on December 31, 2023.

02-04-2026

Pharming Group N.V. reported record annual revenues of $376,134 thousand for the year ended December 31, 2025, up 26.6% YoY from $297,200 thousand in 2024, driven by RUCONEST® (+26.0% to $317,921 thousand) and Joenja® (+29.5% to $58,213 thousand), mainly from U.S. sales. The company swung to an operating profit of $25,842 thousand from a $8,621 thousand loss, with gross profit up 26.3% to $330,634 thousand at stable ~88% margins; however, operating expenses rose 14.2% to $311,320 thousand, finance net costs deteriorated to a $13,618 thousand loss from a $1,889 thousand gain, and net profit was modest at $2,538 thousand versus a $11,841 thousand loss. Basic EPS improved to $0.004 from -$0.018.

• ·U.S. revenues: $361,746 thousand (2025) vs $287,149 thousand (2024), 96% of total
• ·Europe and RoW revenues: $14,388 thousand (2025) vs $10,051 thousand (2024)
• ·Cost of inventories: $31,972 thousand (2025) vs $25,645 thousand (2024)
• ·Royalty fees: $5,793 thousand (2025) vs $4,907 thousand (2024)
• ·Sales milestone: $5,000 thousand (2025)
• ·Obsolete inventory impairments: $2,735 thousand (2025) vs $4,847 thousand (2024, decline)
• ·Basic EPS: $0.004 (2025) vs -$0.018 (2024)
• ·Filing date: April 02, 2026 for year ended December 31, 2025

02-04-2026

Hyatt Hotels Corporation's DEF 14A proxy statement for the 2026 Annual Meeting on May 20, 2026, seeks stockholder approval for the election of three Class II directors (Gianni Marostica, Heidi O’Neill, and Richard C. Tuttle) amid Thomas J. Pritzker's departure, reducing the Board from 12 to 11 members. The Board recommends voting FOR the ratification of Deloitte & Touche LLP as independent auditors and advisory approval of named executive officer compensation, but AGAINST a stockholder proposal. No financial performance metrics are highlighted, with emphasis on governance features like pay-for-performance compensation and World of Care initiative.

• ·Record date for Annual Meeting: March 23, 2026
• ·Annual Meeting held online via live webcast at 9:30 a.m. Central Time; pre-registration required at www.proxydocs.com/h
• ·Proxy materials and Annual Report for fiscal year ended December 31, 2025 available at www.proxydocs.com/h
• ·Key governance features: pay-for-performance, no hedging, share ownership requirements, no single-trigger change-in-control provisions

02-04-2026

CareView Communications, Inc., along with its subsidiary Borrower, PDL Investment Holdings, LLC as Lender, Steven G. Johnson (President and CEO), and Dr. James R. Higgins (director), entered into the Fourteenth Amendment to the Credit Agreement on March 30, 2026, extending the Maturity Date to June 30, 2026. This amendment continues a long series of prior modifications to the original June 26, 2015 Credit Agreement and related Modification Agreement, with dozens of amendments listed dating back to 2015. The update creates or modifies a direct financial obligation under Item 2.03.

• ·Original Credit Agreement dated June 26, 2015
• ·Filing incorporates 30+ prior amendments to Credit Agreement and Modification Agreement as exhibits, with latest prior ones in December 2025

02-04-2026

Inovio Pharmaceuticals, Inc. notified Oppenheimer & Co. Inc. on April 1, 2026, that it is suspending and terminating the August 13, 2024 ATM Prospectus under the Sales Agreement, halting any further sales of common stock until a new prospectus is filed. As of that date, the company had issued and sold 1,319,644 shares for aggregate gross proceeds of $3.2 million before commissions and expenses. The Sales Agreement remains in full force and effect.

• ·Sales Agreement originally filed as Exhibit 1.1 to 8-K on August 13, 2024
• ·Prospectus dated August 13, 2024

02-04-2026

Global Net Lease, Inc. (GNL) announced that board members Sue Perrotty and Governor Edward Rendell will retire effective immediately following the 2026 Annual Meeting of Stockholders and will not stand for re-election. They provided 11 and 14 years of service, respectively, including leadership through the 2023 merger and internalization. Post-meeting, the Board will consist of eight members if all nominees are elected.

• ·GNL is a publicly traded internally managed REIT (NYSE: GNL) focused on net lease assets in the U.S., Western and Northern Europe.
• ·Investor Relations contact: investorrelations@globalnetlease.com or (323) 265-2020.

02-04-2026

Flutter Entertainment plc announced that independent Director Alfred F. Hurley, Jr., who has served since June 2016, will retire after a ten-year term and not stand for re-election at the 2026 Annual General Meeting on May 29, 2026. John Bryant, Chair of the Board, thanked Hurley for his contributions, including during the U.S. listing transition and as Chair of the Compensation and Human Resources Committee. Effective post-AGM, Nancy Dubuc will replace Hurley as Chair of the Compensation and Human Resources Committee.

• ·Flutter notified the Board of Hurley's retirement decision.
• ·Enquiries: Edward Traynor, +353872232455

02-04-2026

Pharvaris N.V. reported a net loss of €175,699,397 for the year ended December 31, 2025, a 31% increase YoY from €134,221,527, primarily due to R&D expenses rising 26% to €124,478,334 while total operating expenses grew 17% to €169,822,932. General and administrative expenses declined 4% to €45,344,598, providing a slight offset. Cash and cash equivalents ended at €291,678,888, up 4% from €280,728,037, bolstered by €160,607,219 in financing activities despite higher operating cash burn of €137,073,634 (up 14%).

• ·Basic and diluted loss per share: €(2.97) in 2025 vs €(2.48) in 2024.
• ·Accumulated loss: €579,596,307 as of Dec 31, 2025.
• ·Share premium increased to €792,549,401 from €623,641,380.

02-04-2026

NCS Multistage Holdings, Inc. filed a DEFA14A Definitive Additional Proxy Material on April 02, 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 substantive proxy details or financial data are provided in the filing header.

• ·Filing Type: SCHEDULE 14A (Amendment No. blank)
• ·Check box: Definitive Additional Materials
• ·Payment of Filing Fee: No fee required

02-04-2026

Cocrystal Pharma, Inc. announced via press release that the U.S. Food and Drug Administration (FDA) has granted Fast Track designation to CDI-988, the company's oral, direct-acting protease inhibitor. CDI-988 is the first oral antiviral candidate being developed for the treatment and prophylaxis of norovirus infection. The press release is furnished as Exhibit 99.1.

• ·Filing date: April 2, 2026
• ·Securities registered: Common Stock (COCP) on The Nasdaq Capital Market

02-04-2026

Cboe Global Markets, Inc. has issued its 2026 Proxy Statement for the virtual Annual Meeting on May 14, 2026, seeking stockholder approval to elect 12 directors, approve executive compensation on an advisory basis, ratify KPMG LLP as independent auditors for 2026, and consider a stockholder proposal on shareholder right to act by written consent. The proxy highlights strong 2025 performance including record options volume, new product launches, strategic business realignment, and expanded retail access via a Pan-European Best Bid and Offer solution, with no declines or flat metrics reported. Stockholder returns emphasized ongoing commitment to long-term value creation.

• ·Record date: March 19, 2026
• ·Annual Meeting: May 14, 2026, 8:00 a.m. Central time, virtual via www.virtualshareholdermeeting.com/CBOE2026
• ·One stockholder proposal on shareholder right to act by written consent

02-04-2026

Ultragenyx Pharmaceutical Inc. announced that the FDA has accepted for review its resubmitted Biologics License Application seeking accelerated approval for UX111 (rebisufligene etisparvovec), an AAV9 gene therapy for Sanfilippo syndrome Type A (MPS IIIA). The FDA has set a PDUFA action date of September 19, 2026. The filing includes standard forward-looking statement cautions regarding regulatory risks and uncertainties.

• ·Annual Report on Form 10-K filed with SEC on February 18, 2026

02-04-2026

Phillips 66's 2026 Proxy Statement details strong 2025 performance, including record clean product yields, above-industry crude utilization, and record NGL volumes in Refining and Midstream segments, alongside $3.1B returned to shareholders (over 50% of net operating cash flow excluding working capital) and a 10% dividend increase since February 2025. The company advanced growth via acquisitions of EPIC NGL (renamed Coastal Bend) and remaining WRB Refining LP interest, funded by divestments, while targeting total debt reduction to $17B by year-end 2027. No declines or flat metrics were highlighted; shareholders will vote on electing four Class II directors to serve until 2029, advisory approval of NEO compensation, and ratification of Ernst & Young LLP as auditors at the virtual annual meeting on May 13, 2026.

• ·Record date for voting: March 20, 2026.
• ·Glenn Tilton and Marna Whittington retiring from Board as of 2026 Annual Meeting.
• ·Nine Board members engaged directly with shareholders in 2025.
• ·Ten new independent directors appointed to Board in last five years.

02-04-2026

Kratos Defense & Security Solutions, Inc. (KTOS) filed a DEFA14A, Definitive Additional Materials proxy statement on April 02, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. No fee was required for the filing, and no substantive proposals, financial data, or voting matters are detailed in the provided cover page.

• ·Filed by the Registrant
• ·No fee required

02-04-2026

Vertex Pharmaceuticals Incorporated (VRTX) filed a DEFA14A Definitive Additional Materials proxy statement with the SEC on April 02, 2026. The filing is soliciting material under §240.14a-12, submitted by the registrant with no fee required. No substantive financial or operational details are provided in the filing header.

02-04-2026

Byrne Asset Management LLC filed a 13F-HR report disclosing $170,671,505 in total holdings across 569 positions as of March 31, 2026, with sole discretionary authority on all. Top holdings include Alphabet Inc Class A (31,369 shares valued at $9,020,470), Apple Inc (29,488 shares at $7,483,760), Microsoft Corp (20,187 shares at $7,472,623), Nvidia Corp (35,563 shares at $6,202,187), and Amazon.com Inc (24,378 shares at $5,077,206). The portfolio is heavily weighted toward large-cap technology stocks and ETFs, with no shared voting authority reported.

• ·All 569 holdings managed with sole shared power to vote or direct vote (SH SOLE).
• ·No other shared power reported (0 for shared, 0 for sole other).
• ·Filing covers period ending 03-31-2026, filed 04-02-2026.

02-04-2026

Effective April 2, 2026, CWCapital Asset Management LLC (CWCAM) replaces LNR Partners, LLC as special servicer for the 685 Fifth Avenue Retail Non-Serviced Loan Combination under the BANK 2018-BNK15 PSA. The appointment was directed by RX IV CMBS, LP, the directing certificateholder. CWCAM will handle servicing if the loan becomes specially serviced and review material actions otherwise.

02-04-2026

The 520 Almanor Mortgage Loan, constituting approximately 5.4% of the 3650R 2021-PF1 Commercial Mortgage Trust's asset pool as of its cut-off date, has undergone a special servicer change from CWCapital Asset Management LLC to Torchlight Loan Services, LLC, effective April 2, 2026. This loan is part of a loan combination serviced under the Benchmark 2021-B30 Mortgage Trust's pooling and servicing agreement dated November 1, 2021. The appointment follows Section 3.22(b) of the PSA in the interest of transaction management.

• ·Torchlight Loan Services, LLC principal special servicing office: 90 Park Avenue, 20th Floor, New York, New York 10016; Telephone: 212-883-2800
• ·Change effective as of April 2, 2026, pursuant to Section 3.22(b) of the BMARK 2021-B30 PSA dated November 1, 2021

02-04-2026

Ranger Energy Services, Inc. (RNGR) filed a DEFA14A Definitive Additional Proxy Materials on April 02, 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 substantive financial or operational details are provided in the document.

• ·Filed by the Registrant
• ·No fee required

02-04-2026

Avis Budget Group, Inc. (CAR) proxy statement seeks shareholder ratification of Deloitte & Touche LLP as independent auditors for fiscal 2026, with audit fees increasing 9% YoY to $11.3M in 2025 from $10.4M in 2024, audit-related fees up 132% to $72K, and tax fees up 82% to $4.0M. It also includes an advisory vote to approve executive compensation and a shareholder proposal from John Chevedden for majority voting governance, which the Board opposes following failed similar proposals in 2025. All other fees remained flat at $0.

• ·Deloitte has served as independent auditors since 1997; lead engagement partner rotated in 2025.
• ·Shareholder proposals for 2027 Annual Meeting due by December 3, 2026 (Rule 14a-8) or February 19 to March 21, 2027 (By-laws).
• ·In 2025, similar majority vote proposals failed to pass despite Board recommendation, with one passing and three failing.

02-04-2026

Bed Bath & Beyond, Inc. completed its previously announced acquisition of The Brand House Collective (TBHC) on April 2, 2026, through a merger where a wholly owned subsidiary merged with TBHC, making it a wholly owned subsidiary of BBBY. TBHC shareholders received 0.1993 shares of BBBY common stock per TBHC share, with cash payments for fractional shares based on BBBY's $4.66 closing price on April 1, 2026. In connection, BBBY contributed $30,000,000 to TBHC for general corporate purposes, including repaying indebtedness to Bank of America.

• ·Exchange Ratio: 0.1993 BBBY shares per TBHC common share
• ·TBHC options with exercise price >= $0.94 cancelled without payment
• ·TBHC RSUs fully vested and converted at Exchange Ratio
• ·Financial statements and pro forma info to be filed by amendment within 71 days

02-04-2026

On March 30, 2026, Aparna Bawa notified Zoom Communications, Inc. of her resignation as Chief Operating Officer, effective May 8, 2026. The departure is not due to any disagreement with the company. The 8-K filing was submitted on April 2, 2026, and signed by Michelle Chang, Chief Financial Officer.

• ·Company address: 55 Almaden Boulevard, 6th Floor, San Jose, California 95113
• ·Class A Common Stock ($0.001 par value) traded on Nasdaq Global Select Market under symbol ZM

02-04-2026

Bionano Genomics, Inc. (BNGO) filed a DEFA14A Definitive Additional Proxy Materials on April 2, 2026, for its Annual Meeting of Stockholders scheduled for May 14, 2026, at 10:00 AM Pacific Time, held virtually at www.proxydocs.com/BNGO. Proposals include the election of Class II Directors Albert Luderer, Ph.D. and Kristiina Vuori, M.D., Ph.D.; an advisory vote to approve named executive officer compensation; and ratification of BDO USA, P.C. as independent registered public accounting firm for the fiscal year ending December 31, 2026. The Board recommends voting FOR all proposals, with stockholders of record as of March 19, 2026 eligible to participate.

• ·Stockholders must request paper or email copies of proxy materials by May 4, 2026 via www.investorelections.com/BNGO, 1-866-648-8133, or paper@investorelections.com.
• ·Proxy materials available online at www.proxydocs.com/BNGO; 12-digit control number required to vote or attend.

02-04-2026

Riverview Bancorp, Inc. (NASDAQ: RVSB) appointed Kourosh Zamani and Jon Girod to its Board of Directors for Riverview Bank and Riverview Bancorp, effective immediately on April 2, 2026. Zamani, co-founder of AI technology firm Laurel (raised over $150M), and Girod, owner of Quail Homes who built over 3,000 homes and developed more than 2,000 lots, bring expertise in technology, business development, and community real estate. The company reports $1.51B in assets as of December 31, 2025, with 17 branches focused on community banking.

• ·Riverview Bank is 103 years old.
• ·Named Best Bank by readers of The Columbian for the past 12 years.
• ·Headquartered in Vancouver, WA, with focus on commercial, business, and retail clients.

02-04-2026

Iridium Communications Inc. issued a DEFA14A notice for its 2026 Annual Meeting on May 20, 2026, seeking shareholder approval on the election of 11 director nominees, an advisory vote on named executive officer compensation, ratification of KPMG LLP as independent auditors for the fiscal year ending December 31, 2026, and approval of the Amended and Restated 2015 Equity Incentive Plan. The board recommends voting 'For' all proposals. Proxy materials, including the Proxy Statement and Form 10-K, are available online at www.ProxyVote.com or by request before May 6, 2026.

• ·Annual Meeting: May 20, 2026 at 8:30 a.m. Eastern Time, virtually at www.virtualshareholdermeeting.com/IRDM2026
• ·Voting deadline: May 19, 2026 11:59 PM ET
• ·Material request deadline: May 6, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com

02-04-2026

Globalstar, Inc. filed its DEF 14A proxy statement for the 2026 Annual Meeting of Stockholders on May 13, 2026, at 1:00 p.m. Central Time in Covington, LA, seeking shareholder approval to elect James F. Lynch and Timothy E. Taylor as Class B Directors, ratify Ernst & Young LLP as the 2026 independent registered public accounting firm, and approve on an advisory basis the compensation of named executive officers. The record date is March 23, 2026, with proxy materials available online via www.globalstar.com and www.ProxyVote.com. No financial performance metrics or period-over-period comparisons are detailed in the provided filing content.

• ·Voting recommendations from Board: FOR all three proposals.
• ·Proxy materials furnished via Notice of Internet Availability on or about April 2, 2026.

02-04-2026

On March 30, 2026, Amie Thuener O'Toole notified Alphabet Inc. of her resignation as Vice President, Corporate Controller, and Principal Accounting Officer, effective April 9, 2026, to pursue another professional opportunity. The resignation did not result from any disagreement with the Company on matters relating to its operations, policies, or practices.

• ·Filing Date: April 2, 2026
• ·Date of earliest event reported: March 30, 2026
• ·Report signed by Kathryn W. Hall on behalf of Alphabet Inc.

02-04-2026

Bimini Capital Management, Inc. (BMNM) completed the acquisition of 80% of the fully diluted equity interests in Tom Johnson Investment Management, LLC (TJIM), a registered investment adviser, for a total purchase price of $12,318,492, with $12 million paid in cash at closing on April 1, 2026. TJIM adds approximately $1.63 billion in assets under management across equity and fixed income markets. The transaction includes a potential future purchase of the remaining 20% interest after the third anniversary or seller's departure, along with new employment agreements for key staff.

• ·Balance of purchase price payable on or before first anniversary of closing.
• ·Option or obligation to acquire remaining 20% of TJIM equity after third anniversary or principal seller ceasing employment.
• ·Three-year employment agreement for principal seller; employment agreements for all TJIM staff.
• ·Potential equity ownership offers to certain TJIM staff for retention.

02-04-2026

BlackRock ESG Capital Allocation Term Trust (ECAT) urges shareholders to vote FOR its Class I, II, and III Board Nominees on the WHITE voting instruction form ahead of the June 9, 2026 annual meeting to counter a contested election by an activist investor, warning that not voting risks significant changes to the investment and monthly payouts. Since inception in January 2023, ECAT delivered an 86% cumulative return on market price, outperforming its benchmark (56%) and peer median (47%), distributed $982 million with a rate twice that of peers, increased distributions by 233%, repurchased over $100 million in shares, and maintains the lowest discount to NAV among peers. These results stem from board actions including a Discount Management Program, though 93.11% of distributions are return of capital.

• ·Annual shareholder meeting scheduled for June 9, 2026.
• ·Performance data as of February 27, 2026 (Morningstar).
• ·Peer group: Morningstar Closed-End Tactical Allocation category, excluding BlackRock funds.
• ·Benchmark: MSCI World Index (65%) / Bloomberg U.S. Aggregate Bond Index (35%).
• ·Shareholders should only return WHITE voting instruction form; others will cancel votes.

02-04-2026

Vistagen Therapeutics, Inc. notified Nasdaq of non-compliance with Listing Rule 5605(c)(2), which requires an Audit Committee of at least three independent members, following Mary Rotunno's resignation from the Board effective April 1, 2026, reducing the committee to two members. The company's common stock listing on Nasdaq Capital Market remains unaffected, with a cure period extending to the earlier of the next annual stockholders' meeting or one year from the resignation date (or 180 days if the meeting occurs within that timeframe). The Board intends to regain compliance before the cure period expires.

• ·Non-compliance disclosed in prior 8-K filed March 18, 2026.
• ·Nasdaq Listing Rule 5605(c)(2) specifically requires three independent Audit Committee members.
• ·Cure period pursuant to Nasdaq Listing Rule 5605(c)(4)(B).

02-04-2026

Armata Pharmaceuticals, Inc. announced its 2026 annual meeting of stockholders on June 11, 2026, at 8:30 a.m. PT at its principal executive offices in Los Angeles, California. Stockholders of record as of the close of business on April 17, 2026, will be entitled to notice and to vote. The deadline for stockholder proposals and director nominations under the advance notice bylaws is 5:00 p.m. PT on April 12, 2026.

• ·Annual Meeting address: 5005 McConnell Avenue, Los Angeles, California 90066.
• ·Common Stock trading symbol: ARMP on NYSE American.

02-04-2026

Pheton Holdings Ltd (PTHL) reported total assets of $9,096,296 as of December 31, 2025, up 35% from $6,723,254 in 2024, driven by new intangible assets ($2,414,357) and goodwill ($1,955,683) from an acquisition. Revenues increased 17% YoY to $523,031, with Medical Auxiliary Supplies surging 104% to $160,181, however FTTPS sales were nearly flat down 1.8% to $362,850, gross profit declined 14% to $327,351, and net loss ballooned to $5,098,384 from $660,588 due to sharply higher G&A expenses ($4,873,326). Cash and equivalents dropped sharply 76% to $1,490,129 amid $3.2M operating cash burn.

• ·Operating cash flow used $3,231,427 in 2025 vs $775,000 in 2024.
• ·Share-based payment expense $2,945,495 in cash flow reconciliation.
• ·Non-controlling interest introduced at $2,003,497 as of Dec 31, 2025.
• ·Accounts receivable net increased slightly to $288,456 from $281,585, with allowance for credit losses rising to $166,310 from $106,780.

02-04-2026

Live Oak Bancshares, Inc. (LOB-PA) filed DEFA14A proxy materials for its 2026 Annual Meeting on May 19, 2026, at 9:00 AM ET in Wilmington, NC, outlining five proposals: election of 10 director nominees, approval of the 2026 Omnibus Stock Incentive Plan, 2026 Employee Stock Purchase Plan, advisory say-on-pay vote for named executive officers, and ratification of KPMG LLP as independent auditors for 2026. The board recommends voting 'For' all proposals. No financial performance metrics or period comparisons are provided in the filing.

• ·Vote by May 18, 2026, 11:59 PM ET via www.ProxyVote.com or in person
• ·Request proxy materials by May 5, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Meeting location: 1741 Tiburon Drive, Wilmington, NC 28403

02-04-2026

Verde Resources, Inc. established Verde Resources Asia Pacific Pte. Ltd., a wholly-owned subsidiary incorporated in Singapore on March 30, 2026. This step follows discussions with Singapore's Economic Development Board (EDB) and Land Transport Authority (LTA), advancing the company's strategy to license its Net Zero Blueprint and related technologies globally, with Singapore serving as its Asia Pacific headquarters. The initiative aims to support future generation and trading of carbon removal credits and regional expansion.

• ·Subsidiary is a private company limited by shares under Singapore laws
• ·Filing signed by Jack Wong on April 2, 2026

02-04-2026

Cummins Inc. issued additional proxy materials for its 2026 Annual Meeting on May 12, 2026 (record date March 16, 2026), outlining votes for election of 11 director nominees, advisory approval of named executive officer compensation, ratification of PricewaterhouseCoopers LLP as auditors for 2026, and approval of the 2026 Omnibus Incentive Plan, all recommended 'For' by the Board. The Board recommends 'Against' two shareholder proposals: one for separating Chairperson and CEO roles, and another requesting a report on charitable support. Materials are available online, with paper copies requestable by April 28, 2026; virtual attendance at www.virtualshareholdermeeting.com/CMI2026.

• ·Annual Meeting: May 12, 2026 at 11:00 a.m. EDT, virtual at www.virtualshareholdermeeting.com/CMI2026
• ·Record date for holders: March 16, 2026
• ·Proxy materials request deadline: April 28, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Control numbers referenced: V85567-P42421, V85568-P42421

02-04-2026

Silo Pharma, Inc. entered into an asset purchase agreement dated March 31, 2026 (Item 1.01 references July 29, 2025) with Many Ads Inc. to acquire the QwikAgents web-based application software, including source code and object code, along with domain names qwikagents.com, qwikagents.ai, and qwikagents.co. In consideration, the Company issued 2,100,000 shares of its common stock (par value $0.0001 per share) in an unregistered sale under Section 4(a)(2) of the Securities Act. No financial valuation or performance metrics for the assets were disclosed.

• ·Shares have par value $0.0001 per share
• ·Transaction relies on Section 4(a)(2) of the Securities Act for exemption from registration
• ·Seller provides indemnification for misrepresentations, breaches, IP infringement, and gross negligence
• ·Software includes identified Open Source Software components per Exhibit B, with one LGPL-licensed dependency

02-04-2026

Bank of Marin Bancorp (Nasdaq: BMRC) announced a webcast of its Q1 2026 earnings call on April 27, 2026, at 8:30 a.m. PT, where President and CEO Tim Myers and EVP and CFO Dave Bonaccorso will discuss results for the fiscal first quarter ended March 31, 2026. The company, with $3.9 billion in assets, operates 27 branches and eight commercial banking offices in Northern California. A replay will be available on the company's investor relations website.

• ·Founded in 1990 and headquartered in Novato, CA.
• ·Consistently ranked one of the “Top Corporate Philanthropists" by San Francisco Business Times since 2003.
• ·Ranked top 13 in Sacramento Business Journal’s 2025 Corporate Direct Giving List.
• ·Recognized as one of North Bay Business Journal’s “Best Places to Work” in 2025.
• ·Inducted into North Bay Biz’s “Best of” Hall of Fame in 2024.
• ·Included in the Russell 2000 Small-Cap Index and Nasdaq ABA Community Bank Index.

02-04-2026

On April 1, 2026, BlackRock Monticello Debt Real Estate Investment Trust sold an aggregate of 646,159.5315 common shares for $16,196,500, plus applicable upfront selling commissions and dealer manager fees, as part of its continuous private offering exempt under Section 4(a)(2) and Rule 506 of Regulation D. The sale included 379,750.6198 Class F-I Common Shares for $9,526,500 and 266,408.9117 Class F-S Common Shares for $6,697,125 (including $27,125 upfront selling commission). This capital raise supports the company's ongoing operations with no reported declines or flat metrics.