S&P 500 Industrials Sector SEC Filings — April 13, 2026

13-04-2026

Amphastar Pharmaceuticals, Inc. (AMPH) filed DEFA14A definitive additional proxy materials for its 2026 Annual Meeting of Stockholders, scheduled virtually on June 1, 2026, at 11:30 AM PT. Key proposals include electing three Class I directors (David Gaugh, William J. Peters, Jacob Liawatidewi) to serve until the 2029 annual meeting, ratifying Ernst & Young LLP as independent auditors for the fiscal year ending December 31, 2026, advisory approval of named executive officer compensation, and advisory approval of a 1-year frequency for future say-on-pay votes. Proxy materials are available online at www.ProxyVote.com or by request before May 18, 2026, with voting deadline May 31, 2026.

• ·Filing date: April 13, 2026
• ·Vote by: May 31, 2026 11:59 PM ET
• ·Virtual meeting URL: www.virtualshareholdermeeting.com/AMPH2026
• ·Request materials deadline: May 18, 2026

13-04-2026

Conrad Siegel Investment Advisors, Inc. filed its Form 13F-HR on April 13, 2026, reporting total holdings valued at $554047161 across 63 positions as of March 31, 2026. The portfolio consists primarily of ETFs from providers like Vanguard, iShares, and Dimensional, alongside individual stocks such as Apple Inc., Microsoft Corp., and NVIDIA Corp., with all positions held under sole voting authority. No changes in holdings or performance metrics were disclosed in this snapshot filing.

• ·Filing period end date: March 31, 2026
• ·All 63 positions reported with sole voting authority (SH SOLE)
• ·Significant exposure to fixed income and municipal bond iShares ETFs (e.g., iShares TR IBonds series)

13-04-2026

Farmer Mac's 2026 Proxy Statement for the May 14, 2026 Annual Meeting highlights record 2025 performance with 116% Return on Equity, $112.77 book value per share as of December 31, 2025, and a 7% year-over-year quarterly dividend increase. The meeting agenda includes election of 10 directors, ratification of the independent auditor, and an advisory vote to approve named executive officer compensation, which garnered 99% stockholder support in 2025. The Board of 15 members maintains 100% independence, high committee attendance rates (96-100%), and governance best practices including stock ownership requirements and a clawback policy.

• ·Board committee attendance: Audit 100%, Business Development & Business Strategy 100%, Corporate Governance 100%, Credit 100%, Finance 100%, Human Capital & Compensation 97%, Enterprise Risk 97%, Public Policy & Corporate Social Responsibility 96%.
• ·CEO stock ownership requirement: 3x annual salary; Non-Employee Director: 2x annual cash retainer.
• ·Long-term incentive mix for NEOs: 50% Time-Based RSUs, 25% Performance-Based RSUs (3-year cumulative core earnings before credit), 25% Stock Appreciation Rights.
• ·Annual Report on Form 10-K filed with SEC on February 19, 2026.
• ·Record date for voting: March 23, 2026.

13-04-2026

Effective April 11, 2026, Mary L. Lentz retired from the Board of Directors of Independent Bank Corp. and Rockland Trust Company upon reaching the age of 72, in accordance with the company's Governance Principles mandating retirement at that age. She had served as a Director since 2016, a member of the Audit Committee since 2018, and the Risk Committee since 2024. The filing includes no financial impacts or other changes.

• ·Governance Principles require directors to retire upon attaining age 72
• ·Filing signed by Patricia M. Natale on April 13, 2026

13-04-2026

On April 13, 2026, EyePoint, Inc. posted an updated investor presentation on its website at www.eyepoint.bio, which is filed as Exhibit 99.1 and incorporated by reference. The 8-K filing under Items 8.01 and 9.01 announces this update with no additional financial or operational details provided in the document itself. The report was signed by George O. Elston, Executive Vice President and Chief Financial Officer.

13-04-2026

Strategic Student & Senior Housing Trust, Inc. (STSR) has issued a proxy statement for its virtual annual meeting on June 25, 2026, at 9:00 a.m. PDT, to elect three directors until the 2027 annual meeting and ratify BDO USA, P.C. as independent registered public accounting firm for the year ending December 31, 2026. The record date is March 31, 2026, with approximately 13.1 million shares of common stock (Class A, T, W, Y, Z) outstanding and eligible to vote. Proxy solicitation costs include approximately $32,000 for Computershare services and $19,000 for printing, with no financial performance metrics or period comparisons disclosed.

• ·Virtual meeting access: meetnow.global/MM2KCG5; technical support: 1-888-724-2416 or 1-781-575-2748
• ·Proxy voting options: mail, www.proxy-direct.com, or (800) 337-3503
• ·Record date: March 31, 2026; proxy materials mailing: on or about April 17, 2026
• ·Stockholder proposals for 2027 meeting: notice period November 18 to December 18, 2026; inclusion deadline no later than November 18, 2026

13-04-2026

On April 7, 2026, Xenon Pharmaceuticals Inc. amended and restated its 2025 Inducement Equity Incentive Plan, increasing the maximum number of common shares reserved for issuance from 900,000 to 1,175,000 shares (a 30.6% increase). The plan is exclusively for inducement grants such as nonstatutory stock options, stock appreciation rights, restricted stock units, restricted stock, and performance awards to new hires or rehired employees following a bona fide interruption. No shareholder approval was sought, in accordance with Nasdaq Listing Rule 5635(c)(4).

• ·Filing date: April 13, 2026
• ·Exhibit 10.1: Amended and Restated 2025 Inducement Plan and related form agreements filed
• ·Plan amendments subject to adjustments as provided therein

13-04-2026

At Cue Biopharma's 2026 annual stockholder meeting on April 13, 2026, shareholders elected six directors to the Board with varying support levels: strong backing for Pasha Sarraf (31,989,512 for vs. 3,852,556 withheld) but more significant opposition for others like Jill Broadfoot (22,158,247 for vs. 13,683,821 withheld) and Patrick Verheyen (22,454,565 for vs. 13,387,503 withheld). All proposals passed, including ratification of RSM US LLP as auditors (58,982,168 for), advisory approval of executive compensation (31,388,709 for), and authorization for a reverse stock split at a 1-for-30 to 1-for-50 ratio (51,011,729 for). Broker non-votes totaled 24,931,610 across relevant matters.

• ·Proxy statement filed with SEC on March 16, 2026, supplemented on March 27, 2026.
• ·Usman Azam resigned effective March 26, 2026; all votes for him disregarded.
• ·Reverse stock split ratio between 1-for-30 and 1-for-50, implementation at Board's discretion without further stockholder approval.
• ·Auditors appointed for fiscal year ending December 31, 2026.

13-04-2026

F&M Bank Corp. issued a definitive proxy statement for its 2026 Annual Meeting on May 16, 2026, proposing the election of four directors (Hannah W. Hutman, A. Michael Wilkerson, John A. Willingham, Dean W. Withers) for three-year terms and Bret V. Harrison for a one-year term, ratification of Elliott Davis, PLLC as 2026 auditors, and an advisory vote on 2025 executive compensation. As of the March 20, 2026 record date, 3,559,157 common shares were outstanding, with directors and executives beneficially owning 378,963 shares (10.65%) and Fourthstone LLC owning 307,793 shares (8.65%). The filing notes minor delinquent Section 16(a) reports from certain insiders, with no other performance variances to report.

• ·Annual Meeting location: Blue Ridge Community College, The Plecker Center, 1 College Lane, Weyers Cave, Virginia 24486 at 5:00 p.m. ET.
• ·Record date: March 20, 2026.
• ·Delinquent Section 16(a) reports in 2025: one Form 4 for Barton E. Black (one transaction), two for Mr. Eberly (two transactions), two for Christopher S. Runion (eight transactions).

13-04-2026

Spire Global, Inc. (SPIR) filed its DEF 14A Proxy Statement on April 13, 2026, outlining governance policies including insider trading restrictions, a Clawback Policy effective August 2, 2023, and equity award practices that avoid timing with material non-public information. The Outside Director Compensation Policy provides non-employee directors with an annual cash retainer of $35,000 (increased from $30,000 effective May 28, 2025), committee chair and member fees ranging from $4,000 to $25,000, initial RSU awards valued at $275,000, and annual RSU awards of $175,000, subject to a $750,000 maximum annual limit ($1,000,000 in first year). No performance declines or changes noted in compensation metrics.

• ·Clawback Policy applies to Section 16 officers for three completed fiscal years preceding restatement, with recovery using lawful methods.
• ·Insider trading policy prohibits options trading, hedging, pledging, and margin accounts for officers, directors, and employees; requires pre-clearance for certain transactions.
• ·Equity awards vest fully upon change in control; cash retainers can be elected to convert to Retainer Awards quarterly.
• ·Board oversees risks through committees: audit (financial controls, compliance), compensation (risks from pay practices), nominating (governance independence).

13-04-2026

Patterson-UTI Energy, Inc. (PTEN) filed a DEFA14A proxy statement on April 13, 2026, classified as Definitive Additional Materials under Schedule 14A. The filing was made by the registrant with no fee required and is soliciting material under § 240.14a-12. No specific financial data, voting items, or substantive details are provided in the document header.

13-04-2026

Highland Capital Management, LLC disclosed a portfolio of $1,889,297,166 across 418 equity holdings in its 13F-HR filing for the quarter ended March 31, 2026. Top positions include Microsoft Corp (106661351), Apple Inc (99769396), Broadcom Inc (66477730), and NVIDIA Corp (61318168), with sole voting authority reported for most shares. No prior period comparisons or performance metrics are provided in the filing.

• ·Filing date: April 13, 2026
• ·Report period end: March 31, 2026
• ·Business address: 850 Ridge Lake Blvd, Suite 205, Memphis, TN 38120

13-04-2026

TOFUTTI Brands Inc reported net sales of $7,776 thousand for FY ended December 27, 2025, down 11.8% YoY from $8,820 thousand, with gross profit declining 9.0% to $2,048 thousand amid higher cost of sales pressure. While total operating expenses decreased slightly by 1.2% to $2,821 thousand and net loss narrowed 9.7% to $778 thousand from $860 thousand, loss from operations widened 27.5% to $773 thousand. Regional sales showed mixed results, with Midwest up 16% to $812 thousand but California down 28% to $829 thousand and New England down 51% to $280 thousand.

• ·Net cash used in operating activities improved to $(98) thousand from $(358) thousand YoY.
• ·Accounts receivable net decreased to $915 thousand from $989 thousand.
• ·Inventories decreased to $1,729 thousand from $1,879 thousand.
• ·Total liabilities increased to $1,176 thousand from $837 thousand.
• ·Retained earnings declined to $1,779 thousand from $2,557 thousand due to net loss.
• ·Company highlights risks including international operations challenges, product liability suits, and weak internal controls due to small accounting department.

13-04-2026

Cypress Point Wealth Management, LLC filed its 13F-HR on April 13, 2026, disclosing $464270808 in total managed 13F securities across 123 positions as of March 31, 2026, all held with sole voting power and no options or shared power reported. The portfolio is heavily concentrated in Palantir Technologies Inc Cl A ($135700007, 927673 shares, representing approximately 29% of total value), followed by Dimensional ETF Trust US Core Equity 2 ($53547530, 1377960 shares) and American Century ETF Tr Avantis US Larg ($38571206, 497372 shares). No period-over-period changes are indicated in this filing.

• ·All 123 positions reported with sole voting power (SH SOLE) and no shared power, puts, or calls.
• ·Portfolio address: 3838 Oak Lawn Avenue, Suite 1150, Dallas, TX 75219.
• ·Central Index Key: 0001825611; SEC File Number: 028-20569.

13-04-2026

On April 7, 2026, the board of directors of Caterpillar Inc. nominated Lynn Good as a director nominee for election at the Company's 2026 Annual Meeting of Shareholders, with an effective appointment date of August 1, 2026. This announcement was filed under Item 8.01 Other Events. No financial impacts or performance metrics were disclosed.

• ·Securities registered: Common Stock (CAT) and 5.3% Debentures due September 15, 2035 (CAT35), both on The New York Stock Exchange.

13-04-2026

The Board of Gabelli Dividend & Income Trust urges shareholders to reject Saba Capital Management's nominee and vote only for the Board's nominees using the WHITE proxy cards, emphasizing the fund's strong 2025 total market return of ~23% and recent increase in annual distribution rate to $1.80 per share. The Board warns that Saba's short-term extraction focus risks long-term shareholder value, income stability, and gains, as their GOLD proxy card only supports one nominee, potentially disenfranchising votes for a full slate.

• ·Filing Date: April 13, 2026
• ·Proxy solicitor contact: (888) 548-6498
• ·Vote only WHITE proxy cards; discard Saba's GOLD materials

13-04-2026

Dime Community Bancshares, Inc. filed a definitive proxy statement (DEF 14A) on April 13, 2026, for its virtual Annual Meeting of Shareholders on May 28, 2026, at 10:00 a.m. ET, with a record date of March 31, 2026. Shareholders will vote on electing 11 directors, ratifying Crowe LLP as independent auditors for the year ending December 31, 2026, approving (advisory) NEO compensation, and amending the Certificate of Incorporation to change the company name to Dime Commercial Bancshares, Inc.; the Board recommends FOR all proposals. The filing includes executive compensation disclosures via XBRL for PEOs Stuart Lubow (2023-2025) and Kevin O'Connor (2021-2023), and non-PEO NEOs across those years, covering equity awards and pension values.

• ·Virtual meeting accessible at www.virtualshareholdermeeting.com/DCOM2026
• ·Company address: 898 Veterans Memorial Highway, Hauppauge, New York 11788
• ·Pay Versus Performance disclosure included
• ·CEO Pay Ratio and Compensation Discussion and Analysis sections present

13-04-2026

Diamondback Energy, Inc. announced the final tender results of its tender offers to purchase for cash any and all outstanding 4.400% Senior Notes due 2051 and 4.250% Senior Notes due 2052, with the offers expiring at 5:00 p.m., New York City time, on April 10, 2026. The company issued press releases on April 10, 2026 (pricing) and April 13, 2026 (results), attached as Exhibits 99.1 and 99.2. No specific tender volumes or acceptance details are provided in the filing body.

• ·Date of Report (Date of Earliest Event Reported): April 10, 2026
• ·Filing signed on: April 13, 2026
• ·Common stock: FANG on Nasdaq Global Select Market

13-04-2026

TradeWell Securities, LLC. filed its 13F-HR report on April 13, 2026, disclosing $237,226,400 in total holdings value as of March 31, 2026, across 50 positions all held on a sole basis with no shared voting or investment discretion. Top holdings include Vanguard S&P 500 ETF ($64.3M, 107703 shares), Apple Inc. ($39.1M, 153347 shares), and SPDR State Street Technology Select Sector ETF ($21.1M, 158495 shares). No period-over-period changes are provided in this snapshot filing.

• ·Filing period end date: March 31, 2026
• ·All 50 positions held with sole voting and investment discretion (SH SOLE)
• ·No put or call options reported

13-04-2026

Northwest Bancshares, Inc. (NWBI) filed a DEFA14A supplement to its proxy statement for the 2026 Annual Meeting of Shareholders, clarifying that the virtual meeting will occur at 10:00 a.m. on May 20, 2026. This corrects the meeting time inaccurately stated in the prior notice of availability, proxy card, and other materials. Shareholders should read this supplement alongside the original proxy statement filed on April 9, 2026.

• ·Original proxy statement filed with SEC on April 9, 2026
• ·Company address: 3 Easton Oval, Suite 500, Columbus, Ohio 43219
• ·Company phone: (800) 859-1000
• ·Meeting format: virtual

13-04-2026

Ledgewood Wealth Advisors, LLC reported 73 securities holdings totaling $177,680,103 as of March 31, 2026, in its 13F-HR filing submitted on April 13, 2026. The portfolio features significant allocations to Dimensional ETFs such as US Core Equity Market ETF ($14,691,772) and International Core Equity Market ETF ($11,108,257), alongside individual stocks like Provident Financial Services ($14,348,850) and Middlesex Water ($13,221,525). All positions are held with sole discretionary voting authority and no shared or other authority.

• ·All 73 holdings reported with sole shared authority (SH SOLE) and zero shared or other voting authority
• ·Filer CIK: 0002064043, SEC file number: 028-25485
• ·Business address: 92 Portsmouth Ave Ste 15, Exeter, NH 03833-2146

13-04-2026

Prudential Financial, Inc. disclosed an unsolicited mini-tender offer from Potemkin Limited to purchase up to 100,000 shares (0.03% of outstanding common stock) at $60.70 per share, which is 37.36% below the $96.90 closing price on April 10, 2026. The company does not endorse the offer, recommends shareholders not tender their shares, and notes that tenders can be withdrawn before the offer's expiration on March 26, 2027 at 5:00 p.m. ET. A news release with additional details was issued on April 13, 2026.

• ·Offer expiration: 5:00 p.m., New York City time, on March 26, 2027
• ·News release attached as Exhibit 99.1

13-04-2026

Whalen Wealth Management Inc. filed its 13F-HR on April 13, 2026, reporting equity holdings as of March 31, 2026, totaling exactly $186656005 across 174 positions, all managed with sole voting and investment discretion. The portfolio is diversified with significant allocations to ETFs such as iShares 0-1 Year Treasury Bond ETF ($9437366) and technology stocks including NVIDIA Corporation ($8269176), Apple Inc. ($6191377), and Microsoft Corp. ($4756527). No period-over-period comparisons or performance metrics are provided in this snapshot filing.

• ·All 174 positions held as SH SOLE (sole voting and dispositive power)
• ·Business address: 7160 Rafael Rivera Way, Suite 220, Las Vegas, NV 89113
• ·Contact phone: 702-878-3900

13-04-2026

Marathon Petroleum Corporation entered into a Revolving Credit Agreement dated April 7, 2026, with aggregate commitments of $5,000,000,000. JPMorgan Chase Bank, N.A. acts as Administrative Agent, with multiple banks including Wells Fargo Securities, LLC, Barclays Bank PLC, and others serving as Joint Lead Arrangers and Joint Bookrunners. The agreement includes standard covenants, such as a maximum Consolidated Net Debt to Total Capitalization Ratio, and pricing based on credit ratings with no reported issues or declines.

• ·Alternate Base Rate floor of 1.00% per annum.
• ·Applicable Rates tiered by credit ratings from S&P, Moody’s, and Fitch, ranging from Level I (ABR Spread 0.000%, Term SOFR Spread 1.000%, Commitment Fee 0.100%) to Level V (ABR Spread 0.750%, Term SOFR Spread 1.750%, Commitment Fee 0.250%).
• ·Agreement filed as Exhibit 10.1 in 8-K on April 13, 2026.

13-04-2026

The Bancorp, Inc. issued Definitive Additional Proxy Materials (DEFA14A) for its 2026 Annual Meeting of Stockholders, to be held virtually on May 27, 2026, at 10:00 A.M. ET. Key proposals include the election of ten director nominees, advisory (non-binding) approval of 2025 named executive officer compensation, and advisory ratification of Crowe LLP as independent auditors for the fiscal year ending December 31, 2026. The Board of Directors recommends a vote 'FOR' all proposals, with full proxy materials available online at https://investors.thebancorp.com/financial-information/proxy-materials/default.aspx.

• ·Voting deadline online: 11:59 P.M. ET on May 26, 2026 at www.voteproxy.com
• ·Request proxy materials by May 13, 2026 via phone (1-888-776-9962), email (help@equiniti.com), or website (us.astfinancial.com/OnlineProxyVoting/ProxyVoting/RequestMaterials)
• ·Virtual meeting link: https://edge.media-server.com/mmc/p/5bkc5u9i (password: bancorp2026)

13-04-2026

Cascade Investment Advisors, Inc. filed its 13F-HR report on April 13, 2026, disclosing 116 equity positions with a total market value of $168,911,327 as of March 31, 2026. Top holdings include Vanguard Index Fds Total Stk Mkt ETF at $3,963,287, Microsoft Corp at $3,769,071, US Bancorp at $3,431,672, Schwab Charles Corp at $3,185,922, and Novartis AG at $3,132,903. All positions are held with sole voting power, and no options or other derivatives are reported.

• ·All 116 positions reported with sole voting power (SH SOLE)
• ·No shared voting power, no put/call options, and no other manager holdings reported
• ·CIK: 0001681490; SEC File Number: 028-17496

13-04-2026

JCIC Asset Management Inc. filed its 13F-HR on April 13, 2026, reporting total equity holdings of $326,492,921 as of March 31, 2026, across 113 positions, all under sole voting authority. The portfolio features significant exposure to Canadian mining, energy, and financial stocks like Agnico Eagle Mines ($10,954,473), Enbridge ($10,764,495), and Royal Bank of Canada ($13,533,778), as well as US large-cap tech and financials including Alphabet Class C ($19,817,723), JPMorgan Chase ($18,855,362), Apple ($17,855,903), and Nvidia ($15,441,725). No period-over-period changes are disclosed in this snapshot filing.

• ·Filing period end date: March 31, 2026
• ·All holdings reported as SH SOLE (sole voting authority)
• ·Firm address: 500-320 Bay Street, Toronto, A6 M5H 4A6

13-04-2026

Fifth District Bancorp, Inc. will hold its 2026 annual meeting of stockholders on May 18, 2026, at 10:00 a.m. local time in New Orleans, Louisiana, to elect two directors for three-year terms and ratify the appointment of EisnerAmper LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026. The record date is March 31, 2026, with 5,289,348 shares of common stock outstanding; stockholders are encouraged to vote via proxy card, internet, or in person, noting restrictions on votes exceeding 10% ownership.

• ·Quorum requires majority of outstanding shares entitled to vote.
• ·Directors elected by plurality; ratification of auditors requires majority of votes cast.
• ·All directors independent except Amie L. Lyons due to employment; Chairman (David C. Nolan) separate from CEO.
• ·Internet voting deadline: 11:59 p.m. CT on May 17, 2026; ESOP/401(k) instructions deadline: May 11, 2026.
• ·Proxy materials mailed beginning April 16, 2026; available online at https://annualgeneralmeetings.com/fdsb2026/ including Form 10-K for FY ended December 31, 2025.

13-04-2026

Edgemode, Inc. reported zero revenue for the year ended December 31, 2025, unchanged from 2024, while net loss ballooned to $24,629,291 from $1,590,059 due to operating expenses surging to $37,271,945 from $1,408,528. Total liabilities exploded to $20,083,835 from $4,724,518, worsening stockholders' deficit to $18,807,799 from $4,723,015 amid massive dilution with common shares outstanding rising to 2,998,158,602 from 390,687,459; however, cash improved to $248,367 from $103, bolstered by $1,818,720 in financing inflows. The filing underscores severe risks including no customers, unproven HPC hosting pivot, competition, and operational vulnerabilities.

• ·Net cash used in operating activities: $(825,713) in 2025 vs $17,680 in 2024.
• ·Net cash used in investing activities: $(744,743) in 2025 vs $(4,600) in 2024.
• ·Derivative liabilities: $15,424,561 as of Dec 31, 2025 vs $1,992,754 prior year.
• ·Unsecured advances: $513,827 as of Dec 31, 2025.
• ·Deferred offering costs: $495,000 as of Dec 31, 2025.
• ·No provision for income taxes in either year.

13-04-2026

Cyndeo Wealth Partners, LLC reported total holdings valued at $1900866624 across 478 positions as of March 31, 2026, in its quarterly 13F-HR filing. The portfolio consists entirely of sole discretionary holdings with no put or call options, featuring large positions in Apple Inc. ($57310428), Broadcom Inc. ($52614974), Amazon.com Inc. ($40661847), and various ETFs including ARK 21Shares Bitcoin ETF ($13627731). No period-over-period changes are disclosed in this filing.

• ·Filing submitted on April 13, 2026, for period ending March 31, 2026
• ·All 478 positions held as sole discretionary with zero put/call options or other manager styles
• ·Business address: 200 Central Avenue, 23rd Floor, St. Petersburg, FL 33701

13-04-2026

General Catalyst Global Resilience Merger Corp., a blank check company incorporated in the Cayman Islands, filed an S-1 registration statement for an initial public offering of 35,000,000 GRAIL securities at $10.00 each, aiming to raise $350,000,000, with a focus on business combinations in aerospace, defense, and national security sectors. The sponsor, GCGR Sponsor LLC, will purchase 800,000 private placement GRAIL securities for $8,000,000, and initial shareholders hold 5,031,250 Class B alignment shares purchased for $25,000. Underwriters have a 45-day option for up to 5,250,000 additional securities; the company has a 24-month (extendable to 27 months) window to complete an initial business combination.

• ·Warrants exercisable 30 days post-initial business combination, expire 5 years after or upon redemption/liquidation.
• ·Completion window: 24 months from IPO closing (extendable to 27 months if LOI/agreement executed within 24 months).
• ·Private placement warrants identical to public except non-redeemable; private shares have no redemption/liquidation rights.
• ·Alignment shares convert to Class A over 10 annual measurement periods based on total return above price threshold.

13-04-2026

Legato Merger Corp. III (LEGT-UN) filed a 10-K/A amendment on April 13, 2026, listing its securities registered pursuant to Section 12(b) of the Act on NYSE American. The registered securities include Units (LEGT U), each consisting of one ordinary share with $0.0001 par value and one-half redeemable warrant; Ordinary Shares (LEGT) with $0.0001 par value; and Redeemable Warrants (LEGT WS) exercisable for ordinary shares at $11.50 per share.

13-04-2026

Centessa Pharmaceuticals plc (CNTA) filed a DEFA14A additional proxy statement on April 13, 2026, providing information on a proposed Acquisition by an unnamed Parent via a Scheme of Arrangement, including references to recent SEC filings for details on directors, officers, and beneficial ownership. The document contains forward-looking statements about the expected closing, subject to shareholder approval, High Court of

13-04-2026

On April 7, 2026, the Compensation Committee of Vistagen Therapeutics, Inc. approved retention awards in the form of stock options to all company employees, including five key executives each receiving options to purchase 75,000 shares of common stock at an exercise price of $0.5358 per share. The options, granted under the Amended and Restated 2019 Omnibus Equity Incentive Plan, vest with 25% vesting six months after the grant date and the remainder in additional 25% installments every six months thereafter, becoming fully vested on the two-year anniversary. No departures, elections, or appointments of directors or officers were reported.

13-04-2026

Catalyst Crew Technologies Corp. (CCTC) entered into an Asset Purchase Agreement on February 17, 2026, with CEO Kevin Rodan Levy to acquire key assets, including intellectual property for its AI-enabled healthcare analytics platform featuring CardioAI, PulmoAI, and NeuroAI technologies, with closing on or about February 20, 2026. On March 23, 2026, the Company acquired 100% of the shares of Inversiones Long 33, C.A., a Venezuelan entity, making it a wholly-owned subsidiary as part of its Latin American operating strategy. Subsequent IP assignment to the subsidiary on April 7, 2026, completed an internal reorganization with no additional consideration.

• ·IP registrations: CardioAI (VEN-SAPI-2025-005287), PulmoAI (VEN-SAPI-2025-009419), NeuroAI (VEN-SAPI-2024-033782)
• ·Press releases issued on March 23, 2026; March 26, 2026; April 7, 2026; April 9, 2026; and April 13, 2026 announcing operating structure, IP assignment, and platform introductions

13-04-2026

Genco Shipping & Trading Ltd filed a DEFA14A on April 13, 2026, disclosing participants in the proxy solicitation for the 2026 Annual Meeting of Shareholders, including independent directors (Paramita Das, Kathleen C. Haines, Basil G. Mavroleon, Karin Y. Orsel, Arthur L. Regan) and executives (John C. Wobensmith, Peter Allen, Joseph Adamo, Jesper Christensen). The filing references prior proxy statements and Form 4 filings detailing their security holdings and urges shareholders to review the upcoming definitive proxy statement and white proxy card. It highlights factors that may affect dividend payments, such as credit agreements, legal provisions, and board discretion, with no guarantees on timing or amounts.

• ·Form 4 filings for directors and executives dated May 22, 2025; June 3, 2025; August 26, 2025; September 10, 2025; September 15, 2025; November 12, 2025; November 26, 2025; February 18, 2026; February 23, 2026; March 20, 2026.
• ·Prior proxy statement filed April 9, 2025.
• ·Investor relations website: https://investors.gencoshipping.com/

13-04-2026

Leggett & Platt announced an agreement to be acquired by Somnigroup International Inc. in an all-stock transaction valued at approximately $2.5 billion, with Leggett shareholders receiving 0.1455 shares of Somnigroup common stock per Leggett share, resulting in approximately 9% ownership of the combined company on a fully diluted basis. This represents a meaningful improvement over Somnigroup's December 1, 2025 offer, which implied less than 8% ownership. The transaction is expected to close by year-end 2026, subject to Leggett shareholder approval (requiring two-thirds vote) and regulatory approvals, with Leggett operating as an independent business unit post-closing.

• ·Exchange ratio: 0.1455 shares of Somnigroup common stock per share of Leggett common stock.
• ·Leggett to operate as independent business unit with own strategy, leadership, and operations post-closing.
• ·Karl Glassman to remain CEO for seamless transition to new Leggett business unit CEO within 12 months of closing.
• ·No Somnigroup shareholder approval required.
• ·Leggett headquarters in Carthage, Missouri to be maintained; no anticipated changes to other facilities.

13-04-2026

AITX reported preliminary FY2026 revenue growth of 26% to $7.75M from $6.14M, with gross profit expanding 48% to $5.53M and gross margins improving to 71% from 61%, driven by cost discipline. Operating expenses remained flat at $17.5M, resulting in a $2.0M improvement in loss from operations. However, CEO Steve Reinharz noted revenue growth fell short of expectations amid a turbulent economy, though the company maintains focus on scaling to positive cash flow.

• ·Completed SOC 2 Type 2 audit, validating operations and internal controls.
• ·RAD solutions designed to deliver 35%-80% cost savings vs. traditional manned security.
• ·Robust sales pipeline with expanding opportunities across subsidiaries and industries including enterprises, government, transportation, critical infrastructure, education, and healthcare.

13-04-2026

E Fund Management Co., Ltd. filed its 13F-HR disclosing $3,365,841,983 in holdings across 489 positions as of March 31, 2026. Top positions include Apple Inc. ($181,728,360 value, 716,058 shares) and Broadcom Inc. ($71,097,233 value, 229,709 shares), with significant exposure to technology and biotech sectors including AXT Inc. ($71,949,729 value, 1,262,719 shares). No period-over-period changes are provided in the filing.

• ·Holdings as of 2026-03-31, filed 2026-04-13.
• ·Futu Holdings Ltd.: $35,030,390 value, 256,145 shares.
• ·Kanzhun Limited: $23,289,642 value, 1,739,331 shares.
• ·Cisco Systems Inc.: $20,339,831 value, 262,145 shares.
• ·Numerous biotech holdings including Apellis Pharmaceuticals Inc. (22,686 shares SOLE) and Arcturus Therapeutics (23,007 shares SOLE).

13-04-2026

IDEAYA Biosciences and Servier announced positive topline results from the Phase 2/3 OptimUM-02 trial in 1L HLA-A*02:01-negative mUM, where darovasertib + crizotinib met the primary endpoint with median PFS of 6.9 months vs. 3.1 months in the ICT arm (HR 0.42, 58% risk reduction, p<0.0001) and superior ORR of 37.1% vs. 5.8% (p<0.0001), including 5 complete responses vs. none. The combination showed a median DOR of 6.8 months, an early positive OS trend (immature data), and was generally well-tolerated with manageable safety profile, though Grade 3+ AEs included diarrhea, syncope, and hypotension, and treatment-related serious AEs were in the single-digit percent range. The company plans an NDA submission to the FDA in H2 2026 and additional data presentation at a 2026 medical conference.

• ·Trial cutoff date: January 23, 2026
• ·ICT arm: 76% (n=78) ipilimumab + nivolumab, 24% (n=25) pembrolizumab
• ·Treatment-related serious adverse events rate: single-digit percent in darovasertib + crizotinib arm
• ·OS data immature with early positive trend for darovasertib + crizotinib

13-04-2026

On April 9, 2026, Mark Keeley resigned as Chief Financial Officer Consultant of Mobile Global Esports, Inc. Brett Rosin, the Company's Chief Executive Officer, will serve as the principal accounting officer on an interim basis until a new Chief Financial Officer is hired. The filing discloses no details on the reasons for the resignation or any compensatory arrangements.

• ·Company trades as MGAM on OTC Pink Sheets
• ·Emerging growth company status confirmed
• ·Principal executive offices: 500 Post Road East, 2nd Floor, Westport, CT 06883

13-04-2026

Stephens Group, LLC filed a 13F-HR on April 13, 2026, disclosing its equity holdings as of March 31, 2026, with sole voting and investment power. Key positions include Energy Transfer LP at $105,080,722 (5,444,597 shares), Westrock Coffee Co at $34,467,683 (8,110,043 shares), CS Disco Inc at $29,783,134 (7,796,632 shares), and StubHub Hldgs Inc Class A at $2,175,876 (348,698 shares). No changes or performance metrics were detailed in the filing.

• ·Filing CIK: 0001427999
• ·Filer address: 100 River Bluff Drive, Suite 500, Little Rock, AR 72202
• ·All reported holdings held with sole voting and investment power (no shared or other power indicated)

13-04-2026

Angel Studios, Inc. (NYSE: ANGX) priced an underwritten public offering of 14,300,000 shares of Class A common stock at $2.10 per share, expecting gross proceeds of approximately $30 million before underwriting discounts and expenses. The underwriters received a 30-day option to purchase up to an additional 2,145,000 shares, with closing expected on April 13, 2026, subject to customary conditions. Proceeds will fund general corporate purposes, including capital expenditures and working capital.

• ·Roth Capital Partners acting as sole book-running manager; Maxim Group LLC and Texas Capital Securities as co-lead managers; Lake Street Capital Markets as financial advisor.
• ·Shelf registration statement on Form S-3 (File No. 333-291514) declared effective by SEC on December 4, 2025.
• ·Angel has achieved the highest audience satisfaction scores in the industry and the highest average domestic box office per title among all independent studios.

13-04-2026

On April 12, 2026, ImageneBio, Inc. entered into a Securities Purchase Agreement with institutional and accredited investors for a private placement of pre-funded warrants to purchase up to 5,770,335 shares of common stock at $5.199 per Warrant Share, expecting gross proceeds of approximately $30 million upon closing on or about April 14, 2026. Net proceeds will fund late-phase development readiness in atopic dermatitis and expansion of IMG-007 into additional indications including alopecia areata. The company agreed to file a registration statement for resale of Warrant Shares within three business days following August 1, 2026.

• ·Pre-funded warrants have exercise price of $0.001 per Warrant Share, exercisable immediately on cashless basis until fully exercised.
• ·Closing subject to customary conditions; securities issued under Section 4(a)(2) exemption with restrictive legends.
• ·Registration Rights Agreement includes cash penalties for registration failures.