Dow Jones 30 Stocks SEC Filings — March 12, 2026

12-03-2026

Churchill Downs Incorporated (CHDN) filed its DEF 14A proxy statement dated March 12, 2026, for the virtual Annual Meeting on April 21, 2026, at 9:00 a.m. ET, soliciting votes to elect two Class III directors (plurality vote), ratify PricewaterhouseCoopers LLP as independent auditor for fiscal 2026 (majority vote), and approve executive compensation on an advisory basis (majority vote). As of the record date March 2, 2026, 69,696,376 shares of common stock were outstanding, with the Board unanimously recommending 'FOR' all proposals; no financial performance metrics or period comparisons are detailed.

• ·Annual Meeting registration deadline: April 19, 2026 at 5:00 p.m. ET at www.proxydocs.com/CHDN.
• ·Quorum requires majority of outstanding shares present virtually or by proxy.
• ·Abstentions treated as 'against' for Proposals 2 and 3; broker non-votes have no effect on Proposals 1 and 3.

12-03-2026

Longeveron Inc. entered a definitive agreement for a private placement raising up to $30M gross proceeds ($15M upfront, additional $15M milestone-driven tied to Phase 2b ELPIS II HLHS trial), led by Coastlands Capital with Janus Henderson Investors, Logos Capital, and Kalehua Capital. Initial proceeds extend cash runway into 4Q26, past anticipated 3Q26 topline data readout for ELPIS II. H.C. Wainwright & Co. acted as exclusive placement agent; securities issued include 6M+ common shares and preferred shares convertible into 22.8M+ shares at $0.52.

• ·Shares priced at $0.52 per share for common stock; Preferred Shares at $1,000 each with $0.52 conversion price
• ·Investors receive 50% interest in net proceeds from potential future Rare Pediatric Disease Priority Review Voucher sale related to HLHS program
• ·Initial closing expected on or about March 11, 2026
• ·Proceeds for clinical/regulatory development of laromestrocel, working capital, and general corporate purposes

12-03-2026

Sonida Senior Living, Inc. reported resident revenue growth of 23.9% YoY to $332M for FY 2025, driven by expansion to 80 communities (+3.9%) and higher RevPAR (+7.9%), with community NOI up 21.6% to $83M and Adjusted EBITDA rising 24.3% to $54M. However, net loss widened dramatically to $72.5M from $3.3M due to $12.5M long-lived asset impairment, higher depreciation (+28.9%), transaction costs ($16.2M), and no repeat of prior year's $48.5M debt extinguishment gain, while overall occupancy dipped 0.7% to 84.7%. Same-store revenue grew modestly 6.1% with NOI up 8.0%, but average units were flat at +0.2%.

• ·Management fee revenue increased 31.1% YoY to $4.4M.
• ·Transaction, transition and restructuring costs rose to $16.2M from $5.9M.
• ·Interest expense up 4.4% to $38.6M.
• ·Net cash used in investing activities improved to $70.7M outflow from $209M.
• ·Investment Agreements dated November 4, 2025 with Conversant entities and Silk Partners, LP.
• ·Amended and Restated Investor Rights Agreement dated March 10, 2026.

12-03-2026

Orrstown Financial Services reported average total assets of $5.43B in 2025, up 25.7% YoY from $4.32B, fueled by 25.2% loan growth to $3.95B average balance and net interest income expansion of 28.7% to $199.8M with NIM improving to 4.04%. Noninterest income surged 39.7% YoY to $52.3M, driven by trust/brokerage and swap fees, while noninterest expenses remained nearly flat at $149.4M (up 0.7%) due to sharply lower merger-related costs ($2.6M vs $22.7M). However, mortgage banking income declined 1.6% YoY and investment securities gains fell 33.3%.

• ·Accretion on purchase accounting marks: $21.5M in 2025 (vs $15.2M in 2024)
• ·Merger-related expenses: $2.6M in 2025 (down from $22.7M in 2024)
• ·Investment securities portfolio book value $972.1M with average maturity 23.3 years
• ·Salaries and employee benefits up 11.2% YoY to $85.2M

12-03-2026

Andrew Yun resigned as Director and Chief Compliance Officer on February 27, 2026, citing concerns about the Company’s direction and unheeded advice on Board approvals and counsel. Abe Lim resigned as Director on March 3, 2026, without any stated disagreements. On March 2, 2026, the Board approved a temporary suspension of restaurant operations to address ongoing losses, closing 12 locations with potential for more closures and several in lease defaults.

• ·Company’s California restaurants at Buena Park, Eastvale, La Mirada, Irvine, and Ontario are in lease-related defaults.
• ·Resignation letter of Andrew Yun filed as Exhibit 17.1.

12-03-2026

Abacus Global Management reported record Q4 and FY2025 results, with Q4 revenue up 116% YoY to $71.9M, FY revenue up 110% YoY to $235.2M, FY GAAP net income of $36.5M versus prior-year loss of $23.9M, and Adjusted EBITDA up 132% YoY to $38.6M in Q4 with ROIC and ROE above 20%. The company completed the AccuQuote acquisition, approved a $0.20/share dividend and $20M share repurchase program, transferred listing to NYSE (ABX), and initiated FY2026 Adjusted net income guidance of $96-104M. However, Average Realized Gain declined to 27% from 37% in Q3 2025, and FY Adjusted EBITDA margin improved only modestly to 56% from 55% YoY.

• ·Q4 Life Solutions revenue increase of $32.9M YoY; Asset Management +$5.6M YoY; Technology Services +$235K YoY.
• ·Annualized Turnover Ratio Q4 2025: 2.6x (exceeding long-term target of 1.5x-2.0x).
• ·Long-term targets: $450M Adjusted EBITDA at scale, 70% recurring revenue.
• ·FY2026 Adjusted net income outlook: $96-104M (up to 22% growth over FY2025 $85.7M).

12-03-2026

Wearable Devices Ltd. reported revenues of $647K for the year ended December 31, 2025, up 24% YoY from $522K in 2024, driven by growth in North America (up 39% to $385K or 60% of total) and Asia (up 36% to $118K or 18%). However, the company swung to a gross loss of $148K from a $85K profit in 2024 due to higher cost of revenues ($594K, up 64%) and inventory impairment ($201K, up 168%), while operating loss widened 7% to $8.3M and net loss increased 3% to $8.1M amid elevated R&D expenses.

• ·Entered non-exclusive reseller arrangement with Media Exceed Co., Ltd. in Japan in August 2025.
• ·Entered exclusive distribution agreement with Sky Commerce Co., Ltd. in South Korea in October 2025.

12-03-2026

Eastman Kodak Co reported FY2025 revenues of $1,069M, up 2.5% YoY from $1,043M, with strong growth in Advanced Materials and Chemicals (+17% to $316M) and Brand (+15% to $23M), while Print revenues declined 3% to $715M. Gross profit rose 14% to $232M (22% margin) from $203M (19%), but the company posted a net loss of $128M versus a $102M profit in 2024, driven by $171M other charges and higher restructuring costs. Cash and equivalents increased to $442M from $301M, supported by robust operating cash flow of $480M versus -$7M.

• ·Print Operational EBITDA improved to $3M (0% of revenues) from -$8M (-1%)
• ·Advanced Materials and Chemicals Operational EBITDA margin expanded to 12% from 6%
• ·Brand Operational EBITDA margin stable at 87% vs 85%
• ·Cash increased $141M net, with investing cash outflow reduced to $29M from $39M

12-03-2026

Bath & Body Works reported FY2025 net sales of $7,291M, down 0.2% YoY to $7,307M, driven by a 0.9% increase in stores sales to $5,582M but a 5.4% decline in direct sales to $1,395M, while international sales grew 4.9% to $314M. Reported operating income fell 11% to $1,126M from $1,266M, and net income decreased to $649M from $798M with diluted EPS at $3.11 versus $3.61. However, net cash from operating activities surged 24% to $1,102M, boosting free cash flow 31% to $865M and ending cash balances to $953M.

• ·Adjusted Operating Income declined to $1,156M from $1,266M YoY.
• ·Debt Leverage Ratio increased to 2.7x from 2.5x.
• ·Total ordinary dividends remained flat at $0.80 per share, with total paid $167M vs $177M.
• ·Total Selling Square Feet increased 2% to 5,493 thousand.

12-03-2026

abrdn Global Income Fund, Inc. (NYSE American: FCO) adjourned its Special Shareholder Meeting on March 12, 2026, to April 1, 2026, at 11:30 am Eastern Time, to solicit additional proxies and achieve quorum. Shareholders are voting on an Agreement and Plan of Reorganization with abrdn Asia Pacific Income Fund, Inc. (NYSE American: FAX) and the liquidation and dissolution of FCO, with the Board unanimously recommending approval. Aberdeen Investments reports $525B in assets under management as of December 31, 2025.

• ·Proxy materials available on www.sec.gov

12-03-2026

LINKBANCORP reported net income of $33.5M for 2025, up 28% YoY from $26.2M, driven by net interest income growth of 4% to $104.3M, higher noninterest income from $11.1M branch sale gain, and loan growth of 13% to $2.53B net. However, provision for credit losses surged to $8.2M from $0.3M, NIM declined to 3.81% from 3.88%, loan yields fell to 6.27% from 6.38%, and noninterest-bearing deposits dropped 8% to $604M.

• ·Securities AFS increased to $262.6M from $145.6M.
• ·Interest-bearing deposits grew to $1.95B from $1.70B.
• ·Shareholders' equity rose to $306.4M from $280.2M.
• ·EPS basic $0.90 vs $0.71.

12-03-2026

LivePerson reported Q4 2025 total revenue of $59.3 million, down 19% YoY from $73.2 million due to customer cancellations and downsells, though it exceeded the high end of guidance. Adjusted EBITDA improved to $10.8 million from $8.1 million YoY, net loss narrowed to $46.1 million ($3.92 per share) from $112.1 million ($19.00 per share), and ARPC rose 8.8% to $680,000. However, cash balance declined to $95.0 million from $183.2 million, hosted services revenue fell to $51.0 million from $60.2 million, and FY2026 guidance projects revenue of $195-207 million, down 15-20% YoY.

• ·Professional services revenue Q4 2025: $8.3M vs $13.0M Q4 2024 (down 36%).
• ·Q1 2026 guidance: revenue $53-55M (-18% to -15% YoY), adjusted EBITDA $2-5M (margin 3.8%-9.1%).
• ·FY 2025 total revenue: $243.7M vs $312.5M FY 2024 (down 22%).

12-03-2026

On March 6, 2026, the Board of Directors of Avanos Medical, Inc. increased the target value of the annual long-term incentive grant for Chief Executive Officer David C. Pacitti from $5M to $5.5M under the 2021 Long Term Incentive Plan, effective beginning in 2026. This represents a 10% increase in the CEO's target incentive compensation. No other changes or declines in executive compensation were reported.

• ·Form 8-K filed on March 12, 2026
• ·Securities traded as AVNS on New York Stock Exchange

12-03-2026

Inflection Point Acquisition Corp. IV (BACQU) filed its 10-K annual report on March 12, 2026, disclosing risks from potential debt obligations, including substantial cash flow allocation to principal and interest payments that could limit funds for dividends on Class A Shares, expenses, capital expenditures, acquisitions, and strategy execution. The filing highlights limitations on additional borrowing compared to less-leveraged competitors and potential control changes from issuing substantial Class A Ordinary Shares. It notes potential repayments of up to $750,000 in working capital loans from Inflection Point Fund I LP and up to $2,500,000 in Sponsor-related loans convertible into private placement units at $10.00 per unit, with consolidated financial statements provided from pages F-2 to F-24.

• ·Consolidated financial statements include Balance Sheets (F-3), Statements of Operations (F-4), Changes in Shareholders’ Deficit (F-5), and Cash Flows (F-6), with Notes from F-7 to F-24.

12-03-2026

California BanCorp's Board of Directors approved a quarterly cash dividend of $0.10 per share on its common stock on March 12, 2026. The dividend will be payable on April 15, 2026, to shareholders of record as of the close of business on March 24, 2026. This routine declaration reflects stable shareholder returns with no comparative financial metrics or performance declines reported.

12-03-2026

Public Service Enterprise Group Incorporated (PSEG) filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting of Stockholders scheduled for April 21, 2026, at 1:00 p.m. ET virtually. Proposals include the election of 11 director nominees, an advisory vote to approve executive compensation, management proposals to eliminate supermajority voting requirements for certain business combinations, director removal, and by-law amendments, approval to increase shares under the PSEG Employee Stock Purchase Plan, and ratification of Deloitte & Touche LLP as 2026 independent auditor; the board recommends voting FOR all items.

• ·Vote deadline: April 20, 2026, 11:59 PM ET
• ·Request proxy materials by April 7, 2026
• ·Virtual meeting URL: www.virtualshareholdermeeting.com/PEG2026
• ·Control numbers referenced: V83282-P38968, V83283-P38968

12-03-2026

Treasure Global Inc.'s subsidiary TADAA Technologies Sdn Bhd entered into a Software Enhancement Agreement on March 11, 2026, with Apexcode Innovations Snd Bhd to provide technology services for enhancing the Tazte Apps platform. The total contract price is RM11.7M (approximately $2.5M USD), with the first milestone payment of RM3.9M (approximately $0.83M USD); deliverables including source code must be handed over within 2 months. No immediate financial impacts or performance metrics are disclosed.

• ·Agreement includes development, upgrade, testing, deployment, and maintenance services per Appendix A
• ·Deliverables must meet Acceptance Criteria in Appendix A and be fully compatible with existing system
• ·Handover of deliverables (source code, object code, etc.) within 2 months from March 11, 2026

12-03-2026

Archer Aviation Inc. filed a counterclaim and answer against Joby Aero, Inc. and Joby Aviation, Inc. in federal court on March 9, 2026, alleging unfair competition and false advertising while seeking damages and declaratory relief. On the same date, Archer filed an ITC complaint to block Joby's importation of eVTOL aircraft products allegedly infringing Archer's patents related to eVTOL technology, power systems, and components. This escalation in ongoing litigation highlights IP disputes in the competitive eVTOL sector but carries inherent legal risks and uncertainties.

• ·Counterclaim filed in United States District Court for the Northern District of California.
• ·Asserted U.S. patents: 11,945,594; 12,162,614; 8,469,306; 12,103,404; 12,473,087.

12-03-2026

Kosmos Energy Ltd. entered into an underwriting agreement on March 10, 2026, with Barclays Capital Inc. and Stifel, Nicolaus & Company, Incorporated, as representatives of the underwriters, to issue and sell 97,500,000 shares of common stock in a registered public offering, with an option for an additional 14,625,000 shares. The underwriters exercised the option in full on March 11, 2026, resulting in a total of 112,125,000 shares issued. The offering closed on March 12, 2026; no pricing or net proceeds details were disclosed.

• ·Underwriting Agreement filed as Exhibit 1.1
• ·Shelf Registration Statement File No. 333-280362
• ·Common stock trades on New York Stock Exchange (KOS) and London Stock Exchange

12-03-2026

Salesforce, Inc. entered into a Master Confirmation dated March 11, 2026, for uncollared Accelerated Share Repurchase (ASR) Transactions with an unnamed Dealer, establishing the framework under ISDA 2002 Master Agreement and Equity Derivatives Definitions. Specific terms for individual Transactions, such as Prepayment Amount, Initial Shares, Trade Date, Calculation Period, and Floor Price, will be detailed in future Supplemental Confirmations. No specific transaction amounts, volumes, or performance metrics are disclosed in this filing.

• ·Governing law: New York law.
• ·Exchange: New York Stock Exchange (symbol CRM).
• ·Transactions structured as Share Forward Transactions per 2002 ISDA Equity Derivatives Definitions.

12-03-2026

National Beverage Corp reported net sales of $264.6M for the three fiscal months ended January 31, 2026, down 0.9% YoY from $267.1M, while nine-month sales declined 0.5% YoY to $883.4M from $887.7M. However, gross profit rose 0.7% to $99.6M (three months) and 1.1% to $334.3M (nine months), driving operating income up 1.1% to $51.1M and $180.0M respectively, and net income up 3.9% to $41.2M (three months) and 0.9% to $143.3M (nine months). Cash and equivalents surged 62% to $314M, boosting total assets 18% to $792M and shareholders' equity 33% to $591M, though operating cash flow dipped 7% YoY to $136M.

• ·Trade receivables decreased to $97M from $104M year-over-year balance sheet comparison.
• ·Inventories increased to $96M from $85M as of May 3, 2025.
• ·Total liabilities declined 12% to $201M from $229M.
• ·Capital expenditures were $15M for nine months, down from $21M prior year.
• ·No dividends paid on common stock in nine months ended Jan 31, 2026 (prior year: $304M).

12-03-2026

Colgate-Palmolive elected Christopher S. Boerner, Ph.D., Board Chair and CEO of Bristol Myers Squibb, to its Board effective March 15, 2026, adding expertise in pharmaceuticals and healthcare. However, director Steven A. Cahillane will not stand for reelection at the May 8, 2026 Annual Meeting due to his new role as CEO of The Kraft Heinz Company.

• ·Dr. Boerner previously served as EVP, Chief Operating Officer (2023) and EVP, Chief Commercialization Officer (2018-2023) at Bristol Myers Squibb.
• ·Dr. Boerner to receive compensation as non-employee director per proxy statement filed March 26, 2025.
• ·Filing signed by Jennifer M. Daniels on March 12, 2026.

12-03-2026

Pioneer Bancorp, Inc./MD reported strong balance sheet growth with total assets increasing 8.7% YoY to $2.15B, net loans up 14.8% to $1.65B, and deposits rising 9.6% to $1.74B at December 31, 2025. Net income for the full year 2025 reached $20.3M with EPS of $0.83, compared to $15.3M and $0.61 EPS for FY 2024 ended June 30. However, non-performing assets more than doubled to $11.3M from $5.2M, pushing non-performing loans to 0.67% of total loans (up from 0.36%) and non-performing assets to 0.52% of total assets (up from 0.27%).

• ·Provision for credit losses was $3.7M for year ended Dec 31, 2025, up from $220K for six months ended Dec 31, 2024.
• ·Non-accrual residential mortgages increased to $3.9M from $4.1M (slight decline), but commercial real estate non-accrual rose to $6.1M from $0.
• ·Shareholders’ equity grew to $324M from $305M YoY.

12-03-2026

Funko, Inc. reported net sales of $908M for the year ended December 31, 2025, down 13.5% from $1.05B in 2024, with cost of sales declining 9.5% but SG&A expenses down only 5.9%. The company swung to an operating loss of $46M from a $13M profit, resulting in net loss widening to $68M (357.7% worse) from $15M, and Adjusted EBITDA falling to $27M from $95M. Cash from operations turned negative at $5M from $124M provided.

• ·Largest facility: 862,000 sq ft Warehouse/Distribution in Buckeye, AZ (lease expires Oct 31, 2032)
• ·Net cash change: +$7.5M in 2025 vs -$1.8M in 2024
• ·2023 net sales: $1.10B, net loss attributable to Funko: $154M
• ·Loss per diluted share: $(1.24) in 2025 vs $(0.28) in 2024

12-03-2026

Identiv reported Q4 FY2025 net revenue of $6.2M, down 8% YoY from $6.7M due to the exit of lower-margin business, but exceeded guidance with GAAP gross margin surging to 18.1% from -14.9% and non-GAAP net loss from continuing operations narrowing to $3.7M from $4.3M. FY2025 revenue fell 19% YoY to $21.5M from $26.6M, however GAAP gross margin improved to 6.1% from 1.3%, operating expenses declined to $23.5M from $28.3M, and net loss shrank to $18.0M from $25.9M, aided by Thailand production transition. The company signed an exclusive multi-year supply agreement for specialized BLE smart labels and guides Q1 FY2026 revenue at $6.7M-$7.2M.

• ·Q4 FY2025 non-GAAP operating expenses flat at $4.1M YoY.
• ·FY2025 non-GAAP operating expenses slightly down to $17.6M from $17.9M.
• ·Cash and cash equivalents stood at $128.6M as of December 31, 2025, down from $135.6M at year-end 2024.
• ·Conference call scheduled for March 12, 2026, at 5:00 p.m. EDT.

12-03-2026

On March 6, 2026, XBP Americas, LLC, a subsidiary of XBP Global Holdings, Inc., entered into a Limited Waiver and Third Amendment to its ABL Credit Agreement originally dated July 29, 2025, eliminating the covenant requiring minimum excess availability of $7.5M and temporarily increasing the advance rate for eligible investment grade billed accounts to 95.0% through September 30, 2026. However, the amendment introduces a temporary availability block through June 30, 2026, reducing borrowing capacity by the greater of $3.75M or 5.0% of the borrowing base if the fixed charge coverage ratio falls below 1.00 to 1.00, along with adjustments to borrowing base calculation and cash dominion mechanics.

• ·ABL Credit Agreement originally dated July 29, 2025; previously amended by First Amendment on Dec 19, 2025 and Second Amendment on Jan 21, 2026
• ·Fixed charge coverage ratio trigger for availability block: below 1.00 to 1.00
• ·Temporary availability block effective through June 30, 2026; advance rate increase through Sep 30, 2026

12-03-2026

American Public Education, Inc. (APEI) reported FY2025 revenue of $648.9M, up 3.9% YoY from $624.6M in FY2024, with strong growth in RU segment (+13.9% to $246.2M) and HCN (+11.4% to $75.0M), but APUS grew only 0.9% to $319.8M (flat) and Corporate/Other declined 67.4% to $7.8M. Net income improved to $31.6M (4.8% margin) from $16.1M (2.6% margin), with operating income up 45.0% to $47.9M; however, total assets fell to $521.4M from $570.1M amid preferred stock redemption and asset sales. Diluted EPS rose to $1.36 from $0.55, while cash and equivalents increased to $176.5M.

• ·Operating cash flow increased to $62.0M in FY2025 from $48.9M in FY2024.
• ·Net cash used in financing activities was $49.2M in FY2025, primarily due to $43.2M preferred stock redemption.
• ·Accumulated deficit improved to $16.5M as of Dec 31, 2025 from $41.8M as of Dec 31, 2024.
• ·Long-term debt increased slightly to $94.7M as of Dec 31, 2025 from $93.4M.
• ·Loss on sale of subsidiary: $3.9M in FY2025.

12-03-2026

On March 9, 2026, Diversified Energy Company entered into an Underwriting Agreement with affiliates of EIG Global Energy Partners (Selling Stockholders) and Citigroup Global Markets Inc. for the offering of 7,501,585 shares of common stock by the Selling Stockholders. The offering closed on March 11, 2026, with the Company repurchasing 3,750,000 shares at the underwriter's purchase price, receiving no proceeds from the sale. No performance metrics or period comparisons were reported.

• ·Underwriting Agreement filed as Exhibit 1.1
• ·Agreement includes customary indemnification provisions

12-03-2026

Analog Devices, Inc. held its 2026 Annual Meeting of Shareholders on March 11, 2026, resulting in the election of all ten director nominees with strong shareholder support (ranging from approximately 93% to 99% votes for). Key management proposals passed overwhelmingly, including advisory approval of named executive officer compensation (90% for), ratification of Ernst & Young LLP as auditors for fiscal year ending October 31, 2026, and approval of the Amended and Restated 2020 Equity Incentive Plan (95% for). However, the non-binding shareholder proposal on special meeting rights was rejected, receiving only 38% support.

• ·Proxy statement filed with SEC on January 23, 2026; Plan adopted by Board on December 10, 2025
• ·Broker non-votes: 30,319,338 shares across relevant proposals

12-03-2026

Velocity Financial, Inc. filed an 8-K on March 12, 2026, disclosing under Regulation FD the posting of management's fourth quarter and full year 2025 earnings presentation on its Investor Relations website (www.velfinance.com) as of March 11, 2026. The presentation is furnished as Exhibit 99 but no specific financial metrics, improvements, or declines were detailed in the filing itself.

• ·Filing covers Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits).
• ·Securities: Common stock, par value $0.01 per share (VEL) listed on NYSE and NYSE Texas, Inc.
• ·Principal offices: 2945 Townsgate Road, Suite 110, Westlake Village, California 91361.

12-03-2026

Glacier Bancorp, Inc. (GBCI) issued its DEF 14A proxy statement dated March 12, 2026, for the Annual Meeting on April 29, 2026, proposing the election of 10 directors, an advisory vote on executive compensation, and ratification of Forvis Mazars, LLP as independent auditors for the fiscal year ending December 31, 2026. As of the record date February 26, 2026, there were approximately 130,107,508 shares of common stock outstanding. Principal shareholders as of December 31, 2025, include BlackRock, Inc. (14,183,609 shares, 10.9%) and The Vanguard Group, Inc. (12,350,033 shares, 9.5%).

• ·Annual Meeting location: The Hilton Garden Inn, 1840 Highway 93 South, Kalispell, Montana, at 9:00 a.m. Mountain Time.
• ·Proxy solicitation deadline: 11:59 p.m. Eastern Time on April 28, 2026.
• ·Subsidiary divisions include Altabank, First State Bank, Bank of the San Juans, and others.

12-03-2026

Hanover Bancorp, Inc. completed a $35M private placement of fixed-to-floating rate subordinated notes due 2036 to qualified institutional buyers and accredited investors, with initial semi-annual interest at 7.25% until March 15, 2031, then resetting quarterly to 3-month SOFR plus 386 basis points. The Notes, rated BBB+ by Egan-Jones Ratings Company, qualify as Tier 2 capital and will fund the redemption of $25M existing subordinated notes at a lower rate, plus general corporate purposes including equity contributions to Hanover Community Bank. CEO Michael Puorro stated this enhances financial flexibility, capital base, and supports balance sheet growth.

• ·Notes payable semi-annually and intended to qualify as Tier 2 regulatory capital
• ·Piper Sandler & Co. as lead placement agent; Hovde Group, LLC as co-placement agent

12-03-2026

Navigator Holdings Ltd. reported total operating revenues of $587M for the year ended December 31, 2025, up 3.6% YoY from $567M, driven by a 5.2% increase in core operating revenues, with operating income rising 15.5% to $165M and net income attributable to stockholders growing 17.0% to $100M. However, Unigas Pool revenues declined 11.8% to $49M, fleet utilization fell to 89.0% from 91.5%, vessel operating expenses rose 9.3%, and share of results from equity method investments dropped sharply 52.5% to $8M. Average daily TCE improved to $30,110 from $28,826, while operating cash flow decreased to $202M from $211M.

• ·Several vessels on long-term time charters extending to November 2031 (e.g., Navigator Aurora).
• ·Fleet includes 48.6 weighted average vessels in 2025, with TCE of $30,110 per earning day.
• ·Audited by PricewaterhouseCoopers LLP and Deloitte & Touche LLP.

12-03-2026

Charles & Colvard, Ltd. filed an 8-K/A amendment correcting its outstanding common shares to 3,118,273 after its Board determined on February 26, 2026, that a prior conversion of $200,000 principal plus interest from a $2.0 million convertible secured note into 1,353,180 shares was invalid due to lack of shareholder approval. The amendment follows a November 25, 2025, notice of default from Ethara Capital LLC for the company's failure to pay the note (dated July 3, 2025, due October 3, 2025) at maturity. No positive developments were reported, highlighting ongoing liquidity and compliance issues.

• ·Note Purchase Agreement entered June 24, 2025; Note dated July 3, 2025, due October 3, 2025.
• ·Note Conversion Agreement dated August 29, 2025.
• ·Default notice received November 25, 2025.

12-03-2026

Blue Ridge Bankshares, Inc. reported net income of $10.7M for the year ended December 31, 2025, marking a turnaround from a $15.4M net loss in 2024, primarily due to a 28.0% decline in noninterest expenses to $81.9M and provision recoveries of $4.0M. However, net interest income was nearly flat at $78.9M (up 0.3% YoY), interest income fell 14.0% to $137.8M amid an 11.7% drop in loans held for investment to $1.87B and a 12.3% contraction in deposits to $1.91B, while total assets decreased 11.1% to $2.43B. Noninterest income also declined 5.4% to $12.8M, reflecting weakness in residential mortgage banking and other fee income.

• ·Nonperforming assets stable at $25.4M (1.05% of total assets) as of Dec 31, 2025 vs $25.7M (0.94%) as of Dec 31, 2024.
• ·Allowance for credit losses to loans held for investment improved slightly to 1.04% as of Dec 31, 2025 from 1.09%.
• ·Provision for credit losses was a recovery of $4.0M in 2025 vs $5.1M recovery in 2024.
• ·Net interest margin expanded to 3.17% in 2025 from 2.77% in 2024.
• ·Diluted EPS from continuing operations $0.11 in 2025 vs $(0.31) in 2024; dividends declared $0.250 per share in 2025 vs $0.

12-03-2026

NovaBay Pharmaceuticals, Inc. adopted its Second Amended and Restated Certificate of Incorporation on March 12, 2026, authorizing a total of 5,005,000,000 shares, consisting of 5,000,000,000 shares of Common Stock and 5,000,000 shares of Preferred Stock, each with a par value of $0.01. The amendment restates governance provisions including a classified board structure, director vacancy fillings, stockholder action by written consent, and supermajority voting requirements for certain bylaw and certificate amendments. No financial performance metrics, period-over-period changes, or operational updates were included.

• ·Original Certificate of Incorporation filed April 19, 2010.
• ·Registered office: 1209 Orange Street, City of Wilmington, County of New Castle, 19801, Delaware.

12-03-2026

Wheeler Real Estate Investment Trust, Inc. filed an S-11 registration statement on March 12, 2026, for the resale of 673,971 shares of common stock by selling stockholders, including up to 501,894 shares upon full exercise of A&R Warrants at $0.01 per share, potentially resulting in 2,107,954 shares outstanding and diluting existing holders by 12%. The company recently regained Nasdaq compliance with bid price ($1.00 minimum, post-May 2024 reverse split) and publicly held shares rules (1,200,110 shares as of November 6, 2024), but faces ongoing risks of delisting due to multiple reverse splits (including January 2026) and potential future non-compliance. Key risks include substantial dilution from low-price warrants, reduced liquidity from reverse splits, and geographic concentration in retail properties vulnerable to tenant losses and economic weakness.

• ·Nasdaq bid price non-compliance notified December 7, 2023; compliance regained June 3, 2024 after May 16, 2024 reverse stock split.
• ·Nasdaq Publicly Held Shares non-compliance notified June 28, 2024; compliance plan submitted July 12, 2024; extension to December 25, 2024; regained November 13, 2024.
• ·Cumulative reverse stock splits exceed 250:1 over two years ending January 16, 2026, limiting future bid price compliance opportunities.
• ·Previous S-11 registration (No. 333-294263) filed December 13, 2023, has been closed.
• ·Properties geographically concentrated in Southeast, Mid-Atlantic, and Northeast regions.

12-03-2026

Calavo Growers Inc reported Q1 FY2026 net sales of $122.2M, down 21% YoY from $154.4M, driven by declines in fresh avocados (-23%) and tomatoes (-47%), though prepared guacamole sales rose 20% YoY to $17.5M. Gross profit dipped 3% to $15.2M, but SG&A expenses surged 59% to $16.4M, resulting in an operating loss of $1.4M versus $5.0M profit prior year; net income fell 82% to $0.8M. Cash and equivalents declined to $47.7M from $61.2M QoQ amid $8.7M operating cash use.

• ·Foreign currency gain of $2.6M in Q1 FY2026 vs loss of $1.0M prior year
• ·Operating cash flow used $8.7M in Q1 FY2026 vs $4.4M prior year
• ·Dividend declared $0.20 per share, total $3.6M
• ·Mexico tax liability steady at $11M
• ·Gain on sale of Temecula packinghouse $55K

12-03-2026

Health Catalyst, Inc. reported total revenue of $311.1M for the year ended December 31, 2025, up 1.5% YoY from $306.6M in 2024, with Technology segment revenue growing 6.9% to $208.3M while Professional Services revenue declined 8.0% to $102.9M. Adjusted EBITDA improved significantly 58.6% to $41.4M, and gross margin expanded to 39% from 37%, but net loss widened dramatically to $178.0M from $69.5M, driven by a $110.2M impairment of goodwill and intangible assets. Adjusted gross margin rose to 51% from 49%.

• ·Operating expenses totaled $312.5M in 2025, down from $210.6M in 2024 but elevated due to $110.2M impairment.
• ·Stock-based compensation expense decreased to $27.0M in 2025 from $40.1M in 2024.
• ·Sales and marketing expenses $52.5M in 2025, down from $54.4M in 2024; R&D $49.8M down from $57.9M.

12-03-2026

Non-Invasive Monitoring Systems, Inc. (NIMU), a Florida corporation, entered into an Agreement and Plan of Merger and Reorganization dated March 6, 2026, whereby its wholly-owned subsidiary, Gravitics Merger Sub, Inc., will merge with Gravitics, Inc., with Gravitics surviving as a wholly-owned subsidiary and its stockholders receiving at least 95.5% of NIMU's post-merger equity. This represents significant dilution for existing NIMU stockholders, who will retain no more than 4.5% ownership. The closing is targeted on or before June 30, 2026, at the offices of Lucosky Brookman LLP, with Colin Doughan to serve as Chairman of the post-merger board.

• ·Merger intended to qualify as a tax-free reorganization under Section 368(a) of the Internal Revenue Code.
• ·Effective Time upon filing Certificate of Merger with Delaware Secretary of State pursuant to DGCL Section 251(c).
• ·Post-merger board to include a majority of independent directors under Nasdaq Rule 5605(a)(2).

12-03-2026

Volato Group, Inc. reported revenue more than doubling YoY to $78.6M for the year ended December 31, 2025, from $39.1M in 2024, driven by aircraft sales (+102% to $77.1M) and subscriptions (+60% to $1.5M), achieving net income of $5.2M versus a $40.6M loss prior year and positive operating income of $4.0M versus an $8.6M loss. However, total assets shrank to $12.0M from $46.3M, total costs and expenses rose 56% to $74.6M, and net cash used in investing activities increased significantly to $8.1M.

• ·Weighted average basic shares outstanding increased to 4.4M in 2025 from 1.7M in 2024.
• ·Basic and diluted EPS from continuing operations improved to $0.19 from -$12.73.
• ·Shareholders' deficit improved to -$1.8M from -$16.3M, with additional paid-in capital at $98.9M.

12-03-2026

VAALCO Energy reported FY2025 production of 16,556 NRI BOEPD and sales of 17,452 NRI BOEPD, exceeding updated guidance, with Adjusted EBITDAX of $173.4M and net cash from operations of $212.7M; Q4 sales hit 18,566 NRI BOEPD (10% above high-end guidance) and Adjusted EBITDAX of $42.9M, up from Q3's $23.7M. However, FY net loss was $41.4M, Q4 net loss $58.6M (driven by $67.2M impairment on Canadian assets), proved reserves declined 5% YoY to 43.0 MMBOE (66% replacement ratio), and Q4 Adjusted EBITDAX fell from Q4 2024's $76.2M. The company acquired 70% WI in CI-705 block, entered a $255M reserves-based lending facility (expandable to $300M), divested Canadian assets for $25.5M, and guided 2026 capex at $290-360M.

• ·Egypt receivables reduced from $113M at start of 2025 to $31M year-end despite $129M invoiced revenue.
• ·Acquired 70% WI and operatorship of CI-705 block (2,300 km² offshore Côte d’Ivoire).
• ·Divested all Canadian properties (1,850 BOEPD) for $25.5M, closing Feb 19, 2026.
• ·2026 quarterly dividend $0.0625 per share, payable March 27, 2026.
• ·Egypt exploration well initial flow rate ~450 BOEPD.
• ·Kossipo-2A appraisal well tested >7,000 BOPD.

12-03-2026

NOVAGOLD Resources Inc. and Paulson awarded specialized engineering contracts to WSP USA, Inc., Worley Alaska, Inc., and Hatch Ltd. to advance key infrastructure and unit operations for the ongoing Bankable Feasibility Study (BFS) update on the Donlin Gold project in Alaska. The announcement was made via press release on March 12, 2026, under Regulation FD. No financial metrics, declines, or flat performance were disclosed.

12-03-2026

M3-Brigade Acquisition V Corp., a SPAC, reported net income of $5.8M for the full year ended December 31, 2025, up from $5.2M for the period from inception (March 12, 2024) through December 31, 2024, driven by higher interest income of $12.3M from the Trust Account which grew to $306.9M. However, operating costs surged to $6.5M from $0.5M, resulting in a larger operating loss, increased total liabilities to $20.7M from $14.1M, and a worsened shareholders' deficit of $(19.4M) from $(12.9M). Class A EPS declined to $0.16 from $0.24.

• ·Sponsor would hold 20% of Class A ordinary shares if Class B converted.
• ·Redemption value per Class A share: $10.67 (2025) vs $10.25 (2024).

12-03-2026

BHAV Acquisition Corp, a blank check company targeting advanced robotics, EVs, drones/UAS, or fintech, filed Amendment No. 2 to its S-1 registration statement for a $100M IPO of 10M units at $10 each, including an over-allotment option for 1.5M units. Initial shareholders will hold 25% of outstanding shares post-IPO via founder shares (vs. typical 20% for SPACs), resulting in substantial dilution for public shareholders due to nominal purchase price and anti-dilution protections. Private placement of 200K units (or 207.5K if over-allotment) at $10 each will occur simultaneously.

• ·Sponsor initially purchased 3,833,333 founder shares for $25,000 on September 30, 2025; will forfeit 650,000 pre-IPO.
• ·At-risk capital investors: 20,000 private units by Maxim individuals, 45,000 by third-party investors; 200,000 and 450,000 founder shares respectively.
• ·Rights entitle holder to 1/4 Class A share upon business combination; must hold in multiples of 4.
• ·Sponsor loan up to $500K for expenses, partially deemed repaid via private units.

12-03-2026

AVAX ONE TECHNOLOGY LTD. (AVX) filed an S-3/A shelf registration on March 12, 2026, to permit the resale of up to 4,792,533 common shares by selling stockholders issuable upon conversion of notes and exercise of warrants from a January 2, 2026, $7M tranche financing. The company highlights significant risks from its cryptocurrency treasury strategy focused on volatile AVAX tokens, including potential market declines, regulatory changes, and stock price divergence from token holdings, with no proceeds to the company from the resale. As of February 6, 2026, 91,748,303 common shares were issued and outstanding.

• ·Common shares trade on Nasdaq Capital Market under symbol 'AVX'
• ·Transfer agent and registrar: Continental Stock Transfer & Trust Company, NY, NY
• ·Quorum for shareholder meetings: 33.3% of issued and outstanding common shares
• ·Certain fundamental changes require 2/3 vote of votes cast at general meeting