Dow Jones 30 Stocks SEC Filings — April 09, 2026

09-04-2026

ConnectOne Bancorp, Inc. issued a DEF 14A proxy statement for its virtual Annual Meeting on May 19, 2026, seeking shareholder approval for director elections (requiring majority vote effectively due to resignation policy), the 2026 Equity Incentive Plan, a non-binding advisory vote on executive compensation, and ratification of Crowe LLP as auditors for fiscal year ending December 31, 2026. As of the record date March 31, 2026, 50,288,494 shares of Common Stock were outstanding entitled to vote. The Board has 15 continuing directors, with 9 new members added since 2018 including three from the June 2025 merger with First of Long Island Corporation, and has retained Laurel Hill Advisory Group for proxy solicitation at an estimated $7,000 plus expenses.

• ·Annual Meeting held virtually via webcast at www.virtualshareholdermeeting.com/CNOB2026 starting at 9:15 a.m. on May 19, 2026
• ·Record date for voting eligibility: March 31, 2026
• ·Board size range: 5 to 25 directors, with mandatory retirement age of 75
• ·Directors submit irrevocable resignations effective if not receiving majority votes in uncontested election
• ·Three new directors (Becker, Haye, Quick) joined in June 2025 from merger with First of Long Island Corporation

09-04-2026

Vishay Precision Group, Inc. (VPG) issued a DEF 14A proxy statement dated April 9, 2026, for its 2026 Annual Meeting of Stockholders on May 19, 2026, at 9:00 a.m. local time in a virtual format. Stockholders of record as of March 23, 2026, will vote on three proposals: election of six directors by plurality, ratification of Brightman Almagor Zohar & Co. (Deloitte network) as independent auditors for the year ending December 31, 2026, and advisory approval of named executive officer compensation, with the Board recommending FOR all. Outstanding shares include 12,274,522 of common stock (1 vote each) and 1,022,887 of Class B common stock (10 votes each); quorum requires a majority of votes represented.

• ·Voting methods: Internet (www.proxyvote.com), phone (1-800-690-6903), mail, or virtually at meeting using 16-digit control number.
• ·Broker non-votes counted for quorum but not votes cast; no discretionary broker voting on director election or say-on-pay.
• ·Stockholder proposals/nominations for 2027 annual meeting referenced (page 40).
• ·Virtual meeting access: www.virtualshareholdermeeting.com/VPG2026.

09-04-2026

Abra Financial Holdings, Inc.'s CEO Bill Barhydt appeared on Yahoo Finance TV on April 8, 2026, discussing the $750 million SPAC merger with New Providence Acquisition Corp. III (announced via Business Combination Agreement dated March 16, 2026) to list on NASDAQ under ticker ABRX, highlighting benefits like building trust as a public RIA and advancing asset tokenization and DeFi lending. He expressed bullish views on Bitcoin, citing rising global liquidity and a 65% chance of reaching all-time highs near $100K by year-end. The filing includes standard forward-looking disclaimers and risks such as transaction failure or shareholder approval issues.

• ·Business Combination Agreement dated March 16, 2026
• ·Interview aired April 8, 2026 at 4:30 pm ET
• ·Bitcoin current price referenced as $71,000 during interview
• ·Post-merger NASDAQ ticker: ABRX
• ·Upcoming SEC Form S-4 Registration Statement including proxy statement/prospectus

09-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed a Form 8-K on April 9, 2026, under Items 8.01 and 9.01, announcing the issuance of a press release titled 'AITX's RAD-R Unveils New radcam.ai Built Around the RADCam Experience,' attached as Exhibit 99.1. The information is furnished and not deemed filed for liability purposes. No financial metrics or period comparisons are reported.

• ·Filing is not intended to satisfy other filing obligations under Rule 425, 14a-12, 14d-2(b), or 13e-4(c).
• ·Registrant is incorporated in Nevada with CIK 0001498148 and EIN 27-2343603.
• ·Principal executive offices at 10800 Galaxie Avenue, Ferndale, Michigan 48220.

09-04-2026

The Gabelli Dividend & Income Trust (GDV-PK) has released definitive additional proxy materials (DEFA14A) urging shareholders to vote for its three Board-nominated trustees using the WHITE proxy card at the Annual Meeting on May 11, 2026, and explicitly not to support activist investor Saba Capital Management's nominee via the GOLD proxy card. The Board states it evaluated Saba’s nominee in good faith but concluded the individual lacks comparable experience in Fund strategy, service providers, and U.S. investment company governance, potentially prioritizing Saba’s short-term objectives over long-term shareholder interests. No financial metrics are provided, but the proxy contest highlights ongoing governance tensions with no resolution indicated.

• ·Annual Meeting of Shareholders: May 11, 2026
• ·Shareholder hotline: 1-888-548-6498 (Mon-Fri, 9:00am-10:00pm Eastern Time)
• ·Proxy cards: WHITE (Board-supported), GOLD (Saba-supported, urged not to use)
• ·If GOLD card returned previously, WHITE card can revoke it

09-04-2026

Six Flags Entertainment Corporation announced that its subsidiary, Six Flags America Property Corporation, entered into a purchase agreement to sell certain real property in Prince George’s County, Maryland, to a joint venture between 35V (co-founded by Kevin Durant and Rich Kleiman) and TPA Group. The company plans to use net proceeds from the transaction to pay down debt obligations. The deal remains subject to buyer diligence and other closing conditions.

• ·The information under Item 7.01 is not deemed 'filed' for purposes of Section 18 of the Exchange Act.
• ·Registrant’s principal executive offices: 8701 Red Oak Blvd., Charlotte, North Carolina 28217.

09-04-2026

Wealth Advisors Northwest LLC filed its 13F-HR report on April 9, 2026, disclosing $238,432,555 in total holdings as of March 31, 2026, across 57 positions primarily consisting of Dimensional ETF Trust funds, SPDR index shares, Vanguard ETFs, and individual stocks like Apple Inc., Amazon.com Inc., and Alphabet Inc. The largest holding is Dimensional ETF Trust US Core Equity 2 ETF valued at $58,563,031, followed by US Small Cap Value ETF at $19,283,152. No changes in holdings or performance metrics are indicated in the filing.

• ·Filing period end date: March 31, 2026
• ·Business address: 9400 SW Barnes Road, Suite 309, Portland, OR 97225
• ·All positions reported as SH SOLE with no put/call/other shares or discretion indicated

09-04-2026

Alchemy Investments Acquisition Corp 1's 10-K filing highlights risks associated with its SPAC structure, including obligations to repay or issue shares for up to $1,500,000 in potential working capital loans from its sponsor, officers, directors, or affiliates. It also discloses risks of change in control from substantial Ordinary Share issuances, cash flow diversion to debt servicing limiting funds for dividends and other purposes, and borrowing limitations compared to less-leveraged competitors. Additionally, issuing equity below $10.00 per share or certain transfer arrangements could trigger upward adjustments to warrant exercise prices, potentially complicating the initial business combination.

• ·Warrant exercise price adjusts to 115% of the greater of (x) 20-out-of-30 day VWAP starting 150 days post-business combination or (y) $3.00, capped at $11.50, if equity issued below $10.00 minimum issue price.
• ·$18.00 per share warrant redemption trigger adjusts to adjusted exercise price plus $6.50 under the same conditions.

09-04-2026

New Providence Acquisition Corp. III filed a Form 425 disclosing a Yahoo Finance TV interview with Abra Financial Holdings, Inc. CEO Bill Barhydt on April 8, 2026, discussing the $750 million SPAC business combination announced March 16, 2026, to list Abra on NASDAQ under ticker ABRX. Barhydt expressed optimism on Bitcoin's potential to hit all-time highs amid rising global liquidity, while highlighting Abra's DeFi lending advantages over private credit, noting past counterparty risks in centralized lending have been mitigated. The filing includes standard forward-looking statement disclaimers and risks related to the merger completion.

• ·Business Combination Agreement dated March 16, 2026, between Abra Financial Holdings, Inc., New Providence Acquisition Corp. III, and Aether Merger Sub I, Corp.
• ·Upcoming Registration Statement on Form S-4 with definitive proxy statement/prospectus.
• ·Post-merger ticker: ABRX on NASDAQ.
• ·Abra operates as a registered investment advisor (RIA).

09-04-2026

Wabash National Corporation announced the transition of Michael N. Pettit from Senior Vice President, Chief Growth Officer to a non-executive Senior Advisor role effective April 8, 2026, with his employment continuing until the third quarter of 2026 to ensure a smooth handover. During this transition period, Pettit will receive continued annual base salary at $575,000, pro-rated 2026 incentive bonus eligibility, and vesting of existing equity awards, but no new grants. Upon separation, he will be eligible for severance under the Executive Severance Plan, subject to release of claims and covenant compliance.

• ·Transition Date: April 8, 2026
• ·Separation Date: Third quarter of 2026
• ·Pettit reports to Chief Executive Officer or designee as Senior Advisor
• ·No participation in Change in Control Plan post-Transition Date

09-04-2026

WealthCare Investment Partners, LLC filed its 13F-HR on April 9, 2026, disclosing U.S. equity holdings as of March 31, 2026, totaling $360,414,464 across 191 positions, all held solely. Top holdings include Invesco QQQ Trust Series 1 ($26,001,800 for 44,234 shares), iShares Gold Trust ($8,928,451 for 104,708 shares), and Invesco S&P MidCap 400 ETF ($5,351,167 for 45,135 shares). The portfolio features diversified exposure to ETFs, technology stocks like Amazon.com Inc. ($1,006,681 for 4,755 shares) and Microsoft Corp. ($2,886,141 for 7,779 shares), and other sectors including gold, energy, and fixed income.

• ·Filing signed by David Mailloux on April 8, 2026
• ·Company address: PO Box 189, Portsmouth, RI 02871
• ·All holdings reported as sole discretionary with no shared voting or investment discretion

09-04-2026

Choice Wealth Advisors LLC disclosed 35 equity holdings totaling $254,788,914 as of March 31, 2026, in its 13F-HR filing. The portfolio consists primarily of ETFs and select individual stocks, with the largest positions in SPDR Series Trust State Street SPD (78464A508) at $30,707,247, WisdomTree TR US Qtly Div Grt at $28,809,049, and J P Morgan Exchange Traded F Intrnl Res Eqt at $22,931,360. Notable stock holdings include Apple Inc ($8,369,607), Amazon.com Inc ($6,726,288), and Nvidia Corporation ($3,659,266).

• ·All holdings reported as sole discretionary voting authority
• ·Filing submitted April 9, 2026 for quarter ended March 31, 2026
• ·Business address: 325-D Kennedy Memorial Drive, Waterville, ME 04901
• ·Phone: 207-873-0996

09-04-2026

Safir Wealth Advisors, LLC filed a 13F-HR reporting 19 holdings totaling $138,261,475 as of March 31, 2026. The portfolio is heavily weighted toward Vanguard ETFs, with the top position being Vanguard S&P 500 ETF at $55,769,796 (93,331 shares), followed by Vanguard Short Term Bond ETF at $15,616,351 (199,163 shares). Other significant holdings include Vanguard Growth ETF ($13,904,968), Value ETF ($11,970,485), and individual stocks such as Exxon Mobil Corp ($310,817) and Apple Inc ($304,548).

• ·Filing date: April 09, 2026; Report period end: March 31, 2026
• ·All holdings reported as sole discretionary with zero shared or other voting authority
• ·Address: 63 Niblack Lane, Greenland, NH 03840

09-04-2026

LifeGuide Financial Advisors, LLC disclosed total holdings of $312,728,791 across 46 positions, all held on a sole discretionary basis, as of March 31, 2026. Largest positions include Dimensional ETF Trust Global Real Estate ETF ($66,705,702), Schwab Strategic Trust US TIPS ETF ($51,664,331), and Dimensional ETF Trust US Core Equity 2 ($29,387,908). The filing was submitted on April 9, 2026, and signed by David Lutz, Chief Compliance Officer.

• ·All 46 positions held as sole discretionary with no shared or other manager discretion.
• ·Address: 400 W. Main St., Mechanicsburg, PA 17055.
• ·Filing covers period ending March 31, 2026.

09-04-2026

Eagle Rock Investment Company, LLC filed its 13F-HR on April 9, 2026, disclosing Q1 2026 holdings as of March 31, 2026, with a total portfolio value of $688175880 across 158 positions, all held with sole discretionary authority and no reported changes. The portfolio features large allocations to fixed income and equities, including Vanguard Total Bond Market ETF ($57715055), Alphabet Inc Cl A ($36347149), and Broadcom Inc ($33658284). Holdings are diversified across sectors like technology, healthcare, and ETFs with no indications of growth, declines, or shifts in the filing.

• ·Filer CIK: 0001911407
• ·Business address: 1201 Peachtree Street NE, Suite 200, Atlanta, GA 30361
• ·Fiscal year end: December 31
• ·Other notable holdings include Berkshire Hathaway Inc Del Cl A (1 share, $718140) and Berkshire Hathaway Inc Del Cl B New (734 shares, $351733)

09-04-2026

Live Ventures Incorporated's indirect wholly-owned subsidiary, Vintage Stock Inc., amended the Employment Agreement with its President and CEO, Rodney Spriggs, effective March 31, 2026, extending the term to March 31, 2028. The Third Amendment includes a one-time cash bonus of $250,000 payable on or before April 14, 2026, and an additional 80 hours of paid time off per calendar year.

• ·Third Amendment approved by Compensation Committee via written consent
• ·Third Amendment filed as Exhibit 10.145

09-04-2026

ReserveOne Holdings, Inc. (Pubco), a wholly-owned subsidiary of ReserveOne, Inc., filed a Form 425 disclosing communications related to its proposed business combination with M3-Brigade Acquisition V Corp., initially agreed on July 7, 2025. CEO Jaime Leverton shared optimistic messages on LinkedIn and X about building a new digital asset company and published an article in the Milken Institute’s 2026 Power of Ideas series emphasizing internal trust-building. However, the filing heavily cautions on forward-looking statements, highlighting substantial risks including failure to complete the merger, high crypto volatility, regulatory uncertainties, lack of operating history, and potential high redemptions by M3-Brigade shareholders.

• ·Business Combination Agreement entered into on July 7, 2025
• ·Communications posted on LinkedIn and X on April 8, 2026
• ·Registration Statement on Form S-4 filed with SEC, including preliminary proxy statement/prospectus
• ·Risks include lack of operating history, potential shareholder redemptions, listing failure post-merger, and crypto price volatility

09-04-2026

Invivyd, Inc. issued a press release on April 9, 2026, announcing progress in its REVOLUTION Program and the advancement of VMS063, a novel potential first- and best-in-class measles monoclonal antibody candidate for treatment and prevention of measles. The company also posted an updated corporate presentation on its website at www.invivyd.com.

09-04-2026

Universal Health Services, Inc. (UHS) filed DEFA14A additional proxy materials for its Annual Meeting of Stockholders scheduled for May 20, 2026, at 10:00 a.m. EDT via live webcast. Key proposals include the election of director Nina Chen-Langenmayr (FOR), advisory vote on named executive officer compensation (FOR), ratification of PricewaterhouseCoopers LLP as auditors for FY 2026 (FOR), and two stockholder proposals on vote reporting and workforce diversity disclosure (both AGAINST). Proxy materials are available online at www.envisionreports.com/UHS, with paper requests due by May 8, 2026.

• ·Virtual meeting access: www.meetnow.global/MXMYPG9 (requires 15-digit control number).
• ·No fee required for proxy filing.

09-04-2026

Labcorp Holdings Inc. (NYSE: LH) announced that its Board of Directors declared a cash dividend of $0.72 per share of common stock. The dividend is payable on June 11, 2026, to stockholders of record as of the close of business on May 29, 2026.

• ·Filing date: April 9, 2026
• ·Common Stock: $0.10 par value, traded on New York Stock Exchange (LH)
• ·Date of earliest event reported: April 8, 2026

09-04-2026

CoreWeave, Inc. entered into a new order form with Meta Platforms, Inc. on March 31, 2026, under their existing Master Services Agreement dated December 10, 2023, securing Meta's commitment to pay approximately $21 billion for cloud computing capacity. This includes access to new capacity through December 20, 2032, and the exercise of an existing option for additional capacity through April 10, 2032. The agreement contains standard termination rights for cause, representations, warranties, indemnification, and liability limitations.

• ·Press release furnished as Exhibit 99.1 and not deemed 'filed' under Section 18 of the Exchange Act.
• ·MSA full text available in CoreWeave's 8-K filed September 30, 2025 as Exhibit 10.1.

09-04-2026

Chevron provided preliminary Q1 2026 guidance highlighting negative timing effects of $(2.7)-(3.7)B due to commodity price volatility and a working capital outflow of $(2.0)-(4.0)B, partially offset by upstream commodity price benefits of $1.6-2.2B compared to Q4 2025. Upstream production is expected at 3.8-3.9 MMBOED, reflecting downtime at Tengizchevroil and reduced output in the Middle East. Downstream faces a $350-400MM legal charge related to ceased operations.

• ·Preliminary guidance subject to change; full Q1 2026 results expected around May 1, 2026.
• ·Timing effects primarily in Downstream segment, expected to unwind in future periods.
• ·Production impacted by downtime at Tengizchevroil and reduced output in Middle East (Israel and Partitioned Zone).

09-04-2026

NOV Inc. filed a DEFA14A proxy statement ahead of its annual stockholder meeting on May 20, 2026, at 10:00 AM CDT in Houston, TX. Shareholders will vote to elect nine director nominees, ratify Ernst & Young LLP as independent auditors for 2026, and approve named executive officer compensation on an advisory basis, with the Board recommending FOR all proposals. No financial metrics or performance changes are discussed.

• ·Meeting address: 10353 Richmond Avenue, Houston, TX 77042
• ·Proxy materials request deadline: May 06, 2026
• ·Voting options: www.ProxyVote.com, 1-800-579-1639, sendmaterial@proxyvote.com (include control number)

09-04-2026

AEVEX Corp. filed an S-1/A registration statement with the SEC on April 9, 2026, highlighting significant risk factors including ongoing material weaknesses in internal controls over financial reporting that could lead to restatements or regulatory sanctions. The filing also discloses operational vulnerabilities to pandemics, natural disasters, self-insured health claims, economic recessions, and extensive U.S. Government contract risks such as partial funding, terminations, and regulatory compliance burdens. These risks could adversely impact revenue, profitability, reputation, and ability to secure future business.

• ·Subject to Sarbanes-Oxley Act compliance risks with ongoing remediation efforts for identified material weaknesses.
• ·Self-insured for majority of employee medical claims with stop-loss policies.
• ·Dependent on U.S. Government contracts, including DoD and IC agencies, with risks from UCAs/UCOs and lack of liability limitations.
• ·Regulated by Federal Acquisition Regulations, Truthful Cost or Pricing Data Act, False Claims Act, FCPA, FAA, ITAR, EAR, and others.

09-04-2026

Valmont Industries, Inc. announced the appointment of John Schwietz as Executive Vice President, Chief Financial Officer, and Corporate Secretary, effective April 8, 2026, succeeding Thomas Liguori. Mr. Schwietz, 44, joined the company in 2009 and has held progressively senior roles in finance, business development, and operations, including President – International Agriculture since May 2024.

• ·Mr. Schwietz's prior roles: Vice President and General Manager – International Agriculture (August 2023 – May 2024), Vice President Finance, Global Utility and Renewable Generation (June 2021 – August 2023), Vice President, Finance Renewable Generation (January 2020 – June 2021)
• ·Event reported on April 8, 2026; filing dated April 9, 2026

09-04-2026

Laureate Education, Inc. filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting of Stockholders on May 21, 2026, held virtually. Key proposals include electing nine directors, an advisory vote to approve named executive officer compensation, ratification of PricewaterhouseCoopers LLP as independent auditors for the year ending December 31, 2026, and approval of the 2026 Long-Term Incentive Plan. The board recommends voting 'For' all items.

• ·Annual Meeting: May 21, 2026 at 10:00 AM EDT, virtually at www.virtualshareholdermeeting.com/LAUR2026
• ·Proxy materials request deadline: May 7, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Auditor appointment for fiscal year ending December 31, 2026

09-04-2026

Corvex, Inc. (formerly Movano Inc., ticker MOVE) received a letter from Nasdaq on April 7, 2026, confirming that the Nasdaq Hearings Panel found the company in compliance with the Minimum Stockholders’ Equity Rule under Listing Rule 5550(b)(1), resolving prior non-compliance issues. However, the company is now subject to a one-year Mandatory Panel Monitor commencing April 7, 2026, during which any further non-compliance would not allow for an extension and could lead directly to a hearing on delisting.

• ·Non-compliance notice received October 1, 2025.
• ·Nasdaq Hearings Panel granted extension until March 30, 2026, notified December 18, 2025.
• ·Trading symbol: MOVE on The Nasdaq Stock Market LLC.
• ·Emerging growth company: Yes.

09-04-2026

AGA Precision Systems LLC, a wholly owned subsidiary of PMGC Holdings Inc. (Nasdaq: ELAB), announced on April 9, 2026, the signing of its second long-term supply agreement (LTA) in 2026 with an unnamed Tier 1 aerospace and defense company, following a similar agreement with Turbo-Jet Products Co., Inc. on March 31, 2026. The LTA governs future purchase orders for precision CNC-manufactured components, highlighting AGA's maturity in meeting ITAR and AS9100 standards and potential for recurring revenue. No financial terms or customer identity were disclosed due to confidentiality obligations.

• ·AGA is ITAR-registered and AS9100-certified.
• ·Agreement includes performance commitments on quality, delivery, and pricing for mission-critical defense applications.

09-04-2026

Soluna Holdings, Inc. filed an 8-K on April 9, 2026, under Items 7.01 and 9.01, disclosing a press release with previously unreported corporate and operational information regularly published on its website. The press release is furnished as Exhibit 99.1 and is not deemed 'filed' under Section 18 of the Exchange Act or incorporated by reference into other filings. The filing was signed by CFO Michael Picchi.

• ·Filing Type: 8-K
• ·Date of Report (earliest event): April 9, 2026
• ·Commission File Number: 001-40261
• ·IRS Employer Identification No.: 14-1462255
• ·Principal Executive Offices: 325 Washington Avenue Extension, Albany, New York 12205
• ·Telephone: (516) 216-9257

09-04-2026

Overbrook Management Corp filed its 13F-HR on April 9, 2026, disclosing holdings in 51 securities as of March 31, 2026, with no prior period comparison provided in the filing. Top positions include NVIDIA Corporation at $55,637,088 (319,020 shares), Alphabet Inc Cap Stk Cl C at $37,739,588 (131,561 shares), Broadcom Inc at $34,991,963 (113,056 shares), Microsoft Corp at $29,998,207 (81,039 shares), and Amazon.com Inc at $29,927,566 (143,696 shares). Other notable holdings feature Apple Inc ($25,954,228), Eli Lilly & Co ($25,649,626), and Meta Platforms Inc Cl A ($27,037,719).

• ·Filing period end date: March 31, 2026
• ·Business address: 280 Park Avenue Suite 2402 West, New York, NY 10017
• ·Phone: 646-315-9714
• ·All holdings reported as sole voting authority (SH SOLE)

09-04-2026

First Real Estate Investment Trust of New Jersey, Inc. (FREVS) entered into a Purchase and Sale Agreement on April 8, 2026, with an affiliate of Regency Centers Corporation to sell 100% of its ownership interests in the Franklin Crossing shopping center for $27,000,000. The agreement includes an initial $1,000,000 escrow deposit refundable during a 30-day due diligence period ending May 8, 2026, and an additional non-refundable $1,000,000 deposit thereafter, with closing expected in Q3 2026 but no later than August 15, 2026. The Board unanimously approved the transaction, which has no financing contingency.

• ·Franklin Crossing located at 814-860 Franklin Avenue, Franklin Lakes, New Jersey
• ·No financing contingency in the agreement
• ·Customary representations, warranties, indemnity provisions, and termination rights apply

09-04-2026

CRA Financial Services, LLC filed its 13F-HR on April 9, 2026, reporting holdings as of March 31, 2026, with a total portfolio value of $770,099,080 across 296 positions, all held as sole voting authority. Top holdings include Apple Inc. COM (200502 shares valued at $50885478), NVIDIA Corporation COM (132431 shares at $23095891), Amazon.com Inc. COM (136170 shares at $28360190), Alphabet Inc. Cap Stk Cl A (68185 shares at $19607412), and Microsoft Corp. COM (42382 shares at $15688438). The filing discloses a diversified portfolio heavy in technology, ETFs, and broad market funds with no reported changes summarized.

• ·All 296 positions held with sole voting authority (SH SOLE).
• ·Filer CIK: 0001765594, based in Northfield, NJ.
• ·No additions, deletions, or changes summarized in filing header (indicated by '0').

09-04-2026

First Northwest Bancorp has issued a preliminary proxy statement for its 2026 Annual Meeting of Shareholders on May 19, 2026, at 4:00 p.m. PT in Port Angeles, Washington, with record date March 20, 2026. Shareholders will vote on electing nine directors, approving Second Amended and Restated Articles of Incorporation to remove supermajority voting and allow director removal with or without cause, amending the 2020 Equity Incentive Plan, an advisory vote on named executive officer compensation, and ratifying Baker Tilly US, LLP as auditor for the year ending December 31, 2026. No financial performance metrics or period-over-period comparisons are disclosed in the filing.

• ·Meeting location: Field Arts and Events Hall, 201 W. Front Street, Port Angeles, Washington 98362.
• ·ESOP voting details: sole voting power over 608,855 shares, shared voting power over 299,927 shares, shared dispositive power over 908,782 shares as of September 30, 2024.
• ·Beneficial ownership includes shares held by spouses, family, trusts, ESOP, and 401(k) Plan.

09-04-2026

The Federal Home Loan Bank of San Francisco reported the creation of direct financial obligations via two consolidated obligation bonds for which it is the primary obligor, each with a par value of $10,000,000, issued on trade dates April 6 and April 7, 2026, settling April 9, 2026, and maturing April 9, 2031. The bonds feature fixed rates of 4.250% (European callable style, next call April 9, 2027) and 4.500% (Bermudan callable style, next call October 9, 2026), as part of routine capital markets funding backed jointly by the eleven Federal Home Loan Banks. No period-over-period comparisons or performance metrics were provided, reflecting standard debt issuance activity.

• ·First bond (CUSIP 3130BAAC): Next Pay Date October 9, 2026; Rate Type Fixed Constant
• ·Second bond (CUSIP 3130BA7F): Next Pay Date October 9, 2026; Rate Type Fixed Constant
• ·Consolidated obligations are joint and several obligations of the eleven Federal Home Loan Banks, not guaranteed by the U.S. government
• ·Schedule A excludes discount notes with maturity of one year or less issued in ordinary course

09-04-2026

Walnut Private Equity Partners, LLC filed its 13F-HR on April 9, 2026, reporting a portfolio of 14 equity holdings as of March 31, 2026, with a total market value of $181,325,223 focused on energy infrastructure, MLPs, and related sectors. Top positions include Blackstone Inc ($41,843,941), Energy Transfer Equity LP ($39,516,750), and Williams Cos Inc ($34,921,664), alongside smaller stakes in entities like USA Compression Partners LP ($47,623) and JP Morgan Alerian MLP Index ($11,927). No prior period comparisons or performance changes are disclosed in this snapshot filing.

• ·Filer CIK: 0001599275
• ·Business address: 111 S. 108th Ave, Omaha, NE 68154
• ·Phone: (402) 991-2201
• ·SEC file number: 028-15747

09-04-2026

DHJJ Financial Advisors, Ltd. filed its 13F-HR on April 9, 2026, reporting institutional holdings as of March 31, 2026, consisting of 1081 sole discretionary positions in equities and ETFs with no reported changes, puts, or calls. Top holdings include Dimensional ETF Trust International Core Equity Market ETF at $4,161,392,000, First Trust Exchange Traded FD Rising Dividend Achievers at $3,905,498,000, Apple Inc. at $3,875,224,000, and Caterpillar Inc. at $3,229,437,000. The filing provides a snapshot of the firm's diversified portfolio without period-over-period comparisons.

• ·Filer CIK: 0001844716
• ·Business address: 184 Shuman Boulevard, Suite 200, Naperville, IL 60563
• ·All positions reported as sole discretionary shared ownership with zero puts and zero calls

09-04-2026

Goelzer Investment Management, Inc. filed its 13F-HR report on April 9, 2026, disclosing institutional holdings as of March 31, 2026, across 297 securities with a total market value of $2,067,639,500. Top holdings by reported value include ELI LILLY & CO COM at $497,059,392 (540,417 shares), APPLE INC COM at $41,103,178 (161,957 shares), and ALPHABET INC CAP STK CL C at $25,974,687 (90,548 shares). The portfolio features broad exposure to large-cap U.S. equities, ETFs, and select international names, primarily under sole investment discretion.

• ·Report filed under SEC file number 028-14976
• ·Central Index Key (CIK): 0001550057
• ·Business address: 10 East Main Street, Suite 110, Carmel, IN 46032
• ·Predominantly sole investment discretion and voting authority across holdings

09-04-2026

The special shareholder meeting for ClearBridge Large Cap Growth Fund, held on April 7, 2026, received overwhelmingly positive initial results but lacked sufficient participation to meet legal requirements and has been adjourned to reconvene on May 14, 2026, at 1:00 p.m. ET. Shareholders are voting on two proposals: changing the fund's classification from diversified to non-diversified, which could increase susceptibility to issuer-specific risks, and authorizing the manager to rely on a Manager of Managers Order for subadvisory contracts without further shareholder approval. No action is needed for those who have already voted; others will be solicited by EQ Fund Solutions.

• ·Shareholders of record as of January 21, 2026.
• ·Proxy statement and proxy card mailed on February 2, 2026.
• ·EQFS contact: (800) 290-6424, Monday-Friday 9 a.m. to 10 p.m. ET.

09-04-2026

Nuvera Communications, Inc. issued a DEF 14A proxy statement for its virtual Annual Meeting of Shareholders on May 21, 2026, at 10:00 a.m. CDT, seeking approval for the election of two director nominees (James J. Seifert and Colleen R. Skillings), ratification of Olsen Thielen & Co., Ltd. as independent auditor for the year ended December 31, 2026, and consideration of a non-binding shareholder proposal (Proposal 3) on which the Board makes no recommendation. As of the March 26, 2026 record date, there were 5,215,348 shares of common stock outstanding, with a quorum requiring 35% presence. The Board recommends voting FOR the nominees and auditor ratification.

• ·Quorum requires presence of 35% of outstanding shares.
• ·Proxy voting deadline: May 20, 2026, at 10:59 p.m. CDT via internet or telephone.
• ·Shareholder proposals for 2027 proxy statement due by December 11, 2026.
• ·Virtual meeting access: www.virtualshareholdermeeting.com/NUVR2026 using 16-digit control number.
• ·Board consists of eight directors serving three-year terms.

09-04-2026

The Federal Home Loan Bank of Cincinnati filed an 8-K under Item 2.03 disclosing the creation of a direct financial obligation through the commitment to issue a Consolidated Bond with a par value of $25,000,000. The bond, traded on April 6, 2026, has a fixed constant rate of 4.400%, matures on April 17, 2029, and features Optional Principal Redemption (Bermudan style) with the next call date on July 17, 2026. No other comparative financial metrics or performance changes were reported.

• ·Trade Date: April 6, 2026
• ·Settlement Date: April 17, 2026
• ·Next Pay Date: October 17, 2026
• ·CUSIP: 3130BAB2
• ·Schedule A excludes Consolidated Discount Notes due to short-term maturities (max 360 days) and does not reflect derivatives, total outstanding obligations, or GAAP adjustments

09-04-2026

Definitive Healthcare Corp. terminated its Nominating Agreement with SE VII DHC AIV, L.P. ("Spectrum"), dated September 17, 2021, which had granted Spectrum the right to designate one board member while holding at least 5% of outstanding common stock. The termination followed the resignation of Spectrum's designee, Jeff Haywood, from the board on March 30, 2026, with the termination agreement executed on April 3, 2026. No financial impacts or other changes were disclosed in the filing dated April 9, 2026.

• ·Nominating Agreement granted Spectrum the right to designate one director for inclusion in the slate of nominees recommended to stockholders.
• ·Termination is permanent and irrevocable in its entirety.

09-04-2026

Beam Global's 10-K for the year ended December 31, 2025, shows net cash used in operating activities worsening to $(10,482) from $(2,193) in 2024, reflecting increased cash burn amid persistent losses and material weaknesses in internal controls. Net cash used in investing activities improved to $(482) from $(4,054), while financing activities provided $7,467 versus $1,203. The company is addressing control deficiencies through remediation efforts, including NetSuite ERP implementation, but highlights significant risks including liquidity challenges, competition, and international expansion hurdles.

• ·Material weaknesses include ineffective ITGCs, insufficient inventory accounting controls, inadequate account reconciliations, segregation of duties issues, and oversight of international operations.
• ·Remediation efforts: enhancing ITGCs, implementing NetSuite ERP, formalizing reconciliation reviews, improving segregation of duties, and training personnel.
• ·Risks include volatility in stock price, quarterly fluctuations, failure to earn profits, inadequate capital, demand reductions, litigation, raw material cost changes, currency fluctuations, and limited public float.

09-04-2026

QCR Holdings, Inc. (QCRH) filed a DEFA14A Definitive Additional Proxy Materials on April 09, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and contains no substantive details on proposals, votes, or financial metrics. This appears to be supplemental material for an ongoing proxy solicitation.

• ·Filed by the Registrant
• ·No fee required

09-04-2026

NIQ Global Intelligence plc has issued a proxy statement for its 2026 Annual General Meeting (AGM) on May 21, 2026, at Arthur Cox LLP offices in Dublin, Ireland, seeking shareholder approval on electing four Class I directors for terms until 2029, ratifying Ernst & Young LLP as independent auditor for the fiscal year ending December 31, 2026, advisory votes on named executive officer compensation and frequency (1, 2, or 3 years), authorizing market purchases of ordinary shares, setting price range for re-allotting treasury shares, and approving capital reduction to create distributable reserves. The record date for voting eligibility is March 27, 2026, with no financial performance metrics or period-over-period comparisons disclosed in the filing. All proposals are routine governance matters with no reported controversies or declines.

• ·Voting requirements: Proposal 1 (directors) by plurality; Proposals 2, 3, 5 by simple majority; Proposals 6, 7 by 75% majority.
• ·Irish statutory financial statements for year ended December 31, 2025 available by April 29, 2026 on investor relations website.
• ·Proxy materials available at www.ProxyVote.com; paper requests due by May 7, 2026.

09-04-2026

PCB Bancorp filed Definitive Additional Proxy Materials (DEFA14A) with the SEC on April 09, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as Definitive Additional Materials. No specific proposals, financial data, or other substantive details are provided in the filing header.

• ·Filing marked as 'Definitive Additional Materials'
• ·No fee required for filing