Dow Jones 30 Stocks SEC Filings — April 13, 2026

13-04-2026

Investcorp AI Acquisition Corp. (IVCA) entered into a definitive Business Combination Agreement with Blue Finance Technology Holding Limited to create a new Irish public company (New Pubco) listed on Nasdaq Capital Market, with consideration of 21,985,971 New Pubco ordinary shares at $10.00 per share for an aggregate $219,859,710. Blue Finance, via My Finance Club Ltd., has originated more than 580,000 loans and over $200 million in total lending using AI-driven digital platforms for underbanked consumers. The deal includes potential earnout shares up to 6,000,000 if share price exceeds $15 or market cap hits $1,000,000,000, subject to customary closing conditions including shareholder approvals and Nasdaq listing.

• ·Earnout: 3,000,000 New Pubco shares if VWAP >= $15.00 for 10 trading days in 30-day period; additional 3,000,000 if market cap >= $1B similarly.
• ·Transaction caps aggregate New Pubco shares at 30,000,000 subject to adjustments for Irish law compliance.
• ·Closing conditions include IVCA shareholder approval, Form F-4 effectiveness, Irish re-registration, and Nasdaq listing approval.

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

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

On April 13, 2026, 5E Advanced Materials, Inc. appointed Jonathan Siegler as a director, effective immediately, to serve until the next annual stockholder meeting. Mr. Siegler, designated by BEP Special Situations IV LLC (Bluescape) under the January 14, 2025 IRRA, succeeds Graham van’t Hoff as one of Bluescape’s designees, with van’t Hoff continuing as Board chairperson alongside Curtis Hébert, Jr. Mr. Siegler is eligible for a $50,000 annual cash retainer and quarterly RSU grants valued at $12,500 each under the Non-Employee Director Compensation Policy.

• ·Bluescape and Ascend have rights to designate directors based on beneficial ownership thresholds (two directors at 25% ownership, one at 10%).
• ·RSU grants vest on July 1st following grant date, or fully upon voluntary resignation, change in control, death, or disability.
• ·Mr. Siegler has no family relationships with other directors/officers and entered standard indemnification agreement.
• ·Company has ongoing and potential transactions with Bluescape, as disclosed in prior filings.

13-04-2026

Intchains Group Ltd, a Cayman Islands holding company with PRC subsidiaries focused on ASICs and ICs for cryptocurrency mining, filed its 20-F annual report on April 13, 2026, emphasizing significant risks such as past net losses, negative operating cash flows, and challenges in achieving profitability. Key concerns include PRC regulatory restrictions on dividend payments, foreign exchange controls limiting fund transfers, and volatility in ETH holdings under its treasury strategy, with no dividends expected in the foreseeable future. The report also highlights dependencies on limited third-party foundries and potential failures in R&D or tape-outs, presenting a cautious outlook amid crypto market uncertainties.

• ·Fiscal years end December 31.
• ·Each ADS represents two Class A ordinary shares.
• ·PRC subsidiaries must set aside 10% of net profit as reserve funds before paying dividends, up to 50% of registered capital.
• ·Dual-class share structure with Class A and Class B ordinary shares, par value US$0.000001 per share.

13-04-2026

Kyverna Therapeutics, Inc. (KYTX) issued its 2026 Proxy Statement for the virtual Annual Meeting on May 27, 2026, seeking stockholder approval to elect two Class II directors until 2029 and ratify BDO USA, P.C. as independent auditor for the year ending December 31, 2026. The accompanying CEO letter highlights 2025 achievements, including transformative registrational data for miv-cel in stiff person syndrome (SPS) with BLA filing planned for H1 2026, strong Phase 2 interim data in generalized myasthenia gravis (gMG) supporting an ongoing Phase 3 trial, promising data in progressive multiple sclerosis and rheumatoid arthritis, IND acceptance for KYV-102, and cash runway extended into 2028. No declines or flat performance metrics were reported.

• ·Annual Meeting at 11:00 a.m. Pacific Time, virtual format at www.virtualshareholdermeeting.com/KYTX2026
• ·Record Date: March 30, 2026
• ·Proxy materials available online at www.proxyvote.com starting April 13, 2026
• ·Annual Report on Form 10-K for year ended December 31, 2025 available at https://ir.kyvernatx.com/financial-information/sec-filings

13-04-2026

Exodus Movement, Inc. announced via press release that it has filed a lawsuit in the Delaware Court of Chancery against W3C Corp. and seller Garth Howat to compel them to comply with the November 24, 2025 Stock Purchase Agreement and close the acquisition of W3C Corp., which owns Monavate (payment solutions provider) and Baanx (non-custodial cards and digital asset services). This development indicates potential delays or disputes in the previously disclosed Transaction.

• ·Lawsuit filed on April 13, 2026, seeking to enforce closing of the Transaction.
• ·Purchase Agreement originally entered on November 24, 2025.
• ·Press release attached as Exhibit 99.1; information not deemed 'filed' under Section 18 of the Exchange Act.

13-04-2026

First Busey Corporation filed an Amendment No. 1 to its definitive proxy statement (DEFR14A) on April 13, 2026, solely to include the omitted Appendix A: First Busey Corporation Second Amended 2020 Equity Incentive Plan, for its virtual 2026 Annual Meeting of Stockholders on May 20, 2026, at 10:30 a.m. Central Time. The meeting agenda includes electing 12 directors for one-year terms, a non-binding advisory 'say-on-pay' vote on named executive officer compensation, approval of the Second Amended 2020 Equity Incentive Plan, and ratification of RSM US LLP as independent registered public accounting firm for the year ending December 31, 2026. The record date is March 27, 2026, with 85,504,477 shares of common stock outstanding.

• ·Virtual meeting access: www.virtualshareholdermeeting.com/BUSE2026 (requires 16-digit control number from Notice)
• ·Principal executive offices: 11440 Tomahawk Creek Parkway, Leawood, Kansas 66211
• ·2025 Annual Report on Form 10-K available at busey.com/secfilings

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

Lake Street Private Wealth, LLC filed its quarterly 13F-HR report on April 13, 2026, for the period ended March 31, 2026, disclosing a portfolio of 270 holdings valued at $785,425,715, all with sole voting power. Top positions include Vanguard Index FDS Value ETF ($51,348,906), NVIDIA Corporation ($38,052,793), and Vanguard Index FDS Growth ETF ($35,356,869). No changes from prior periods or performance metrics are reported in this snapshot filing.

• ·Report period end date: March 31, 2026
• ·Filing CIK: 0001772031
• ·All 270 positions held with sole voting power and no shared voting or disposition power reported

13-04-2026

Everest Group, Ltd. published a recast unaudited quarterly financial supplement for the fourth quarter of 2025 on its website, covering prior period data from the first quarter of 2024 through the fourth quarter of 2025. Effective January 1, 2026, the Company changed its reportable segments to Reinsurance Treaty, Global Wholesale and Specialty, and Legacy, following the sale of renewal rights for its Commercial Retail Insurance business in the U.S. and certain regions globally to American International Group, Inc. The presentation of data in the financial supplement has been revised accordingly, with the Q4 2025 supplement to be posted in the new format.

• ·Information furnished under Item 7.01 Regulation FD Disclosure and not deemed filed under Section 18 of the Securities Exchange Act of 1934

13-04-2026

Golkor Inc. entered a Prepay Offtake Agreement with Afrikor Metal Industries (Pty) Ltd. on March 10, 2026 (amended April 3, 2026) for 100% of silver bullion from the EBM Facility for three years, not less than 2,500,000 ounces, with AMI able to request up to $20M in prepayments; a prior joint venture for 51% interest was terminated. Separately, on February 24, 2026, Golkor signed a Purchase Contract with Trafigura Pte Ltd. to deliver not less than 2,500,000 ounces of silver (bullion and dore) from the EBM Facility post-refining. Robert Armstrong was appointed CFO on March 27, 2026, bringing over 20 years of CFO experience.

• ·EBM Facility purchase by AMI pending.
• ·Pricing for Trafigura contract based on London Silver Fixing price.
• ·No family relationships or material transactions involving new CFO Robert Armstrong.

13-04-2026

On April 9, 2026, the Board of Directors of Franklin Financial Services Corporation declared a $0.34 per share regular cash dividend for the second quarter of 2026, up from $0.33 per share in the first quarter of 2026 and representing a 3.0% increase from $0.33 per share in the second quarter of 2025. The dividend will be paid on May 27, 2026, to shareholders of record at the close of business on May 1, 2026.

• ·Dividend declared on April 9, 2026
• ·Filed with SEC on April 13, 2026 under Items 8.01 and 9.01

13-04-2026

Diamond Hill Investment Group, Inc.'s DEF 14A proxy statement for the virtual annual meeting on May 28, 2026 (record date March 30, 2026) seeks approval for electing eight directors, ratifying KPMG LLP as auditors for FY 2026, and an advisory vote on 2025 named executive officer compensation. The company celebrates its 25th anniversary with $30 billion in client partnerships and 18% annualized shareholder returns from May 31, 2000, to December 31, 2025, while providing an update on its pending acquisition by First Eagle Investment Management, LLC (approved by shareholders on March 3, 2026, expected to close in Q2 2026 subject to client consents, potentially canceling the meeting). No declines or underperformance noted.

• ·Merger announced December 10, 2025; shareholder approval at Special Meeting on March 3, 2026.
• ·Proxy materials mailed on or about April 13, 2026.
• ·No action on merger at annual meeting.

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

BullFrog AI Holdings, Inc. filed an 8-K on April 13, 2026, under Items 8.01 and 9.01, announcing the issuance of a letter to stockholders on the same date. The letter, described as a press release, is furnished as Exhibit 99.1. The filing was signed by CEO Vininder Singh.

• ·Securities registered: Common Stock (BFRG, par value $0.00001) and Tradeable Warrants (BFRGW) on Nasdaq Capital Market.
• ·Company is an emerging growth company.

13-04-2026

Civeo delivered strong 2025 performance with record Australian segment revenues of $460 million (72% of total revenue), 10% YoY Adjusted EBITDA growth to $88 million driven by Australian growth and Canadian margin improvements, and repurchased 2.3 million shares for $54 million (17% of shares outstanding as of Dec 31, 2024). However, Canadian operations faced ongoing oil sands headwinds requiring right-sizing, resulting in net leverage rising to 1.9x from 0.5x at Dec 31, 2024 after $72 million growth capital deployment. The proxy seeks shareholder approval for electing three Class II/III directors, advisory vote on executive compensation, and amendment to the 2014 Equity Participation Plan.

• ·Global TRIR of 0.27 in 2025, sixth consecutive year under 0.50 and below industry average of 0.60
• ·Significant Australian contract wins: A$1.4 billion integrated services contract, A$250 million 4-year COV contract renewal, 3-year integrated services contract in Bowen Basin
• ·Shareholder engagement in 2025 covered over 52% of outstanding shares
• ·Three consecutive years without lost-time incident in North America

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

On April 7, 2026, Tennessee Valley Authority (TVA) entered into a separation and release agreement with Donald A. Moul, its President and Chief Executive Officer, providing him severance and retirement benefits consistent with TVA's Executive Severance Plan and Long-Term Incentive Plan. The 8-K filing was made on April 13, 2026, under Item 5.02 for officer departure. No details on the reasons for departure, succession plans, or financial impacts were disclosed.

• ·Filing signed by Thomas C. Rice, Executive VP and CFO
• ·TVA is a corporate agency of the United States created by an act of Congress

13-04-2026

Future Vision II Acquisition Corp. entered into an unsecured promissory note for $191,475 with HWei Super Speed Co. Ltd. dated April 8, 2026, to deposit funds into its Trust Account for a one-month extension of the Business Combination deadline from April 13, 2026, to May 13, 2026. The note bears no interest, is due upon consummation of a Business Combination, and includes a conversion option into units at $10.00 per unit, capped at an aggregate of $1,500,000 across similar loans.

• ·Note maturity upon consummation of initial Business Combination; forgiven if no BC and liquidation occurs
• ·Payee waives all claims to Trust Account distributions
• ·No fractional units on conversion; cash paid in lieu
• ·Governed by New York law; non-assignable by Payee without Maker consent
• ·Events of default include non-payment within 5 business days or Maker bankruptcy

13-04-2026

For the six months ended February 28, 2026, Pineapple Financial Inc. reported revenue of $1,429,267, down 5.5% YoY from $1,512,236, while expenses surged to $25,806,462 from $2,805,838 due to a $23,026,713 fair value loss on crypto assets, resulting in a net loss of $25,930,939 versus $1,253,990 last year. However, the company strengthened its balance sheet via PIPE financing (cash $21,949,955 and in-kind $31,323,740) and $18,972,000 in loans payable, boosting total assets to $48,872,601 from $5,417,221 at August 31, 2025, cash to $17,736,423 from $2,117,371, and shareholders' equity to $27,098,940 from $906,679. Shares outstanding increased to 26,088,651 from 1,340,941 post a 20-for-1 reverse split.

• ·Net cash used in operating activities: $3,762,796 for six months ended Feb 28, 2026 vs $836,228 prior year.
• ·Net cash provided by financing activities: $38,199,966 vs $1,226,321 prior year.
• ·Net cash used in investing activities: $19,293,545 (includes $13,895,990 crypto purchase and $5,000,000 loan receivable).
• ·20-for-1 reverse stock split effected July 16, 2025; all share data retroactively adjusted.
• ·Fair value loss on crypto assets: $23,026,713 for six months ended Feb 28, 2026.

13-04-2026

This Rule 425 filing discloses details of the proposed Business Combination Agreement dated January 21, 2026, between Spring Valley Acquisition Corp. III (SVAC), General Fusion Inc., and NewCo, involving SVAC's continuance to British Columbia, amalgamation, and name change to General Fusion Group Ltd. The included CBC Ideas transcript features General Fusion CEO Greg Twinney and SVP Mike Donaldson discussing advancements in magnetized target fusion (MTF) technology, including a March 2025 Canadian breakthrough achieving plasma energy confinement for more than 10 milliseconds and the LM26 machine operating at 50% power plant scale to demonstrate fusion conditions. Executives target a first-of-a-kind power plant in the mid-2030s, emphasizing their approach's solutions to neutron damage, fuel breeding, energy extraction, and cost competitiveness amid global fusion investments like the UK's $4.5 billion CAD over five years.

• ·General Fusion founded in 2002.
• ·Canadian breakthrough in plasma energy confinement achieved in March 2025 at Richmond facility.
• ·LM26 first plasma achieved in 2025.

13-04-2026

Veea Inc. failed to regain compliance with Nasdaq Global Market listing rules, including the Minimum Bid Price Requirement ($1.00/share), MVPHS Requirement ($15M), and MVLS Requirement ($50M), by the March 30, 2026 deadline. However, Nasdaq approved the transfer of its common stock (VEEA) and warrants (VEEAW) to the Nasdaq Capital Market effective April 9, 2026, with continued trading under the same symbols, and granted a second 180-day extension until September 28, 2026, to meet the Minimum Bid Price Requirement. The company intends to monitor and address the deficiency, potentially via reverse stock split.

• ·Original non-compliance notices issued September 29, 2025.
• ·Initial 180-day compliance period ended March 30, 2026.
• ·Transfer application submitted March 27, 2026; Nasdaq approval on April 7, 2026.
• ·Company is an emerging growth company.
• ·Principal executive offices: 164 E. 83rd Street, New York, NY 10028.

13-04-2026

On April 7, 2026, Brag House Holdings, Inc. held a special meeting of stockholders, approving all seven proposals related to its merger with House of Doge Inc., including adoption of the Merger Agreement (11,028,240 For, 211,096 Against), increases in authorized common stock from 250M to 2B shares, director elections, Nasdaq share issuances including 9M shares to CEO and COO, incentive plan expansion to 100M shares, and Yorkville equity line up to $100M. All proposals passed with overwhelming majorities exceeding 90% For votes in most cases, with no significant opposition impacting outcomes.

• ·Proposal 2: 10,760,011 For, 404,264 Against, 76,028 Abstain
• ·Proposal 3 (reverse stock split): 10,760,396 For, 463,480 Against, 16,427 Abstain
• ·Proposal 4 director elections: For votes ranged 11,000,196 to 11,003,702; Withheld ranged 236,601 to 240,107
• ·Proposal 5 (Nasdaq issuance): 10,851,813 For, 292,369 Against, 96,121 Abstain
• ·Proposal 6 (incentive plan): 10,802,198 For, 357,957 Against, 80,148 Abstain
• ·Proposal 7 (Yorkville): 10,843,634 For, 240,084 Against, 156,585 Abstain
• ·Merger Agreement dated October 12, 2025, with amendments November 26, 2025; February 2, 2026; March 26, 2026

13-04-2026

Virtus Investment Partners, Inc. filed a DEFA14A supplement to its April 7, 2026 proxy statement on April 13, 2026, correcting clerical errors in the Summary Compensation Table for the President's and CEO's fiscal 2024 and 2023 compensation. Corrected figures show Non-Equity Incentive Plan Compensation of $3,000,000 and Total of $6,858,917 for 2024 (vs. $2,800,000 and $6,616,500 for 2023), with All Other Compensation at $17,250 and $16,500, respectively. No other changes to the proxy statement or the May 20, 2026 Annual Meeting agenda.

• ·Original proxy statement filed April 7, 2026
• ·Annual Meeting scheduled for May 20, 2026
• ·Supplement does not reflect events after original proxy date or change meeting matters

13-04-2026

Victory Capital Holdings, Inc. filed an 8-K on April 13, 2026, reporting the issuance of a press release with information on the company's assets under management (AUM) as of March 31, 2026. The press release is incorporated as Exhibit 99.1. No specific AUM figures or period-over-period comparisons are detailed in the filing body.

13-04-2026

Envoy Medical, Inc. filed Amendment No. 1 to its Form 10-K for the fiscal year ended December 31, 2025 (originally filed March 23, 2026), solely to correct a typographical error in the consent of its independent registered public accounting firm, Grant Thornton LLP; no other changes were made. The amendment includes new Sarbanes-Oxley certifications and flags a financial statement error correction. The company, a small business and emerging growth company, reports a public float of $12.7 million and 76,881,110 shares of Class A Common Stock outstanding.

• ·Entity is a Non-accelerated Filer, Small Business (true), and Emerging Growth Company (true).
• ·Trading symbols: COCH (Class A Common Stock) and COCHW (Redeemable Warrants) on NASDAQ.
• ·Document Financial Statement Error Correction [Flag]: true

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

SharonAI Holdings, Inc. filed a Form 8-K under Item 8.01 to correct an erroneous statement in its Form 10-K for the fiscal year ended December 31, 2025, filed on March 31, 2026, which claimed 'NVIDIA is a strategic shareholder in SharonAI.' The company clarifies that NVIDIA Corporation was never a strategic shareholder and holds no equity securities as of April 13, 2026. This correction does not impact the previously reported financial statements.

• ·Form 10-K filed on March 31, 2026 for fiscal year ended December 31, 2025
• ·No other portions of the Form 10-K are being corrected
• ·Registrant is an emerging growth company

13-04-2026

Tivic Health Systems pivoted to a biopharma focus in 2025 by securing exclusive worldwide licenses for Entolimod and Entolasta from Statera Biopharma, assets supported by $140 million in prior capital including $35.6 million in non-dilutive funding, and launched Velocity Bioworks as a CDMO subsidiary in December 2025. However, the company exited its consumer healthtech business, incurring approximately $347,000 in charges during 2025 with $20,000 to $50,000 more expected, and entered a $50.0 million ELOC with Tumim that carries dilution risks for existing shareholders. Reverse stock splits were implemented 1-for-17 in March 2025 and 1-for-100 in 2023 to maintain Nasdaq listing.

• ·FDA granted Fast Track and Orphan Drug designations to Entolimod for Acute Radiation Syndrome (ARS).
• ·Exclusive licensing agreement with Statera executed in February 2025; option for neutropenia indication exercised.
• ·Tumim Purchase Agreement entered February 6, 2026, for up to $50.0M over 24 months, with 97% VWAP pricing option.
• ·Company qualifies as Emerging Growth Company and Smaller Reporting Company, electing reduced disclosure requirements.
• ·Principal executive offices at 1305 E. Houston St., Building 1, Suite 311, San Antonio, Texas 78205.

13-04-2026

IFP Advisors, Inc., a Florida-based investment advisor, filed its 13F-HR on April 13, 2026, reporting holdings as of March 31, 2026, across 5,032 positions with a total market value of $4,822,613,853,000. Top holdings include Amazon.com Inc at $68,910,920,000, Alphabet Inc (Class A) at $62,998,759,000, and Alphabet Inc (Class C) at $47,669,971,000, all held with sole discretionary voting power. No prior period data or changes are disclosed in this filing.

• ·Report period end date: March 31, 2026
• ·Filing date: April 13, 2026
• ·All reported positions held with sole voting power and no shared or other voting power
• ·SEC file number: 028-17164
• ·Business address: 3030 North Rocky Point Drive W. Ste 700, Tampa, FL 33607

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

FWG Holdings, LLC (formerly Fortress Wealth Group, LLC) filed its 13F-HR on April 13, 2026, disclosing equity holdings as of March 31, 2026, across approximately 138 positions in U.S. stocks, ETFs, and other securities. The portfolio shows significant allocations to broad market index ETFs such as Vanguard Growth ETF (value 24812622), Vanguard Value ETF (24565011), and Invesco QQQ Trust (16886925), alongside individual names like NVIDIA Corporation (6493007) and Apple Inc (4182306). No prior period data is provided in the filing for comparison.

• ·Filing period end date: March 31, 2026
• ·SEC file number: 028-21336
• ·Company address: 1099 W Morse Blvd, Winter Park, FL 32789

13-04-2026

Freenome Holdings, Inc. filed a Rule 425 communication regarding the proposed business combination with Perceptive Capital Solutions Corp (PCSC), a SPAC, following a LinkedIn post by industry commentator Alex Dickinson after discussions with Freenome’s Chief Commercial Officer Robert Guigley. PCSC plans to file a Form S-4 registration statement including proxy statements for shareholder approval, with definitive documents to be mailed post-effectiveness. The filing emphasizes extensive risks, forward-looking statement disclaimers, and urges reading future SEC documents for details on the transaction.

• ·PCSC Commission File No. 001-42126
• ·PCSC address: 51 Astor Place, 10th Floor, New York, New York 10003
• ·References PCSC’s Quarterly Report on Form 10-Q for quarter ended September 30, 2025, and Annual Report on Form 10-K for year ended December 31, 2024

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

Envirotech Vehicles, Inc. reported sales of $5,939,008 for the year ended December 31, 2025, a 218% increase from $1,870,060 in 2024, driven by growth in zero-emission EVs. However, the company anticipates increased operating expenses from investments in R&D, sales, marketing, and new products like drone systems, which will adversely affect near-term results. Key risks include demand volatility, economic challenges, dependence on CEO, Nasdaq compliance issues, and acquisition integration difficulties.

• ·Long and unpredictable sales cycle may hinder revenue projection.
• ·Management team's limited public company experience.
• ·Risk of Nasdaq delisting due to compliance deficiencies.
• ·Potential disruption from acquisitions and expansion into AI infrastructure.