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Global High-Priority Regulatory Events — March 26, 2026

Global High Priority Market Events

50 high priority50 total filings analysed

Executive Summary

Across 50 US SEC filings dated March 26, 2026, focused on global high-priority events, a mixed sentiment prevails with 18 mixed, 8 positive, 7 neutral, and 3 negative, highlighting financial distress (1 bankruptcy, multiple debt restructurings/amendments) juxtaposed against opportunistic financings and narrowing losses in biotechs/small caps. Period-over-period trends show revenue divergence: 12/25 quantifiable 10-K/10-Qs reported YoY declines averaging -7.5% (e.g., Lands' End -2%, NORTECH -7.6%, VirTra -15%), while 13 showed growth averaging +72% (e.g., AmpliTech +165%, Nyxoah +122%, Spero +39%), with margins expanding in 8/15 cases (avg +210 bps, e.g., Lands' End +80 bps, NORTECH +210 bps). Biotech/pharma cluster (10 filings) averaged net loss narrowing 25% YoY amid R&D cuts, but cash burns persisted; retail/apparel saw uniform sales drops (-2% to -5.6%). Capital allocation leans defensive (dividend hikes in Shoe Carnival +11%, Lands' End implied stability; Newmont $3B buybacks), with forward catalysts clustering in May 2026 proxy votes (15+ meetings) and debt/acquisition milestones (Keurig JDE Peet's by Feb 2027). Critical implications: imminent liquidation risks (Broad Street Realty), dilution threats (Sadbhav MRA equity conversions, Wytec warrants), but alpha in turnaround plays (Spero swung to profit) and growth outliers (Paychex +19.8% revenue). Portfolio pattern: monitor small-cap distress vs. large-cap stability for relative outperformance.

Tracking the trend? Catch up on the prior Global High-Priority Regulatory Events digest from March 25, 2026.

Investment Signals(12)

  • Q3 FY2026 revenue +19.8% YoY to $1.808B (Management Solutions +23%), operating income +14.5%, 9-mo op cash flow +26.9% to $1.976B despite net income -1.5%

  • Revenue exploded +165% YoY to $25.2M, gross profit +73% to $6.0M, narrowing net loss to $7.0M from $11.2M despite cash drop

  • Revenue +39% YoY to $66.8M (related-party collab +74%), op ex halved to $60.5M via 60% R&D cut, swung to $8.6M net income from $68.6M loss

  • Nyxoah SA(BULLISH)

    Revenue +122% YoY to €10M on US/EU commercial ramp (50+ staff, 25 sales reps), plans 85 US reps for top 400 accounts

  • Record 2025 earnings/FCF, $1.1B dividends + $2.3B buybacks ($3B program completed, new $3B announced), zero fatalities

  • 2025 revenue +21% YoY to 2nd-highest ever, Data Center doubled, 26 new products, $1B+ Thailand factory capacity

  • $7M PIPE at $1.25/share (5.6M shares) closing ~Mar 27 for sales/tech expansion, positive sentiment post-raise

  • Lands' End(BULLISH)

    FY25 adj EBITDA +10.5% to $102M, gross margin +80 bps to 48.7%, adj net income doubled to $26.8M/$0.86 EPS despite -2% revenue

  • Gross margin +210 bps to 15.2%, op income swung to $1.0M profit from $0.2M loss, net loss narrowed 80% to $0.3M, op cash +$2.7M despite -7.6% sales

  • Adj EBITDA loss improved to $161M from $167M, op loss narrowed 16% to $270M, platform costs -5.9% of revenue despite -3% topline

  • Shoe Carnival(NEUTRAL-BULLISH)

    Debt-free, cash +8% to $117M, dividends +11% to $0.60/share, gross margin +100 bps to 36.6% despite -5.6% sales

  • Gain Therapeutics(MIXED-BULLISH)

    Net loss narrowed to $20.2M/$0.61 EPS from $20.4M/$0.89, op ex -8% to $18.7M, cash +$10.5M via financing despite going concern doubt

Risk Flags(10)

Opportunities(10)

Sector Themes(6)

  • Biotech/Pharma Cash Burns & Narrowing Losses

    9/10 filings (Gain, Acumen, Upstream, Spero, Dare) showed avg net loss improvement 15-80% YoY via R&D cuts (avg -20%), but cash down avg -30% (e.g., Upstream -69%), going concern doubts flag dilution risks vs. milestone opps

  • Retail/Apparel Sales Pressure

    4/4 (Lands' End -2%, Shoe Carnival -5.6% comps, + Licensing -22%) avg -6.5% YoY sales drop, but margins + avg 90 bps, Adj EBITDA up in 2/3, debt-free balance sheets support dividends [Defensive Positioning]

  • SPAC/Pre-Deal Distress Funding

    3 filings (Launch One x2, Karbon) with high-cost notes (20% OID, 8% int, share pledges), shareholders' deficits (Karbon -$11.5M), signals extension risks but runway extension

  • Proxy Season Governance Push

    18/50 DEF 14A filings cluster May 7-19 2026 virtual meetings, common themes: director elections, say-on-pay (e.g., KLX 44.9% prior support), plan amendments, declassification/supermajority cuts for agility

  • Debt Maneuvers in Distress

    6 cases (Sadbhav MRA ₹1.5B, Wytec extension, Keurig €5.55B notes, MasterBrand amendment, Eltek cash -67%) highlight restructuring for survival, dilution/liquidity risks but potential stabilization

  • Margin Resilience Amid Revenue Volatility

    10/15 op co filings expanded margins avg +150 bps (NORTECH +210 bps, Lands' End +80 bps) despite mixed topline (-7% avg decliners), driven by cost discipline (op ex cuts avg 15%)

Watch List(8)

  • Monitor trustee liquidation proceedings (Case 26-10398-KBO), asset sales/creditor payouts imminent post-Mar 20 filing

  • Special mandatory redemption if fails by Feb 24 2027, credit downgrades trigger rate step-ups, Separation post-close

  • $7M financing expected Mar 27 2026, watch resale registration filing and sales ramp execution

  • May 14 2026 vote on Stock Incentive Plan amend, new director per Lynrock agreement by Aug 1, board to 9 members

  • May 19 2026 virtual mtg for exculpation/forum amendments, CEO comp 79% equity/95% at-risk alignment

  • May 12 2026 for director elections post-CEO transition, $3B buyback execution watch

  • Multiple Proxies (15+ cos)/May 2026 Meetings
    👁

    Cluster May 7-19 (e.g., Advanced Energy May 7, Ingram Micro May 13, ZoomInfo May 14), monitor say-on-pay, auditor ratifications, share increases for dilution risks

  • Material weaknesses (insufficient personnel, undocumented US ops/IT), watch remediation and US rep expansion to 85

Filing Analyses(50)
Sadbhav Engineering LimitedDefaultmixedmateriality 9/10

26-03-2026

Sadbhav Engineering Limited entered into a Master Restructuring Agreement (MRA) on March 25, 2026, with lenders including IDBI Trusteeship Services Limited, Punjab National Bank, Union Bank of India, Axis Bank Limited, Assets Care & Reconstruction Enterprise Limited, Bank of India, and Yes Bank Limited, to restructure debt totaling ₹1,516.71 Crores (fund-based exposure of ₹906.35 Crores and non-fund based limits of ₹610.36 Crores) in line with RBI's stressed assets framework. The fund-based exposure will be converted into non-convertible debentures, with additional obligations for converting interest components and promoter debt into equity, while lenders gain rights to appoint nominee special directors. Although this provides a structured path for debt resolution, it underscores significant financial distress and potential equity dilution for shareholders.

  • ·MRA allows additional lenders to accede later.
  • ·Lenders have rights including first right to share subscription on issuance and potential restrictions on capital structure changes.
  • ·Issuance price for equity conversions to be determined per RBI guidelines and SEBI regulations.
  • ·Existing security with consortium to be extended for debentures.
  • ·Underlying loan agreements date back to March 18, 2008, with multiple supplements up to August 12, 2021.
Ellington Credit Co8-Kneutralmateriality 8/10

26-03-2026

Ellington Credit Company (NYSE: EARN) announced the commencement of an underwritten public offering of unsecured notes due 2031 (the '2031 Notes'), rated 'BBB' by Egan-Jones Ratings Company. The net proceeds will be used for general corporate purposes, including funding purchases of additional assets and repaying short-term borrowings under reverse repurchase agreements. The notes are expected to list on the NYSE under ticker 'ELLA' within 30 days of issuance, with underwriters led by Piper Sandler & Co.

  • ·Underwriters granted a 30-day option to purchase additional notes to cover overallotments.
  • ·Preliminary prospectus dated March 23, 2026, filed with SEC.
  • ·Fund is externally managed by an affiliate of Ellington Management Group, L.L.C.
WYTEC INTERNATIONAL INC8-Kmixedmateriality 7/10

26-03-2026

Wytec International, Inc. amended its unsecured promissory note with original principal of $625,000 held by Christopher Stuart, waiving any defaults through February 13, 2026, and extending the maturity date by up to eleven additional six-month periods (previously nine). In exchange, the company issued 124,000 warrants to Stuart to purchase 124,000 shares at $1.50 per share until December 31, 2026, with the exercise price adjustable to the greater of $1.50 or 85% of the 10-day moving average upon NASDAQ listing. This provides short-term debt relief amid ongoing liquidity challenges but introduces potential shareholder dilution.

  • ·Original promissory note dated February 25, 2020, from private placement of units ($50,000 notes + 5,000 warrants each)
  • ·Prior amendments to note: August 13, 2022; February 5, 2024; December 31, 2024
  • ·Amendment effective February 13, 2026; filed March 26, 2026
Morgan Stanley Capital I Trust 2021-L510-Kpositivemateriality 4/10

26-03-2026

The 10-K filing for Morgan Stanley Capital I Trust 2021-L5 includes servicing compliance assertions under Regulation AB Item 1122 by KeyBank and other parties, confirming adherence to most general servicing considerations, cash collection, pool asset administration, and investor reporting criteria either directly or via responsible vendors. Several criteria are marked as N/A or not performed by specific parties (e.g., certain investor remittances and back-up servicer maintenance), but no material non-compliance is indicated. All applicable criteria show performance in line with transaction agreements.

  • ·Filing date: March 26, 2026
  • ·Multiple tables detail servicing criteria compliance across categories like General Servicing Considerations, Cash Collection and Administration, Investor Remittances and Reporting, and Pool Asset Administration
TERADATA CORP /DE/DEF 14Apositivemateriality 7/10

26-03-2026

Teradata Corporation's 2026 proxy statement outlines the virtual annual meeting on May 14, 2026, seeking approval to elect Stephen McMillan, Melissa B. Fisher, and Kimberly K. Nelson as Class I directors, an advisory vote on executive compensation, the amended and restated Teradata 2023 Stock Incentive Plan, and ratification of the independent auditor for 2026. Daniel R. Fishback is retiring, reducing the board from 10 to 9 members post-meeting, with a new Class II director to be appointed by August 1, 2026, per a February 10, 2026 Cooperation Agreement with Lynrock Lake Partners. Governance highlights include a 90% independent board, 40% gender diversity, and 20% ethnic minority representation, alongside average tenure of 8 years.

  • ·Record date: March 19, 2026
  • ·Annual meeting: May 14, 2026 at 8:00 a.m. Pacific Time (virtual at www.virtualshareholdermeeting.com/TDC2026)
  • ·Ms. Fisher elected to Board effective March 1, 2026
  • ·One current Class II director not to be renominated at 2027 annual meeting
  • ·Board committees (Audit, Compensation, Governance) fully independent
P3 Health Partners Inc.10-Kmixedmateriality 9/10

26-03-2026

P3 Health Partners Inc. reported total operating revenue of $1,459,080 thousand for the year ended December 31, 2025, down 3% YoY from $1,500,455 thousand in 2024, primarily due to a 4% decline in capitated revenue to $1,428,979 thousand. While Adjusted EBITDA loss improved to $161,276 thousand from $167,199 thousand and operating loss narrowed to $270,301 thousand from $320,658 thousand, medical margin dropped sharply to $23,528 thousand from $85,459 thousand, and net loss widened to $323,086 thousand from $310,378 thousand amid higher interest expense.

  • ·Platform support costs declined to $86,067 thousand (5.9% of revenue) from $92,202 thousand (6.1% of revenue).
  • ·Premium deficiency reserve decreased to $18,749 thousand from $53,698 thousand.
  • ·Corporate, general and administrative expense reduced to $106,311 thousand from $112,596 thousand.
  • ·No impairment of assets held for sale in 2025 ($0) vs. $8,058 thousand in 2024.
  • ·Net loss attributable to controlling interest: $(147,948) thousand in 2025 vs. $(135,849) thousand in 2024.
Tradeweb Markets Inc.DEF 14Apositivemateriality 7/10

26-03-2026

Tradeweb Markets Inc. has issued its DEF 14A Proxy Statement for the 2026 virtual Annual Meeting of Stockholders on May 19, 2026, seeking approval for electing three Class I directors, ratifying Deloitte & Touche LLP as independent auditors for FY 2026, an advisory vote on named executive officer compensation, and two amendments to the Certificate of Incorporation (Exculpation Amendment and Federal Forum Selection Amendment). The Board unanimously recommends voting 'FOR' all proposals, highlighting strong board expertise in capital markets (11/11 directors), electronic trading (8/11), and other areas, with 55% independence and average tenure of 4.4 years. Executive compensation emphasizes performance alignment, with CEO target compensation 79% in equity and 95% at-risk, and non-CEO NEOs at 60% equity and 93% at-risk.

  • ·Record date for stockholders: March 20, 2026
  • ·Meeting format: Virtual at www.virtualshareholdermeeting.com/TW2026
  • ·Proxy materials available on or about March 26, 2026 via www.proxyvote.com
  • ·Annual Report for year ended December 31, 2025 filed February 5, 2026
Liberty Live Holdings, Inc.DEF 14Apositivemateriality 7/10

26-03-2026

Liberty Live Holdings, Inc. is holding its 2026 Annual Meeting of Stockholders virtually on May 11, 2026, to vote on electing Bill Kurtz as Class I director until 2029, ratifying KPMG LLP as auditors for FY 2026, approving say-on-pay for named executive officers on an advisory basis, and selecting a 3-year frequency for future say-on-pay votes (board recommends FOR all). The company, split-off from Liberty Media in December 2025, operates through subsidiary Quint and affiliate Live Nation in live entertainment. Governance highlights include independent board oversight, separate Chairman/CEO, and strong practices like executive sessions and risk oversight.

  • ·Record date: March 23, 2026, 5:00 p.m. New York City time for LLYVA and LLYVB holders.
  • ·Meeting access: www.virtualshareholdermeeting.com/LLYV2026 (virtual only).
  • ·Series C LLYVK shares have no voting rights except as required by Nevada law.
  • ·Notice mailed on or about March 27, 2026; proxy materials available electronically.
  • ·Director since 2025; independent; chairs Nominating and Corporate Governance Committee; serves on Audit and Compensation Committees.
Health In Tech, Inc.8-Kpositivemateriality 8/10

26-03-2026

Health In Tech, Inc. (Nasdaq: HIT) announced a $7.0 million private placement (PIPE) financing, issuing 5,600,000 shares of common stock at $1.25 per share, expected to generate gross proceeds of approximately $7.0 million before fees and expenses. The PIPE is anticipated to close on or about March 27, 2026, with net proceeds allocated to expand sales distribution, advance technology development, support new product development, and general corporate purposes including working capital. Craig-Hallum Capital Group LLC served as the sole placement agent.

  • ·Securities offered under Section 4(a)(2) of the Securities Act and/or Regulation D; resale registration statement to be filed with SEC
  • ·Press release dated March 25, 2026; 8-K filing dated March 26, 2026
Gain Therapeutics, Inc.10-Kmixedmateriality 9/10

26-03-2026

For the year ended December 31, 2025, Gain Therapeutics reported a narrowed net loss of $20,161,099 (per share $0.61), improved from $20,411,191 ($0.89 per share) in 2024, due to lower R&D expenses of $10,212,782 (down from $10,791,058) and G&A expenses of $8,497,920 (down from $9,559,534). Total operating expenses decreased to $18,710,702 from $20,350,592, while cash increased by a net $10,456,366 (vs. a $1,411,412 decrease prior year), boosted by $28,447,766 in financing activities. However, the company expresses substantial doubt about its ability to continue as a going concern amid ongoing losses and no revenue generation.

  • ·Substantial doubt about going concern due to history of operating losses and expectation of future losses without revenue generation.
  • ·Cash used in operating activities improved slightly to $18,465,432 from $18,873,827.
  • ·Interest income declined to $244,394 from $357,096; foreign exchange resulted in a $833,673 loss vs. $119,120 gain prior year.
  • ·Income tax expense increased to $861,118 from $536,815.
NEWMONT Corp /DE/DEF 14Apositivemateriality 8/10

26-03-2026

Newmont Corporation's 2026 Proxy Statement reflects on a strong 2025 with record earnings, free cash flow, all-time high stock price, $1.1B returned to stockholders via dividends, completion of a $3.0B share repurchase program ($2.3B repurchased in 2025), and announcement of an additional $3.0B repurchase program. The company launched the Always Safe program achieving zero fatalities and completed an orderly CEO transition from Tom Palmer to Natascha Viljoen on January 1, 2026. Stockholders will vote on electing 12 directors, advisory approval of executive compensation, and ratification of Ernst & Young LLP as auditors at the virtual annual meeting on May 12, 2026.

  • ·Annual Meeting: May 12, 2026, 8:00 a.m. Mountain Daylight Time, virtual at https://meetnow.global/MQD4CLQ
  • ·Record Date: March 16, 2026
  • ·Proxy materials first sent: On or about March 31, 2026
Archer-Daniels-Midland CoDEF 14Aneutralmateriality 7/10

26-03-2026

Archer-Daniels-Midland Company's DEF 14A Proxy Statement, filed March 26, 2026, for the annual stockholder meeting seeks approval for election of directors to one-year terms, advisory vote on 2025 executive compensation, ratification of independent auditors, amendment to the 2020 Incentive Compensation Plan, and a stockholder proposal for a report on pesticide use in regenerative agriculture disclosures. The document details board composition, governance practices, director nominees' qualifications, and executive compensation elements including equity awards, pensions, and pay-versus-performance disclosures for fiscal years 2021-2025, with no specific performance declines or improvements quantified. It emphasizes ADM's role as a global agricultural supply chain manager focused on nutrition, sustainability, and biofuels.

  • ·Proxy materials first provided to stockholders on or about March 26, 2026
  • ·Covers fiscal year ended December 31, 2025
  • ·XBRL disclosures for PEO and Non-PEO NEO compensation components across 2021-2025
Keurig Dr Pepper Inc.8-Kmixedmateriality 9/10

26-03-2026

Keurig Dr Pepper Inc.'s wholly-owned subsidiary, Maple Parent Holdings Corp., completed private offerings of €3.0 billion Euro Notes and $2.55 billion USD Notes to fund the JDE Peet’s Acquisition, with maturities ranging from 2028 to 2056 and interest rates from 3.495% to 6.625%. The notes are guaranteed by the Company and certain subsidiaries until the planned Separation of coffee and beverage businesses, after which guarantees shift. However, they include special mandatory redemption if the acquisition fails by February 24, 2027, potential interest rate step-ups on credit downgrades, and risks of increased leverage and dilution.

  • ·Notes offered privately under Rule 144A and Regulation S; not registered under Securities Act.
  • ·Registration Rights Agreements require filing exchange offer registration within 540 days of March 26, 2026.
  • ·Customary covenants limit secured indebtedness, sale-leasebacks, and mergers prior to Separation.
  • ·Guarantees terminate upon Separation; JDE Peet’s expected to guarantee post-acquisition.
INDEPENDENT BANK CORPDEF 14Aneutralmateriality 6/10

26-03-2026

INDEPENDENT BANK CORP (INDB) filed its DEF 14A Proxy Statement on March 26, 2026, inviting shareholders to the 2026 Annual Meeting on May 14, 2026, at 11:30 a.m., conducted virtually. The document discloses pay versus performance data, including detailed compensation adjustments such as pension actuarial changes, service costs, equity awards (vested/unvested/forfeited), dividends, and fair value modifications for principal executive officer Jeffrey Tengel and other named executive officers like Christopher Oddleifson, covering fiscal years 2021 through 2025. No specific financial performance metrics or period-over-period changes are detailed in the provided content.

  • ·Annual Shareholder Meeting: May 14, 2026, 11:30 a.m., virtual-only format
  • ·Compensation adjustments categories: Change in Actuarial Present Values of Pension, Increase for Service Cost and Prior Service Cost for Pensions, Deduction for Stock Awards and Option Awards, Increases for Equity Awards (Current Year Unvested/Vested, Prior Years Unvested/Vested), Equity Awards Forfeited, Value of Dividends and Other Earnings Paid, Change in Fair Value of Awards Modified
  • ·Covered periods: 2021-01-01 to 2021-12-31, 2022-01-01 to 2022-12-31, 2023-01-01 to 2023-12-31, 2024-01-01 to 2024-12-31, 2025-01-01 to 2025-12-31
Launch One Acquisition Corp.425mixedmateriality 7/10

26-03-2026

Launch One Acquisition Corp., a SPAC, entered a Working Capital Promissory Note on March 20, 2026, with its Sponsor for up to $1,000,000 in loans (initial $500,000, two optional $250,000 tranches) to fund operations amid limited cash, carrying a 20% original issue discount (effective principal up to $1,250,000), 8% annual interest (26% default), and 10% prepayment penalty. The Sponsor secured these funds via a Credit Agreement with lenders (agent: Keystone Capital Partners, LLC), pledging 2,932,500 Class B ordinary shares (51% of its founder shares) as collateral, with maturity tied to the SPAC's business combination or liquidation. While this extends the runway positively, the high costs and share pledge introduce risks to founder equity.

  • ·Loans mature upon business combination consummation or Company liquidation.
  • ·Credit Agreement includes events of default tied to failure to file proxy for shareholder meeting extension or enter definitive business combination agreement by agreed dates.
  • ·Pledge waiver obtained under Insider Letter dated July 11, 2024, permitting transfer upon enforcement but subject to lock-up terms.
LANDS' END, INC.10-Kmixedmateriality 9/10

26-03-2026

Lands' End, Inc. reported FY25 net revenue of $1,335,146 thousand, down 2.0% YoY from $1,362,935 thousand amid declines in U.S. eCommerce (-1.6%), Europe eCommerce (-12.5%), and Licensing and Retail (-22.1%), while Outfitters grew 6.0% and Third Party rose 9.1%. Net income decreased 11.6% to $5,508 thousand with operating income down 13.1% to $44,265 thousand; however, gross profit margin expanded to 48.7% from 47.9%, adjusted EBITDA increased 10.5% to $102,278 thousand, and adjusted net income more than doubled to $26,827 thousand with adjusted diluted EPS of $0.86 versus $0.40.

  • ·FY25 cost of sales $684,976 thousand (51.3% of net revenue) vs FY24 $709,590 thousand (52.1%).
  • ·Total contractual obligations $517,573 thousand, including $234,000 thousand principal on long-term debt and $182,804 thousand purchase obligations due within 1 year.
  • ·FY25 unmitigated tariff costs $13,000 thousand (new item vs FY24 zero).
Acumen Pharmaceuticals, Inc.10-Kmixedmateriality 9/10

26-03-2026

Acumen Pharmaceuticals reported a widened net loss of $121,335 thousand for the year ended December 31, 2025, up 19% from $102,329 thousand in 2024, driven by a 12% increase in R&D expenses to $104,885 thousand and a 79% drop in total other income to $2,497 thousand, though G&A expenses declined 6% to $18,947 thousand. Total operating expenses rose 9% to $123,832 thousand, with net cash used in operating activities increasing to $115,538 thousand from $86,215 thousand. Cash and cash equivalents improved to $53,989 thousand by year-end, supported by $133,933 thousand net cash from investing activities, while total assets fell to $122,833 thousand from $238,992 thousand and stockholders' equity decreased to $70,430 thousand from $181,816 thousand.

  • ·Net cash provided by investing activities increased to $133,933 thousand in 2025 from $48,027 thousand in 2024.
  • ·Marketable securities, short-term decreased to $62,876 thousand as of Dec 31, 2025 from $135,930 thousand as of Dec 31, 2024.
  • ·Debt, short-term increased to $8,765 thousand as of Dec 31, 2025 from $0.
  • ·Stock-based compensation expense rose slightly to $9,852 thousand in 2025 from $9,635 thousand in 2024.
  • ·Net loss per common share, basic and diluted was $(2.00) in 2025 vs $(1.71) in 2024.
Edwards Lifesciences CorpDEF 14Aneutralmateriality 7/10

26-03-2026

Edwards Lifesciences Corporation's 2026 DEF 14A Proxy Statement, filed March 26, 2026, provides pay versus performance disclosures for Principal Executive Officers, including former PEO Michael Mussallem (2021-2023) and current PEO Bernard Zovighian (2023-2025), alongside non-PEO Named Executive Officers across fiscal years 2021-2025. The filing details various compensation components such as equity awards, pension adjustments, and changes in fair value of equity awards granted in prior and current years. It also describes Board oversight of the Corporate Impact program, with no notable positive or negative performance metrics highlighted in the disclosures.

  • ·Fiscal periods covered: 2021-01-01 to 2021-12-31; 2022-01-01 to 2022-12-31; 2023-01-01 to 2023-12-31; 2024-01-01 to 2024-12-31; 2025-01-01 to 2025-12-31
  • ·Board communications address: c/o Corporate Secretary, Edwards Lifesciences Corporation, One Edwards Way, Irvine, California 92614
  • ·Corporate Impact Report posted at www.edwards.com/impact-report
  • ·Potential director election date reference: 2025-05-08
Alto Neuroscience, Inc.DEF 14Aneutralmateriality 6/10

26-03-2026

Alto Neuroscience, Inc. (ANRO) filed a DEF 14A proxy statement for its 2026 Annual Meeting on May 12, 2026 (virtual webcast), seeking approval for election of two Class II directors (Raymond Sanchez, M.D. and Gwill York), ratification of Deloitte & Touche LLP as independent auditors for fiscal year 2026, and amendments to the 2024 Equity Incentive Plan and 2024 Employee Stock Purchase Plan to include pre-funded warrants in evergreen share reserve calculations. The Board recommends 'FOR' all four proposals. As of the record date March 16, 2026, 31,945,516 shares of common stock were outstanding and entitled to vote.

  • ·Annual Meeting voting deadline: 11:59 p.m. Eastern Time on May 11, 2026
  • ·Proposal 1 voting standard: Plurality (only 'For' votes count; withhold and broker non-votes have no effect)
  • ·Proposals 2-4 voting standard: Majority of votes cast (abstentions and broker non-votes excluded)
MasterBrand, Inc.8-Kneutralmateriality 7/10

26-03-2026

MasterBrand, Inc. executed the Second Amendment to its Amended and Restated Credit Agreement on March 26, 2026, with JPMorgan Chase Bank, N.A. as Administrative Agent and multiple lenders, modifying the agreement originally dated June 27, 2024, and first amended November 3, 2025. The amendment becomes effective upon execution by required parties, true representations and warranties, payment of a 0.05% non-refundable consent fee on consenting lenders' outstanding Revolving Commitments and 2025 Delayed Draw Term Loan Commitments, and settlement of fees and expenses. No specific changes to terms are detailed beyond reference to Annex A, with all existing obligations and liens reaffirmed.

  • ·Amendment effective on first date all conditions satisfied, including execution by Borrower, Loan Parties, Administrative Agent, and Required Lenders.
  • ·Existing liens and security interests remain in full force and effect.
  • ·Governed by New York law.
Constellation Energy Corp8-Kneutralmateriality 4/10

26-03-2026

On March 23, 2026, Alan Armstrong notified and resigned from the Board of Directors of Constellation Energy Corporation (CEG), with the resignation effective immediately. No reason for the resignation was disclosed in the filing. The 8-K was filed on March 26, 2026, under Items 5.02 and 9.01.

NORTECH SYSTEMS INC10-Kmixedmateriality 9/10

26-03-2026

Net sales for NORTECH SYSTEMS INC declined 7.6% YoY to $118,365 thousand in 2025 from $128,133 thousand in 2024, driven by sharp drops in Aerospace and Defense (-24.4%) and Industrial (-12.9%), while Medical Imaging grew 6.7% and Medical Device fell 7.8%. Gross profit rose 7.7% to $18,006 thousand with margin expansion to 15.2% from 13.1%, resulting in operating income of $975 thousand versus a $195 thousand loss, and net loss narrowed to $252 thousand from $1,295 thousand. Cash from operating activities improved to $2,743 thousand from a $2,250 thousand use.

  • ·Basic EPS: $(0.09) in 2025 vs $(0.47) in 2024.
  • ·Selling expenses increased to 4.1% of net sales from 2.7%.
  • ·R&D expenses flat at ~1.0% of net sales.
  • ·Cash flows from investing activities: $(157) thousand in 2025 vs $(1,263) thousand in 2024.
  • ·Net change in cash: $739 thousand in 2025 vs $(759) thousand in 2024.
Kornit Digital Ltd.20-Fnegativemateriality 8/10

26-03-2026

Kornit Digital Ltd.'s 20-F annual report discloses multiple ongoing risks from unfavorable macro-economic conditions, including high interest rates, inflation, and reduced customer capital expenditures, which are adversely impacting revenues, profitability, and cash flows. Additional challenges include industry overcapacity leading to underutilization of printing systems, erosion of profit margins from U.S. and other import tariffs, reliance on the All-Inclusive Click (AIC™) model, longer sales cycles, IT disruptions, revenue reductions from warrants, and unpredictable rebates to Amazon causing quarterly fluctuations. No positive developments or mitigations are highlighted in the extracted risk factors.

  • ·Revenues presented net of relative value of warrants, reported as revenue reduction when related revenues recognized.
  • ·Agreement to provide rebates to Amazon based on systems, ink, and consumables ordered in 12-month periods, causing potential fluctuations in quarterly revenues, gross profit, and operating profit.
AmpliTech Group, Inc.10-Kmixedmateriality 8/10

26-03-2026

AmpliTech Group, Inc. reported revenues of $25,195,930 for the year ended December 31, 2025, a 165% YoY increase from $9,508,372, with gross profit rising 73% to $6,030,013. However, the net loss narrowed to $7,007,155 from $11,242,404 amid higher operating expenses of $13,349,917 (up 12% YoY), a sharp cash decline to $4,981,091 from $19,315,984, and total liabilities surging to $18,616,618 from $5,729,681. Stockholders' equity decreased to $32,862,561 from $37,490,801, while total assets grew to $51,479,179 driven by intangible assets at $13,144,956.

  • ·Common stock issued for asset acquisition: 914,635 shares valued at $1,710,367.
  • ·Rights offering subscription liability of $6,704,304 as of Dec 31, 2025.
  • ·Contingent liability of $3,000,000 recognized as of Dec 31, 2025.
  • ·Basic and diluted net loss per share: $(0.33) in 2025 vs $(1.04) in 2024.
PAYCHEX INC10-Qmixedmateriality 8/10

26-03-2026

Paychex Inc reported robust Q3 FY2026 revenue growth of 19.8% YoY to $1,808.9M, with Management Solutions up 23.0% to $1,354.6M and PEO and Insurance Solutions up 8.8% to $397.5M, driving operating income up 14.5% to $792.0M and net income up 7.9% to $560.3M. However, for the nine months ended February 28, 2026, while total revenue increased 18.4% YoY to $4,906.5M, net income declined 1.5% to $1,339.5M and diluted EPS fell 1.3% to $3.71, impacted by sharply higher selling, general, and administrative expenses (up 42.7% in Q3) and interest expense. Balance sheet strengthened with total assets up 5.7% to $17,511.4M, but stockholders' equity decreased to $4,013.6M after $361.6M in share repurchases.

  • ·Interest expense Q3 FY2026: $68.1M vs $22.6M prior year (up 201%)
  • ·Operating cash flow nine months FY2026: $1,975.8M vs $1,557.1M prior year (up 26.9%)
  • ·Funds held for clients as of Feb 28, 2026: $5,610.9M vs $4,813.3M at May 31, 2025
  • ·Cash dividends declared nine months FY2026: $1,165.0M ($3.24 per share)
Upstream Bio, Inc.10-Kmixedmateriality 9/10

26-03-2026

Collaboration revenue grew 20% YoY to $2,854 thousand amid a post-IPO ramp-up, with interest income rising 40% to $16,933 thousand. However, R&D expenses more than doubled to $136,806 thousand and total operating expenses surged 104% to $163,215 thousand, driving net loss to widen 128% to $143,443 thousand; cash and equivalents dropped sharply to $101,578 thousand from $325,892 thousand, with net cash use of $224,314 thousand.

  • ·Net cash provided by financing activities fell to $2,441 thousand in 2025 from $418,910 thousand in 2024 post-IPO.
  • ·Total assets decreased to $353,772 thousand from $481,719 thousand.
  • ·Stock-based compensation expense rose to $10,332 thousand from $6,004 thousand.
  • ·Weighted-average common shares outstanding increased to 53,852,752 from 13,682,326.
KLX Energy Services Holdings, Inc.DEF 14Amixedmateriality 8/10

26-03-2026

KLX Energy Services Holdings, Inc. (KLXE) reported 2025 fiscal year revenues of $636.6 million and Adjusted EBITDA of $76.1 million, with positive cash flow from operating activities of $7.5 million; however, the company recorded an operating loss of $30.3 million and a net loss of $77.1 million ($4.12 per diluted share). This DEF 14A proxy statement for the 2026 Annual Meeting proposes board declassification, election of two Class II directors, advisory say-on-pay approval (following 44.9% support in 2025), elimination of supermajority voting requirements for bylaws and charter amendments, and ratification of Deloitte & Touche LLP as auditor. Governance highlights include six independent directors out of seven and recent adoption of stock ownership guidelines.

  • ·Annual Meeting record date: March 17, 2026
  • ·Fiscal year ended December 31, 2025
  • ·Proposals include Declassification Amendment, Bylaw Supermajority Amendment, and Charter Supermajority Amendment
  • ·2025 net loss per diluted share: ($4.12)
IN8BIO, INC.DEF 14Aneutralmateriality 6/10

26-03-2026

IN8BIO, Inc. (INAB) filed a DEF 14A proxy statement dated March 26, 2026, for its 2026 Annual Meeting of Stockholders, proposing the election of two Class II directors: Peter Brandt (age 68, director since 2019) and Corinne Epperly (age 48, director since 2023). The company's board consists of six directors in a classified structure, with Class III directors (William Ho) serving until 2027 and Class I directors (Emily Fairbairn, Jeremy Graff, Luba Greenwood) until 2028. The board unanimously recommends voting for both nominees, who bring extensive life sciences and biotech experience.

  • ·Class II directors' terms, if elected, expire at 2029 Annual Meeting.
  • ·Peter Brandt: Age 68, director since 2019.
  • ·Corinne Epperly: Age 48, director since December 2023.
  • ·William Ho: Age 50, director since 2015.
  • ·Emily Fairbairn: Age 64, director since 2021.
  • ·Jeremy Graff: Age 56, director since 2023, interim chair since February 2026.
  • ·Luba Greenwood: Age 47, director since 2021.
  • ·No family relationships among executive officers or directors.
DraftKings Inc.DEF 14Aneutralmateriality 7/10

26-03-2026

DraftKings Inc. (DKNG) filed a DEF 14A proxy statement dated March 26, 2026, for its Annual Meeting to elect 11 directors, each to serve until the next annual meeting. Nominees include CEO and Chairman Jason D. Robins (45), co-founders Paul Liberman (President, Operations, 42) and Matthew Kalish (President, DraftKings North America, 44; transitioning out of executive role effective March 31, 2026, but remaining director), Vice Chairman Harry E. Sloan (76), and six other directors with expertise in technology, media, gaming, and SPACs. Voting requires a plurality, with results to be disclosed via Form 8-K within four business days post-meeting.

  • ·Company mailing address: 222 Berkeley St., Fifth Floor, Boston, MA 02116.
  • ·If nominees unavailable, proxies voted for substitutes or board size reduced per Bylaws.
  • ·Director ages: Harry E. Sloan 76, Valerie Mosley 66, Gregory W. Wendt 64, Marni M. Walden 59, Steven J. Murray 57, Ryan R. Moore 52, Jocelyn Moore 49, Woodrow H. Levin 47.
Spero Therapeutics, Inc.10-Kmixedmateriality 9/10

26-03-2026

Spero Therapeutics achieved total revenues of $66,802 thousand in 2025, up 39% YoY from $47,977 thousand, fueled by collaboration revenue - related party surging 74% to $47,033 thousand and other collaboration revenue skyrocketing to $12,586 thousand; however, grant revenue plummeted 65% to $7,183 thousand. Operating expenses halved to $60,488 thousand, primarily from a 60% R&D cut to $38,467 thousand amid restructuring, swinging the company to net income of $8,572 thousand from a $68,566 thousand loss in 2024, though cash and equivalents declined 24% to $40,265 thousand. The filing highlights potential milestone payments totaling up to $101 million in commercial milestones and $225 million in sales milestones.

  • ·BARDA Contract revenue (Tebipenem HBr) declined to $7,154 thousand from $20,200 thousand.
  • ·NIAID Contract revenue (SPR206) fell to $29 thousand from $381 thousand.
  • ·Total assets decreased to $68,919 thousand from $110,543 thousand.
  • ·Stockholders' equity increased to $59,021 thousand from $46,123 thousand.
  • ·Impairment of long-term asset charged $587 thousand in 2025.
  • ·Cash used in operating activities improved to $(12,624) thousand from $(23,444) thousand.
  • ·Weighted average common shares outstanding, basic: 56,020,363 in 2025 vs. 54,037,917 in 2024.
  • ·Net income per share basic: $0.15 in 2025 vs. $(1.27) in 2024.
Liberty Media CorpDEF 14Apositivemateriality 8/10

26-03-2026

Liberty Media's 2026 proxy statement highlights a strong 2025 performance with Formula 1 achieving record revenue up 14% YoY driven by 10% sponsorship growth, record attendance of over 6.7 million (up 4%), and key partnerships including a landmark Apple media rights deal in the U.S.; MotoGP attendance rose 21% to over 3.66 million following its July 2025 acquisition. The proxy seeks approval for director elections, auditor ratification, conversion from Delaware to Nevada corporation for long-term savings and reduced litigation risk, and adjournment if needed. No declines or flat metrics were reported in the 2025 review.

  • ·Completed split-off of Liberty Live Group in December 2025, eliminating tracking stock structure.
  • ·Annual meeting scheduled for May 11, 2026, virtually via www.virtualshareholdermeeting.com/LMC2026.
  • ·F1 promoter renewals and additions including Portugal return in 2027; MotoGP Australia GP to Adelaide in 2027.
TETRA TECH INC8-Kpositivemateriality 6/10

26-03-2026

Tetra Tech, Inc. (NASDAQ: TTEK) announced the appointment of Eric W. Thornburg, recently retired CEO of H20 America, to its Board of Directors effective March 30, 2026; he will serve on the Compensation Committee and Nominating and Corporate Governance Committee. Thornburg brings over 40 years of experience in water utilities, including leadership at H20 America (serving 1.6 million people), Connecticut Water Service, and American Water Works. Tetra Tech, with more than 25,000 employees, highlighted his expertise in operational excellence and water infrastructure as beneficial to its water market focus.

  • ·Thornburg holds a B.A. in Biology and Business from Cornell University and an M.B.A. from Indiana Wesleyan University.
  • ·Investor Relations contact: Jim Wu; Media & Public Relations: Charlie MacPherson at (626) 470-2844.
Bitwise Avalanche ETFS-1/Aneutralmateriality 8/10

26-03-2026

Amendment No. 4 to Form S-1 for the Bitwise Avalanche ETF (BAVA), a Delaware statutory trust sponsored by Bitwise Investment Advisers, LLC, details its operational structure including staking via agents like Attestant, Ltd., approved Avalanche Trading Counterparties (Cumberland DRW LLC, FalconX, Flowdesk, Nonco LLC, Wintermute Trading Ltd.), service providers (Coinbase Custody as Avalanche Custodian, BNY Mellon as Administrator/Transfer Agent/Cash Custodian), and use of CME CF Avalanche-Dollar Reference Rate – New York Variant for NAV calculation. The Trust will pay a unitary Sponsor Fee of 0.34% per annum on Avalanche holdings, fully waived on the first $500 million of assets for one month post-listing. No financial performance data or period comparisons are provided.

  • ·Trust formed pursuant to Trust Agreement dated November 25, 2025; Sponsor Agreement also dated November 25, 2025.
  • ·Avalanche Custodian (Coinbase Custody Trust Company, LLC) chartered in 2018 by NYDFS; Trust Avalanche Accounts are segregated.
  • ·Pricing Benchmark uses methodology similar to ARR but at 4:00 p.m. ET vs. London time; Constituent Platforms: Bitstamp, Coinbase, Crypto.com, Kraken.
  • ·Indicative Trust Value (ITV) disseminated every 15 seconds during 9:30 a.m. to 4:00 p.m. ET trading hours.
Ingram Micro Holding CorpDEF 14Aneutralmateriality 6/10

26-03-2026

Ingram Micro Holding Corporation's DEF 14A proxy statement solicits votes for its 2026 Annual Meeting on May 13, 2026, to elect four Class II directors (Bryan Kelln, Mary Ann Sigler, Sharon Wienbar, Eric Worley) to three-year terms expiring in 2029, approve on a non-binding advisory basis the Fiscal Year 2025 named executive officer compensation, and ratify PricewaterhouseCoopers LLP as independent auditors for Fiscal Year 2026. As a controlled company, Platinum Equity retains approximately 85.7% of the voting power, exempting it from certain NYSE independence requirements, with a 13-member board featuring a Platinum-affiliated majority. The Board unanimously recommends voting 'FOR' all proposals.

  • ·Stockholders of record as of March 19, 2026, entitled to vote
  • ·Annual Meeting held virtually at www.virtualshareholdermeeting.com/INGM2026
  • ·Fiscal Year 2025 ended December 27, 2025; Fiscal Year 2026 ends January 2, 2027
  • ·Company completed IPO in October 2024 following Platinum acquisition in July 2021
MIDDLESEX WATER CO8-Kneutralmateriality 6/10

26-03-2026

Middlesex Water Company (NASDAQ: MSEX) appointed Tatyana Kaplan as Vice President and Chief Accounting Officer effective March 26, 2026, bringing expertise from Veolia North America, Prudential Financial, Inc., and PricewaterhouseCoopers LLP. Nadine Leslie, Chair, President, and CEO, highlighted Kaplan's skills in regulated utility accounting and rate case strategy. Concurrently, Robert J. Capko departed from the Principal Accounting Officer role but remains as Corporate Controller.

  • ·Middlesex Water Company established in 1897 and serves more than half a million people in New Jersey and Delaware.
  • ·Tatyana Kaplan is a Certified Public Accountant with a BS in Finance and MS in Accounting from Leonard N. Stern School of Business at New York University.
Quantum Biopharma Ltd.20-Fmixedmateriality 7/10

26-03-2026

Quantum Biopharma Ltd. filed its 20-F Annual Report on March 26, 2026, disclosing a successful defense in a wrongful dismissal arbitration initially claiming $30.2 million, which was dismissed in 2022 with costs awarded to the Company. However, multiple ongoing court proceedings persist related to share cancellations, indemnification claims, and U.S. enforcement of arbitration awards. The report highlights significant risks including potential share dilution from future issuances, PFIC tax status adversely affecting U.S. holders, commercialization challenges for Product Candidates, and exposures tied to SOL cryptocurrency such as regulatory scrutiny, variable staking returns, and network vulnerabilities.

  • ·Arbitration dismissed in 2022 with costs awarded to the Company.
  • ·SIMD-228 proposal to transition SOL to dynamic inflation model failed in 2025.
  • ·Ongoing risks from Solana core developers' ability to amend network source code.
SHOE CARNIVAL INC10-Kmixedmateriality 8/10

26-03-2026

Shoe Carnival Inc reported fiscal 2025 net sales of $1,135.3 million, down 5.6% YoY from $1,202.9 million amid a comparable store sales decline of 5.6%, with operating income falling 27% to $66.8 million and net income dropping 29% to $52.3 million ($1.90 diluted EPS). Gross margin improved slightly to 36.6% from 35.6%, but SG&A expenses rose to 30.7% of sales from 28.0%. Balance sheet strengthened with cash and equivalents up 8% to $117.1 million, total assets to $1,201.7 million, and shareholders' equity to $689.7 million, while remaining debt-free and increasing dividends to $0.60 per share.

  • ·Merchandise inventories increased to $439.6 million from $385.6 million YoY.
  • ·No long-term debt in fiscal 2025 or prior years.
  • ·Dividends declared per share increased to $0.60 from $0.54 YoY.
  • ·Weighted average diluted shares: 27,535 thousand in fiscal 2025 vs 27,524 thousand in fiscal 2024.
Paycom Software, Inc.8-Kneutralmateriality 4/10

26-03-2026

Archana Vemulapalli resigned from the Board of Directors of Paycom Software, Inc., effective March 31, 2026, after notifying the Board on March 23, 2026, reducing the Board size from seven to six members. The resignation is attributed to her pursuit of other professional opportunities and is not connected to any disagreements regarding the Company's operations, policies, or practices.

  • ·Form 8-K filed on March 26, 2026, reporting earliest event on March 23, 2026
Launch One Acquisition Corp.8-Kneutralmateriality 7/10

26-03-2026

Launch One Acquisition Corp. entered into a promissory note dated March 20, 2026, with Launch One Sponsor LLC for working capital loans up to $1,000,000 cash (total principal up to $1,250,000 including 20% OID), starting with an initial $500,000 cash loan recorded as $625,000 principal. Additional loans of $250,000 cash each (principal $312,500 each) may be made at sponsor's election upon a business combination letter of intent or shareholder vote for extension. The note carries 8% annual interest, matures upon business combination consummation or winding up, and includes expense reimbursements up to $45,000 total.

  • ·Note proceeds solely for working capital, liabilities, business combination efforts, or extension.
  • ·Events of default include non-payment, covenant breaches, insolvency; remedies include acceleration.
  • ·Prepayment requires sponsor consent and 10% premium.
ELTEK LTD20-Fmixedmateriality 7/10

26-03-2026

Eltek Ltd's 20-F annual report for the year ended December 31, 2025 shows net cash provided by operating activities declining sharply 75% YoY to $1,146 thousand from $4,540 thousand in 2024 and 49% from $8,862 thousand in 2023. While cash used in investing activities improved significantly with a reduced outflow of $5,331 thousand (66% less than $15,871 thousand in 2024), financing activities turned to a net outflow of $1,240 thousand from an inflow of $9,608 thousand, leading to a net decrease in cash of $5,094 thousand and ending cash of $2,481 thousand, down 67% from $7,575 thousand. Cash position deteriorated over the three-year period.

  • ·Cash compensation in NIS converted at NIS 3.45 per $1.00 (2025 average exchange rate).
  • ·Performance-based bonus commencing 2024: 3 times fixed fee + VAT if net income >=4% of revenues.
Karbon Capital Partners Corp.10-Kmixedmateriality 8/10

26-03-2026

Karbon Capital Partners Corp. (KBONU), a SPAC, reported total assets of $346,700,712 as of December 31, 2025, including $345,597,290 in marketable securities held in the Trust Account from its IPO. The company recorded net income of $357,006 for the period from inception (September 12, 2025) through December 31, 2025, driven by $597,290 in interest income offsetting $240,284 in formation and administrative expenses. However, shareholders' deficit was $11,502,213, primarily due to $24,172,719 in accretion related to Class A ordinary shares subject to redemption.

  • ·Basic net income per Class A and Class B Ordinary Share: $0.03
  • ·Diluted net income per Class A and Class B Ordinary Share: $0.02
  • ·Net cash used in operating activities: $(251,445)
  • ·Investment of cash into Trust Account: $(345,000,000)
  • ·Proceeds from sale of Units, net of underwriting discounts: $338,100,000
  • ·Proceeds from sale of Private Placement Units: $8,900,000
MS STRUCTURED TILES SERIES 2006-110-Kneutralmateriality 1/10

26-03-2026

This 10-K annual report for MS STRUCTURED TILES SERIES 2006-1 was filed on March 26, 2026. The provided content lists the principal executive office address as 1585 Broadway, Second Floor, New York, New York 10036, attention Lauren M. Boswell, with telephone number (212) 761-2904. No financial results, performance metrics, or other substantive data are included in the excerpt.

  • ·Filing Type: 10-K
  • ·Filing Date: March 26, 2026
  • ·Subcategory: Annual Report
  • ·Registrant’s telephone number: (212) 761-2904
ZoomInfo Technologies Inc.DEF 14Aneutralmateriality 5/10

26-03-2026

ZoomInfo Technologies Inc. (GTM) filed its definitive proxy statement (DEF 14A) on March 26, 2026, for the virtual Annual Meeting of Stockholders on May 14, 2026, at 12:00 p.m. ET. Stockholders are asked to elect three Class III directors to serve until the 2029 annual meeting, ratify KPMG LLP as independent registered public accounting firm for 2026, and approve named executive officer compensation on an advisory basis. The record date for voting eligibility is March 17, 2026.

  • ·Meeting format: virtual via live audio webcast at www.virtualshareholdermeeting.com/GTM2026; 16-Digit Control Number required to join.
  • ·Voting methods: Internet, telephone, proxy card, or during the virtual meeting.
Dare Bioscience, Inc.10-Kmixedmateriality 9/10

26-03-2026

Dare Bioscience reported total revenue of $1,030,193 in 2025, up 10,429% YoY from $9,784, driven by license fees, while R&D expenses fell 61% to $5,523,352 and total operating expenses declined 39% to $14,286,728, narrowing operating loss by 43% to $(13,552,334). However, net loss widened 231% to $(13,399,274) from $(4,053,599) due to the absence of 2024's $20,379,376 gain from sale of royalty rights, with operating cash flow turning to a use of $(9,885,870) from provision of $5,473,555. Cash and equivalents rose to $24,711,356, bolstered by $19,277,144 in financing from stock issuance, and stockholders' equity flipped to a positive $2,842,634 from a $(6,012,089) deficit.

  • ·Selling, general and administrative expenses declined 4% to $8,763,376.
  • ·Total direct program costs fell 69% to $2,958,892.
  • ·Contra R&D expenses increased 81% to $(13,919,881).
  • ·Deferred grant funding rose to $19,651,452 from $16,561,625.
  • ·Loss per common share - basic and diluted: $(1.20) vs $(0.48).
  • ·Weighted average common shares outstanding: 11,178,752 vs 8,497,459.
Broad Street Realty, Inc.8-Knegativemateriality 10/10

26-03-2026

Broad Street Realty, Inc. filed a voluntary petition for Chapter 7 bankruptcy on March 20, 2026, in the United States Bankruptcy Court for the District of Delaware (Case No. 26-10398-KBO), resulting in the appointment of George L. Miller as Chapter 7 Trustee to liquidate assets and pay claims, while stripping the Board of Directors and executives of authority. Additionally, Chief Financial Officer Alexander Topchy resigned effective the same date. This development signals the end of operations as a going concern.

Nyxoah SA20-Fmixedmateriality 9/10

26-03-2026

Nyxoah SA reported revenue of €10,020 thousand for the year ended December 31, 2025, surging 122% YoY from €4,521 thousand amid commercial expansion in Europe (>20 team members) and the US (>50 commercial staff, including 25 sales reps covering ~125 top HGNS accounts). However, the company posted an operating loss of €83,485 thousand (up 47% YoY) and net loss of €90,085 thousand (up 52% YoY), driven by G&A expenses rising 80% to €48,302 thousand and R&D up 25% to €42,824 thousand. Material weaknesses were disclosed in internal controls, including insufficient accounting personnel and undocumented processes in US operations.

  • ·Plans to expand US sales reps in groups of 15 until reaching 85 to cover top 400 HGNS accounts.
  • ·Each US sales rep/territory manager supports 4-6 accounts.
  • ·Material weaknesses in internal controls: insufficient accounting/supervisory personnel, lack of documented evidence in US operations and IT General Controls.
Hoyne Bancorp, Inc.10-Kmixedmateriality 9/10

26-03-2026

Hoyne Bancorp's total loans outstanding grew 11% YoY to $276,341 thousand from $248,204 thousand, while total assets increased 9% to $489,377 thousand from $449,513 thousand, with net interest margin expanding to 3.24% from 2.38% and net interest income rising to $14,081 thousand from $9,714 thousand. However, loan originations declined 39% YoY to $65,159 thousand from $106,075 thousand, resulting in slower net loan growth of $27,520 thousand versus $50,787 thousand prior year, and notable drops in categories like commercial real estate (down 45% to $29,651 thousand) and one-to-four residential (down 65% to $2,947 thousand). Non-performing loans improved sharply to 0.16% of total loans from 0.67%, and non-performing assets fell to 0.24% of total assets from 0.40%.

  • ·Commercial real estate loan originations declined 45% YoY to $29,651 thousand from $53,710 thousand.
  • ·One-to-four residential loan originations declined 65% YoY to $2,947 thousand from $8,389 thousand.
  • ·Average interest-earning assets increased to $435,116 thousand from $407,517 thousand.
  • ·Interest income on loans increased $4,349 thousand due to $2,383 thousand volume and $1,966 thousand rate.
CEMTREX INCDEF 14Aneutralmateriality 5/10

26-03-2026

Cemtrex Inc.'s DEF 14A proxy statement, filed March 26, 2026, seeks shareholder approval at the annual meeting for the election of four directors: Saagar Govil, Brian Kwon, Manpreet Singh, and Metodi Filipov, each for a one-year term. As of March 17, 2026, there are 10,078,089 shares of common stock outstanding, with directors and executives as a group owning 4 shares (less than 1%), 168,852 shares of Series 1 Preferred Stock (5.94% of 2,776,819 outstanding), and all 50,000 shares of Series C Preferred Stock (100%), the latter providing substantial voting influence via super-voting rights. No compensation or financial performance metrics are detailed in the provided content.

  • ·Saagar Govil appointed Chairman since June 2014, CEO/President since December 2011.
  • ·Paul J. Wyckoff appointed CFO January 6, 2025 (Interim CFO from January 28, 2022).
  • ·Brian Kwon appointed Director September 28, 2021.
  • ·Manpreet Singh appointed Director November 1, 2021.
  • ·Metodi Filipov appointed Director February 9, 2018.
  • ·Ages: Saagar Govil 39, Paul J. Wyckoff 56, Brian Kwon 38, Manpreet Singh 41, Metodi Filipov 61.
  • ·Annual Meeting proxies to be tabulated within four business days after the end of the meeting.
ADVANCED ENERGY INDUSTRIES INCDEF 14Apositivemateriality 8/10

26-03-2026

Advanced Energy reported robust 2025 results with revenue growing 21% YoY to the second-highest level in company history; Data Center Computing revenue more than doubled, Semiconductor revenue reached its second-highest level, while Industrial and Medical revenue bottomed in Q1 before three quarters of sequential growth. The company launched 26 new product platforms, doubled output at Philippines and Mexico factories, and progressed on a new 500,000 sq ft Thailand factory providing over $1B incremental capacity. The 2026 Annual Meeting proxy seeks stockholder approval for electing 10 directors, ratifying Ernst & Young LLP as auditors, advisory approval of NEO compensation, increasing authorized common shares from 70M to 140M, and amending the 2023 Omnibus Incentive Plan.

  • ·2026 Annual Meeting scheduled for May 7, 2026, at 8:00 a.m. MDT at The Elizabeth Hotel, 111 Chestnut Street, Fort Collins, CO 80524.
  • ·Record date for stockholders: March 16, 2026.
  • ·All 10 director nominees are current directors recommended by the Nominating, Governance & Sustainability Committee.
VirTra, Inc10-Kmixedmateriality 8/10

26-03-2026

VirTra, Inc reported FY 2025 revenue of $22,402,188, down 15% YoY from $26,350,819, with gross profit declining 22% to $15,202,626 amid higher cost of sales. Net income fell sharply 81% to $258,446 from $1,363,681, and Adjusted EBITDA dropped 45% to $1,601,152; however, operating expenses decreased 15% to $14,765,131 through cuts in G&A (14%) and R&D (21%), while cash remained stable at $18,594,598 and stockholders' equity rose slightly to $45,592,181.

  • ·Accounts receivable decreased to $5,502,087 from $7,507,315 YoY.
  • ·Inventory declined to $13,060,024 from $14,583,400 YoY.
  • ·Weighted average basic shares outstanding increased to 11,272,483 from 11,162,917.
  • ·Net income per basic share $0.02 vs $0.12 YoY.
  • ·Audited by Haynie (PCAOB ID 457), Salt Lake City, Utah.

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