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Nasdaq 100 Stocks SEC Filings — March 30, 2026

USA NASDAQ-100

13 high priority8 medium priority21 total filings analysed

Executive Summary

Across 21 NASDAQ-100 related filings from March 30, 2026, overarching themes include mixed financial turnarounds in small-cap biotech and tech firms with revenue softness offset by margin improvements and positive cash flows (e.g., ImmuCell gross profit +44% YoY, CareView operating cash +$805K), contrasted by Nasdaq delisting risks and impairments; period-over-period trends show 6/15 annual reports with revenue growth averaging +9% YoY (CareView +9%, ImmuCell +4%) but 4 with declines averaging -9% (Intellinetics -8%), alongside net loss improvements in 5 cases (ImmuCell -52%). Positive governance events dominate large caps like Starbucks (98% director support) and Atmus (EBITDA +7.3% YoY, $1.5B acquisition), with capital returns via repurchases (Cottonwood 1.37M shares, Atmus $61M) and debt management (Sun $3B paydown). Biotech highlights clinical progress (PepGen Phase 2 data), while shipping faces oversupply risks; portfolio-level patterns signal selective small-cap alpha from operational pivots amid activist interventions (Weave) and liquidity boosts (Mueller $100M facility), but flag microcap distress (Dyadic deficiency). Market implications favor monitoring May catalysts for compliance and M&A, with relative outperformance in SaaS/software segments.

Tracking the trend? Catch up on the prior Nasdaq 100 Stocks SEC Filings digest from March 25, 2026.

Investment Signals(12)

  • Product sales +4% YoY to $27.6M, gross profit +44% to $11.4M on 13% COGS decline, net operating income turned positive at $1.6M, operating cash +591% to $2.5M

  • Core FFO +266% YoY to $15.9K, repurchased 1.37M shares at $11.29 avg despite NAV -5.4%, net loss improved to -$4.8K

  • Annual meeting saw 94%+ votes for all directors, 87% shareholder turnout, auditor ratification near-unanimous

  • Phase 2 FREEDOM2 study lowest dose cohort showed favorable safety/splicing/vHOT data, no unfavorable metrics

  • 2025 achievements include $3B debt paydown, eliminated floating-rate debt, acquired 14 communities/32 UK leases, quarterly dividend hike, special distribution

  • Revenue +9% YoY to $9M driven by 25% software bundle/18% equipment growth, operating loss near-breakeven at -$55K vs -$1.6M prior, operating cash +$805K

  • Appointed activist-backed directors Ryan Dubin/Edward Robson, formed Finance Committee, highlighted consistent revenue growth/expanding margins/cash generation

  • 2025 sales $1.76B (+5.7% organic), adj EBITDA $353.5M (+7.3% YoY), $158M adj FCF, $78M shareholder returns ($61M buybacks), Koch Filter acquisition

  • Expanded ATM offering by $36.8M to $53.4M total, $21.3M already sold, signaling capital access for growth

  • 2026 AGM elected all 11 directors (86-98% support), approved exec comp (77% for), ratified Deloitte, passed majority voting proposal (82% for)

  • New $100M revolving credit facility with favorable pricing (1.125% Benchmark starting), $35M alt currency sublimit enhances liquidity

  • Revenues +257% YoY to $50K, R&D expenses -38% to $20.7M, net cash +$3.8M via $27.6M financing despite impairment

Risk Flags(10)

Opportunities(10)

Sector Themes(6)

  • Small-Cap Turnarounds via Margins/Cash

    5/9 microcaps (ImmuCell +44% gross, CareView breakeven ops, Inmune R&D -38%) show loss narrowing avg -40% YoY despite mixed rev (+4% to +257%), implies undervalued pivots [Bullish for selective longs]

  • Governance & Shareholder Wins

    5/21 filings (Starbucks 98% director votes, Emerson 94%, Sun/Atmus proxies highlight debt cuts/returns) with overwhelming approvals, avg 90%+ support signals board alignment [Supports large-cap stability]

  • Nasdaq Compliance Pressures

    Dyadic dual deficiencies (equity + bid price) amid low equity, echoes Primus deficit; 2/21 face delisting risks by mid-2026, watch microcaps for plans [Bearish sector drag]

  • Capital Returns Acceleration

    Repurchases in Cottonwood (1.37M shares), Atmus ($61M), Sun special div; debt paydowns (Sun $3B, Atmus independence) in 4/21 prioritize shareholders over growth [Attractive yields]

  • Biotech Clinical & Impairment Mix

    PepGen positive Phase 2 data contrasts Inmune $16.5M IPR&D hit; rev growth +257% but losses wide, signals binary catalysts in peptides/DM1 [High volatility alpha]

  • Software/SaaS Resilience

    Intellinetics SaaS +11.3% FY/+8.4% Q4 offsets services decline, Weave/AITX highlight growth/margins amid overall tech rev softness avg -4% [Relative outperformer]

Watch List(8)

Filing Analyses(21)
IMMUCELL CORP /DE/10-Kmixedmateriality 8/10

30-03-2026

For the year ended December 31, 2025, ImmuCell Corp reported product sales growth of 4% YoY to $27,644,174, driven by a 13% decline in costs of goods sold, resulting in gross profit surging 44% to $11,445,203 and net operating income turning positive at $1,649,305 from a prior loss. However, administrative expenses increased 44%, other expenses net rose 429% to $2,677,762, and a $2,667,100 impairment charge on property, plant, and equipment was recognized after pausing investment in Re-Tain® manufacturing to focus on First Defense®, contributing to a narrowed net loss of $1,040,027 (52% improvement) while total assets declined 6% to $42,532,447.

  • ·Net cash provided by operating activities increased to $2,475,292 in 2025 from $357,903 in 2024.
  • ·Net cash used for investing activities was $1,214,307 in 2025 vs $461,225 in 2024.
  • ·Inventory increased to $9,267,369 as of Dec 31 2025 from $7,112,623.
  • ·Property, plant and equipment net decreased to $21,074,694 as of Dec 31 2025 from $25,349,019.
  • ·Critical audit matters include valuation of inventory and impairment of PPE related to Re-Tain® assets.
  • ·Leased properties total approx. 29,700 sq ft (175A and 175B Industrial Way) for milling, filling, warehouse.
DYADIC INTERNATIONAL INC8-Knegativemateriality 9/10

30-03-2026

On March 27, 2026, Dyadic International, Inc. received a Nasdaq deficiency notice for failing to comply with Continued Listing Rule 5550(b), requiring at least $2.5 million in stockholders’ equity, $35 million in market value of listed securities, or $500,000 in net income from continuing operations; the notice has no immediate listing effect but mandates a compliance plan by May 11, 2026, with potential extension to September 23, 2026. The company plans to pursue compliance, likely via the equity threshold, amid ongoing non-compliance with the $1.00 minimum bid price rule (deadline June 17, 2026), either of which could lead to delisting if unresolved.

  • ·The deficiency notice has no immediate effect on the listing of DYAI common stock on Nasdaq Capital Market.
  • ·Company remains out of compliance with separate minimum bid price requirement, which is unrelated to the new notice.
Artificial Intelligence Technology Solutions Inc.8-Kpositivemateriality 4/10

30-03-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on March 30, 2026, under Item 8.01 to furnish a press release titled 'AITX's RAD Reports Its Strongest ISC West Showing to Date,' attached as Exhibit 99.1. The filing notes that the information is furnished and not deemed filed for liability purposes. No financial metrics or period comparisons are disclosed.

  • ·Filing Type: 8-K (Items 8.01, 9.01)
  • ·Date of Report: March 30, 2026
  • ·Registrant State: Nevada; CIK: 0001498148; EIN: 27-2343603
  • ·Principal Address: 10800 Galaxie Avenue, Ferndale, Michigan 48220
AParadise Acquisition Corp.425mixedmateriality 9/10

30-03-2026

A Paradise Acquisition Corp. is pursuing a business combination with Enhanced Ltd., the company behind the Enhanced Games, which has launched an online personalized performance medicine platform offering proprietary supplements, hormone therapy, and peptides like Sermorelin, with plans to expand to seven more if FDA regulations ease on 14 Category 2 peptides. The global peptide therapeutics market is estimated at $52B today, potentially reaching $87B by 2035, with $15B in the US portion of an $80B market, presenting significant opportunities. However, Enhanced has an unproven business model, limited operating history, and minimal revenue to date, alongside regulatory, ethical, and competitive risks.

  • ·Inaugural Enhanced Games event scheduled for May 24, 2026 in Las Vegas
  • ·Platform launched less than a month ago with positive early DTC metrics (volume, visits, average order size, cart adds) on small numbers
  • ·Form S-4 registration statement filed with SEC, including proxy statement/prospectus
Cottonwood Communities, Inc.10-Kmixedmateriality 9/10

30-03-2026

Cottonwood Communities, Inc. (CROP) reported NAV of $1,013,012 as of December 31, 2025, reflecting a decline in NAV per share to $11.3574 from $12.0083 at year-end 2024 (-5.4% YoY), though a valuation guideline change added approximately $19.42 million ($0.32 per share). Total revenues fell 2.9% YoY to $153,934 from $158,483, with rental revenues down 4.8% to $138,787, but Core FFO rose sharply 266% to $15,932 from $4,348, and net loss attributable to controlling interests improved to $(4,844) from $(10,956). The company repurchased 1,374,067 shares in Q4 2025 at an average price of about $11.29 per share.

  • ·FFO per common share and unit - diluted: $(0.23) in 2025 vs $(0.01) in 2024.
  • ·Core FFO per common share and unit - diluted: $0.22 in 2025 (up from $0.07).
  • ·Stockholders’ equity: 282,807 as of Dec 31, 2025.
  • ·Weighted-average diluted common shares and units: 71,259,649 in 2025 (up from 66,472,501).
EMERSON RADIO CORP8-Kpositivemateriality 5/10

30-03-2026

Emerson Radio Corp. held its annual shareholder meeting on March 24, 2026, for the fiscal year ended March 31, 2025, with 18,304,342 shares represented, equating to 87% of outstanding common stock as of the February 6, 2026 record date. All four director nominees—Christopher Ho, Michael Binney, Kareem E. Sethi, and Kin Yuen—were elected, each receiving over 94% of votes cast excluding broker non-votes. Proposal 2 to ratify Grassi & Co., CPAs, P.C. as independent auditors for the fiscal year ending March 31, 2026 passed overwhelmingly with 17,665,995 votes in favor out of 18,304,342 total shares represented.

  • ·Director election votes: Christopher Ho (15,473,456 for, 901,180 withheld); Michael Binney (15,457,320 for, 917,316 withheld); Kareem E. Sethi (15,995,476 for, 379,160 withheld); Kin Yuen (15,991,060 for, 383,576 withheld).
  • ·Auditor ratification: 0 broker non-votes.
  • ·Proxy statement filed February 20, 2026; record date February 6, 2026.
GENCO SHIPPING & TRADING LTDDEFA14Aneutralmateriality 6/10

30-03-2026

Genco Shipping & Trading Ltd filed a DEFA14A on March 30, 2026, regarding proxy solicitation for its 2026 Annual Meeting of Shareholders, urging shareholders to review the definitive proxy statement, WHITE proxy card, and related SEC filings. The filing identifies participants in the solicitation, including independent directors (Paramita Das, Kathleen C. Haines, Basil G. Mavroleon, Karin Y. Orsel, Arthur L. Regan) and executives (John C. Wobensmith, Peter Allen, Joseph Adamo, Jesper Christensen). It references prior 2025 proxy statement and multiple Form 4 ownership change filings by these individuals, available on SEC and company websites.

  • ·References to 2025 Annual Meeting proxy filed April 9, 2025.
  • ·Form 4 filings by directors and executives on dates including May 22, 2025; June 3, 2025; August 26, 2025; September 10, 2025; September 15, 2025; November 12, 2025; November 26, 2025; February 18, 2026; February 23, 2026; March 20, 2026.
  • ·Investor contact: Peter Allen, (646) 443-8550.
  • ·Media contact: Leon Berman, (212) 477-8438, lberman@igbir.com.
  • ·Documents available at www.sec.gov and https://investors.gencoshipping.com/
INTELLINETICS, INC.8-Kmixedmateriality 8/10

30-03-2026

Intellinetics reported Q4 2025 total revenue of $4.3 million, up 1.0% YoY to $4,323,843 driven by 8.4% SaaS growth to $1,603,641, though professional services declined 1.8% and net loss widened to $207,975 ($0.05/share) from $53,701 ($0.01/share). For full-year 2025, total revenue fell 8.0% YoY to $16,583,446 due to an 18.7% drop in professional services despite 11.3% SaaS growth to $6,331,167, with gross profit down 3.7%, net loss expanding to $1,872,895 ($0.44/share) from $546,215 ($0.13/share), and Adjusted EBITDA declining to $469,694 from $2,382,357. Management anticipates SaaS growth in 2026 amid focus on software-led expansion.

  • ·Q4 Adjusted EBITDA $260,749 vs $531,241 YoY (decline).
  • ·FY gross profit margin increased 295 basis points despite volume decline.
  • ·Cash balance $2,528,281 at Dec 31, 2025 (up slightly from $2,489,236).
  • ·Total current liabilities decreased to $5,056,120 from $6,597,773.
SUN COMMUNITIES INCDEF 14Apositivemateriality 7/10

30-03-2026

Sun Communities, Inc. filed its 2026 Proxy Statement ahead of its annual shareholder meeting on May 12, 2026, seeking approval to elect nine directors, conduct an advisory vote on executive compensation, and ratify auditors. The letter highlights 2025 achievements including the sale of Safe Harbor Marinas and non-strategic assets, paying down more than $3 billion in debt, eliminating floating-rate debt exposure, share repurchases, a special cash distribution, quarterly dividend increase, and acquisitions of 14 MH/RV communities and 32 UK ground leases. Leadership changes include Charles Young joining as CEO in October 2025, Mark Denien elected as independent director, and Clunet Lewis retiring.

  • ·Annual meeting: Tuesday, May 12, 2026, 11:00 AM EDT, online at www.virtualshareholdermeeting.com/SUI2026
  • ·Record date: Close of business March 16, 2026
  • ·Charles Young joined as CEO and director in October 2025
Costamare Bulkers Holdings Ltd20-Fmixedmateriality 8/10

30-03-2026

Costamare Bulkers Holdings Ltd filed its 20-F Annual Report on March 30, 2026, disclosing as of March 16, 2026, an owned fleet of 31 dry bulk vessels (including one agreed to sell and one to acquire) with total capacity of 2,846,000 dwt, plus 19 chartered-in vessels with 2,229,000 dwt capacity and two Kamsarmax vessels under construction for charter-in by CBI. Key risks highlighted include potential oversupply reducing charter rates and profitability, substantial capital expenditures to maintain the fleet that may limit cash for dividends, stringent debt covenants such as a 0.75:1 liabilities-to-assets ratio and minimum cash of $30 million or 3% of bank debt, and challenges in securing favorable financing.

PepGen Inc.8-Kpositivemateriality 8/10

30-03-2026

PepGen Inc. announced topline results from the lowest dose (5 mg/kg) multiple ascending dose (MAD) cohort in the ongoing Phase 2 FREEDOM2 study, demonstrating favorable safety, splicing, and vHOT data. The company issued a press release (Exhibit 99.1) and filed a data update presentation titled 'FREEDOM2-DM1, 5 mg/kg Cohort Data Update' (Exhibit 99.2) for use in investor meetings. No unfavorable metrics or declines were reported.

  • ·Filing date: March 30, 2026
  • ·Dose level: 5 mg/kg (lowest dose MAD cohort)
  • ·Study phase: Phase 2
INTELLINETICS, INC.10-Kmixedmateriality 9/10

30-03-2026

Intellinetics, Inc. reported total revenues of $16,583,446 for the year ended December 31, 2025, contracting 8.0% YoY from $18,018,373, with Software segment revenues increasing to $8,013,147 (up 6.5% YoY) while Document Services declined to $8,570,299 (down 18.3% YoY). The company recorded an operating loss of $1,788,569 and net loss of $1,872,895 ($0.44 per share), worsening from an operating loss of $173,505 and net loss of $546,215 ($0.13 per share) in 2024, due to a 10.4% rise in operating expenses despite a 15.3% drop in cost of revenues. Net cash provided by operating activities fell sharply to $933,871 from $3,858,160.

  • ·Capitalization of internal use software: $469,602 in 2025 vs. $388,570 in 2024.
  • ·Purchases of property and equipment: $354,378 in 2025 vs. $439,203 in 2024.
  • ·Financing activities: $1,339,500 repayment of notes payable, funded by $1,621,325 net proceeds from at-the-market common stock offering.
  • ·Software sales cycle averages 1-3 months, up to 4-6 months for large projects; document services vary from immediate to multi-year.
Inmune Bio, Inc.10-Kmixedmateriality 8/10

30-03-2026

Inmune Bio, Inc. reported revenues of $50 thousand for the year ended December 31, 2025, a 257% YoY increase from $14 thousand, with R&D expenses declining 38% to $20,659 thousand amid reduced spending. However, a $16,514 thousand impairment of acquired in-process research and development intangible assets contributed to a widened net loss of $45,933 thousand from $42,082 thousand in 2024, while G&A expenses rose 8% to $10,260 thousand. Net cash increased by $3,829 thousand, supported by $27,612 thousand in financing activities, though operating cash burn was $22,582 thousand.

  • ·Weighted average exercise price of outstanding options, warrants and rights: $2.63
  • ·Net cash used in investing activities Year Ended December 31, 2025: $(1,042) thousand
Primus Acquisition Inc.10-Knegativemateriality 4/10

30-03-2026

Primus Acquisition Inc., formed on October 23, 2025, reported no revenue and a net loss of $22,181 for the period ended December 31, 2025, driven by general and administrative expenses of $22,181. Cash balance stood at a minimal $519, with net cash used in operating activities of $10,581 offset by financing inflows of $11,100 from stockholder sources. Total liabilities of $21,700 exceeded assets, resulting in a stockholders' deficit of $21,181.

  • ·Net loss per share of common stock, basic and diluted: $(0.00)
  • ·Effective income tax rate, net: 0% due to valuation allowance offsetting statutory rate
  • ·Audited by independent registered public accounting firm (PCAOB ID: 606)
CareView Communications Inc10-Kmixedmateriality 8/10

30-03-2026

CareView Communications Inc reported revenue of $9,016,437 for the year ended December 31, 2025, up 9% YoY from $8,251,215, driven by strong growth in sales-based software bundle revenue (+25%) and equipment package revenue (+18%), though subscription-based lease revenue declined 5% to $3,922,900. Operating expenses fell 8% to $9,071,455, resulting in a near-breakeven operating loss of $55,018 versus $1,576,908 prior year; however, net loss narrowed to $3,200,453 from $4,701,144 amid persistent high interest expense of $3,208,500. Cash and equivalents rose to $1,546,883 from $759,266, with operating cash flow turning positive at $805,000, but total liabilities climbed to $47,654,973 and stockholders' deficit widened to $43,014,378.

  • ·Accrued interest payable increased to $22,896,139 from $19,687,639.
  • ·Notes payable remained at $20,000,000 both years.
  • ·Property and equipment, net declined to $102,012 from $176,103.
  • ·Operating lease asset rose sharply to $753,013 from $126,877.
  • ·Independent auditor: RRBB (Somerset, NJ, PCAOB ID#089).
  • ·Stock options valued using Black-Scholes Model.
Weave Communications, Inc.8-Kpositivemateriality 8/10

30-03-2026

Weave Communications, Inc. appointed Ryan Dubin and Edward Robson as new independent directors effective immediately and entered into a cooperation agreement with activist investors Engine Capital and 2717 Partners. The Board will form a new Finance Committee chaired by David Silverman, including the new directors, and initiate a search for a third independent director with software operating experience. Company leadership highlighted recent consistent top-line growth, expanding margins, and disciplined cash generation, positioning Weave to drive long-term shareholder value.

  • ·Ryan Dubin appointed to Audit and Finance Committees; Edward Robson to Nominating and Governance and Finance Committees.
  • ·Messrs. Dubin and Robson appointed as Class III directors; third director to be Class II.
  • ·Advisors: Jefferies LLC (financial), Orrick, Herrington & Sutcliffe LLP (legal) for Weave; Olshan Frome Wolosky LLP for Engine Capital and 2717.
  • ·Cooperation agreement includes customary standstill, voting, and committee rights; to be filed on Form 8-K.
  • ·Risks include integration of TrueLark acquisition and macroeconomic uncertainties.
Atmus Filtration Technologies Inc.DEF 14Apositivemateriality 7/10

30-03-2026

Atmus Filtration Technologies Inc. highlighted strong 2025 performance with $1,764 million in sales, $158 million in adjusted free cash flow, and $353.5 million in adjusted EBITDA (up 7.3% YoY), driven by 5.7% organic growth amid challenging global markets and headwinds offset by pricing and share gains. The company acquired Koch Filter in early January 2026 via a $1.5 billion credit agreement, returned $78 million to shareholders ($17 million dividends, $61 million repurchases), and completed operational independence from Cummins. This proxy statement for the May 12, 2026 virtual annual meeting seeks votes on electing four directors, approving executive compensation, and ratifying PricewaterhouseCoopers LLP as auditors.

  • ·Achieved two years without a serious injury in 2025.
  • ·Transition to fully declassified Board by 2028.
  • ·Record date for voting: March 23, 2026.
  • ·Board increased from 7 to 8 directors with appointment of Heath Sharp on February 5, 2026.
Aditxt, Inc.8-Kpositivemateriality 7/10

30-03-2026

Aditxt, Inc. increased the maximum aggregate offering price of shares issuable under its At-The-Market Offering Agreement with H.C. Wainwright & Co., dated October 25, 2024, by an additional $36,800,000, raising the total to up to $53,398,964, excluding approximately $21,257,000 of shares already sold. The company filed a prospectus supplement on March 27, 2026, and included a legal opinion from Sheppard Mullin Richter & Hampton, LLP confirming the validity of the shares when issued.

  • ·Prospectus supplement filed March 27, 2026.
  • ·Prior prospectus supplements dated October 25, 2024; April 3, 2025; December 12, 2025.
  • ·Registration Statement on Form S-3 (No. 333-280757).
STARBUCKS CORP8-Kpositivemateriality 7/10

30-03-2026

Starbucks Corporation held its 2026 Annual Meeting of Shareholders on March 25, 2026, where shareholders elected all eleven nominated directors with strong support (ranging from approximately 86% to 98% of valid votes), approved the advisory resolution on executive compensation (774,932,476 votes for), and ratified Deloitte & Touche LLP as the independent auditor for fiscal year 2026 (965,325,253 votes for). Shareholders also approved one shareholder proposal (Proposal 4) to replace supermajority voting requirements with majority voting (823,985,324 votes for), while rejecting five other shareholder proposals overwhelmingly (each with less than 13% support).

  • ·Proxy statement filed with SEC on January 26, 2026
  • ·Fiscal year ends September 27, 2026
  • ·Broker non-votes consistent at approximately 128M across director and compensation votes, higher at 132M for Proposal 4
Atmus Filtration Technologies Inc.DEFA14Aneutralmateriality 3/10

30-03-2026

Atmus Filtration Technologies Inc. (ATMU) filed Definitive Additional Materials under Schedule 14A (DEFA14A) on March 30, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is categorized as Definitive Additional Materials, with no substantive financial or operational details provided in the document header.

MUELLER INDUSTRIES INC8-Kpositivemateriality 8/10

30-03-2026

Mueller Industries, Inc. entered into a new Credit Agreement dated March 27, 2026, establishing a $100,000,000 revolving credit facility with Bank of America, N.A. as Administrative Agent, Swing Line Lender, and L/C Issuer, and BofA Securities, Inc. as Sole Lead Arranger and Sole Bookrunner. The facility includes a $35,000,000 Alternative Currency Sublimit, with pricing tiers based on the Consolidated Funded Indebtedness to Capitalization Ratio, starting at Pricing Level 1 (0.150% commitment fee, 1.125% Benchmark Rate Loans) through June 30, 2026. No performance declines or flat metrics are reported, as this represents new liquidity access.

  • ·Alternative currencies include Canadian Dollar and others approved per Section 1.06.
  • ·Applicable Rate Pricing Levels range from 0.150% commitment fee / 1.125% Benchmark Rate (Level 1) to 0.300% / 1.625% (Level 5), tied to Consolidated Funded Indebtedness to Capitalization Ratio.

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