S&P 500 Financials Sector SEC Filings — April 03, 2026

03-04-2026

Employees Provident Fund Board filed a 13F-HR report on April 3, 2026, disclosing total holdings of $2,923,831,590 across 45 equity positions as of December 31, 2015. Top holdings include Apple Inc ($252,437,374 for 2,398,227 shares), Wells Fargo & Co New Com ($158,361,389 for 2,913,197 shares), Microsoft Corp Com ($157,300,669 for 2,835,268 shares), Intel Corp Com ($127,463,105 for 3,699,945 shares), and Johnson & Johnson Com ($129,458,427 for 1,260,304 shares). All positions are reported with sole voting authority and no shared or other voting rights.

• ·Report period end date: 12-31-2015
• ·Filing date: 04-03-2026
• ·All 45 holdings reported as SH SOLE (sole voting authority) with 0 shared or other voting authority
• ·SEC file number: 028-26736

03-04-2026

Certara, Inc. filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting of Stockholders on May 14, 2026, at 9:00 a.m. ET virtually. Key proposals include electing three Class III directors (Arjun Bedi, Stephen McLean, Jon Resnick) to serve until the 2029 Annual Meeting, ratifying RSM US LLP as independent auditors for 2026, and an advisory vote approving named executive officer compensation for the most recent fiscal year; the board recommends FOR all items.

• ·Vote deadline: May 13, 2026, 11:59 PM ET via www.ProxyVote.com
• ·Proxy materials available online at www.proxyvote.com; paper copies requestable by April 30, 2026
• ·Filing date: April 03, 2026

03-04-2026

Stereotaxis, Inc. (STXS) filed a DEF 14A proxy statement for its 2026 Annual Meeting of Shareholders on May 14, 2026, at 10:00 a.m. CDT in St. Louis, MO, to elect three Class I directors until the 2029 annual meeting, ratify Ernst & Young LLP as independent auditors for fiscal 2026, and approve executive compensation on a non-binding advisory basis. The record date is March 16, 2026, with 97,477,538 shares of common stock and 21,008 shares of Series A Convertible Preferred Stock outstanding, providing an aggregate of 121,182,983 votes subject to ownership limits. No financial performance metrics or period-over-period changes are detailed in the filing.

• ·Annual Meeting location: 710 North Tucker Boulevard, Suite 110, St. Louis, Missouri 63101.
• ·Voting methods: Internet, telephone, or mail; in-person requires proof of ownership and ID.
• ·Proxy materials available via Notice of Internet Availability sent April 3, 2026; 2025 Form 10-K accessible online.

03-04-2026

Galera Therapeutics, Inc. (GRTX) announced that its Combined 2025 and 2026 Annual Meeting of Stockholders is scheduled for May 8, 2026, more than 60 days after the prior meeting on February 24, 2025. Stockholders must submit director nominations, proposals (excluding Rule 14a-8 inclusions), or universal proxy notices by April 13, 2026, to Secretary Joel Sussman at the principal executive office. Rule 14a-8 proposals for proxy inclusion must also be received by April 13, 2026.

• ·Principal executive office: 101 Lindenwood Drive, Suite 225, Malvern, PA 19355
• ·Common Stock trades as GRTX on OTCQB Market
• ·Previous Annual Meeting: February 24, 2025

03-04-2026

Spruce Power Holding Corporation announced an additional extension of the deadline for shareholders to submit proposals or director nominations for its 2026 annual meeting of stockholders, now due no later than April 30, 2026, at its principal executive office. This follows a prior extension announced on March 26, 2026. Any submissions after April 30, 2026, will be considered untimely and not properly brought before the meeting.

• ·Event date: April 2, 2026
• ·Filing date: April 3, 2026
• ·Principal executive office: 820 Gessner Rd Suite 500, Houston, TX 77024

03-04-2026

EACO Corporation reported record second quarter net sales of $117,836 thousand (17.7% YoY increase) and all-time record quarterly net income of $9,797 thousand (44.9% YoY increase) for the quarter ended February 28, 2026. Sales personnel grew 9.5% to 482 and sales focus teams increased to 122 from the prior year. For the six months ended February 28, 2026, net sales rose to $228,789 thousand (17.9% YoY) and net income increased to $19,117 thousand (40.0% YoY), with operating cash flow turning positive at $890 thousand versus $(1,063) thousand prior year.

• ·Gross margin for Q2: $36,227 thousand (up from $29,508 thousand YoY).
• ·Inventory increased to $91,327 thousand from $83,980 thousand as of Aug 31, 2025.
• ·Shareholders’ equity rose to $174,987 thousand from $155,850 thousand as of Aug 31, 2025.
• ·Net cash provided by operating activities for six months: $890 thousand vs $(1,063) thousand prior year.

03-04-2026

Healthier Choices Management Corp. entered into an unsecured Loan Agreement with Sabby Volatility Warrant Master Fund, Ltd. on March 27, 2026, for general working capital purposes, as disclosed in an 8-K filing on April 3, 2026. The agreement provides for Advances via promissory Notes with a Scheduled Maturity Date of December 31, 2026, potentially extendable. No specific loan amounts, interest rates, or financial metrics are detailed in the provided filing excerpt.

• ·Loan is unsecured (Section 4.1).
• ·Scheduled Maturity Date: December 31, 2026 (potentially extendable per Section 2.4).
• ·SEC 8-K Items: 1.01 (Entry into Material Definitive Agreement), 2.03 (Creation of Direct Financial Obligation), 9.01 (Exhibits).

03-04-2026

BT Brands reported 2025 results showing restaurant-level EBITDA growth of 138% to $1,720,909 from $723,828, with operating loss improving 80% to $(364,585) from $(1,832,308) and net loss narrowing to $(687,839) or $(0.11) per share from $(2,311,208) or $(0.37) per share, despite revenue declining to $13,486,629 from $14,823,472. The company ended the year with $4.4 million in cash and marketable securities but recorded a $216,248 NGI bottled water inventory charge and $520,718 in related party impairments. BT Brands continues advancing its proposed transformational merger with Aero Velocity, Inc., which will distribute restaurant assets to pre-merger shareholders.

• ·Total assets decreased to $10,740,052 from $11,996,797.
• ·Total liabilities decreased to $4,326,664 from $5,031,570.
• ·Weighted average shares: 6,154,724 in 2025 vs 6,194,842 in 2024.
• ·Equity method investment in unconsolidated affiliate written down to $0 from $304,439.

03-04-2026

Lisata Therapeutics, Inc. and Kuva Labs Inc. (Parent), together with its subsidiary Kuva Acquisition Corp. (Purchaser), agreed to extend the commencement date of the tender offer for all outstanding shares of Lisata's common stock from April 3, 2026, to April 13, 2026, under the Merger Agreement dated March 6, 2026. The waiver to the Merger Agreement is attached as Exhibit 99.1. The tender offer has not yet commenced, and Parent and Purchaser will file a Schedule TO with the SEC upon commencement, with Lisata filing a Schedule 14D-9.

• ·Merger Agreement originally dated March 6, 2026.
• ·Tender offer statement on Schedule TO and solicitation/recommendation statement on Schedule 14D-9 to be filed with SEC upon commencement.
• ·Lisata stockholders urged to read tender offer materials carefully when available.

03-04-2026

First Tracks Biotherapeutics, Inc. announced that its Form 10 Registration Statement for the pro rata Spin-Off of its common stock from AnaptysBio, Inc. was declared effective by the SEC on April 1, 2026, with the final Information Statement mailed to AnaptysBio shareholders. The Record Date is April 6, 2026, and the Distribution Date is expected at 12:01 a.m. New York City time on April 20, 2026, after which TRAX common stock will trade 'regular way' on Nasdaq. When-issued trading under TRAXV is expected to begin on April 6, 2026, alongside dual markets for AnaptysBio stock (ANAB regular-way with entitlement and ANABV ex-distribution).

• ·When-issued trading for TRAX common stock under ticker 'TRAXV' expected to begin April 6, 2026, and continue until Distribution Date.
• ·AnaptysBio common stock will have 'regular-way' market under 'ANAB' (with Spin-Off entitlement) and 'ex-distribution' market under 'ANABV'.
• ·One share of First Tracks common stock (par value $0.001) distributed for every one share of AnaptysBio common stock held on Record Date.

03-04-2026

Super League reported Q4 2025 revenue of $3,200,000, its strongest quarter but down 7% YoY from $3,426,000, while full-year revenue fell 30% to $11,342,000 from $16,182,000 amid business transformation. The company achieved a debt-free balance sheet with $14,390,000 in cash (up from $1,310,000), expanded gross margins to 40% from 38%, and improved pro forma cash basis EBITDA by 31% YoY (56% in Q4). However, net losses widened significantly to $10,142,000 in Q4 (from $5,288,000) and $20,717,000 for the full year (from $16,635,000), driven by higher other expenses.

• ·Initiated programs with Regal Cinemas and H&R Block, expanded with Panda Express in Q4 2025.
• ·Pending agreement to acquire Misfits Ads Division, subject to stockholder approval.
• ·Q1 2026 revenue expected to exceed prior-year period.
• ·U.S. digital advertising market size: $316 billion.

03-04-2026

Atlantic International Corp. received default notices from SPP Credit Advisors on March 30, 2026, under the April 2025 Financing Agreement and June 2024 Bridge Loan, alleging covenant breaches, prompting SPP to reserve rights to accelerate obligations, exercise pledges over Lyneer subsidiaries, and replace management. The company disputes the defaults, claiming the debt (less than $50M) was satisfied via SPP's sale of over $77M in shares, and filed a lawsuit on April 1, 2026, seeking an injunction against SPP's actions. COO Mathew Evelt resigned the same day but was terminated for cause after allegedly joining SPP.

• ·SPP default notices dated March 30, 2026, did not demand repayment or include payoff amounts.
• ·Company is an emerging growth company trading as ATLN on Nasdaq Global Market.
• ·Lawsuit filed April 1, 2026, in Supreme Court of New York, County of New York.

03-04-2026

Health Catalyst, Inc. entered into a Transition Agreement with former CEO Daniel Burton on March 31, 2026, following his accelerated retirement from the CEO position on February 12, 2026, as previously reported in a Form 8-K on February 18, 2026. Under the agreement, Burton will serve as a strategic advisor until December 31, 2026, receiving an average monthly base salary of $10,000 starting March 1, 2026, in exchange for forfeiting all unvested restricted stock units eligible for vesting after March 2, 2026, and providing a general release of claims. This arrangement facilitates a smooth transition of his prior responsibilities.

• ·Transition Agreement dated March 31, 2026, attached as Exhibit 10.1
• ·Previous Form 8-K filed February 18, 2026, regarding Burton's retirement notice on February 12, 2026
• ·Strategic advisor role ends December 31, 2026

03-04-2026

Karman Holdings Inc. reported robust FY2025 revenue growth of 36.6% YoY to $471,500 thousand, fueled by strong performance across all segments including Tactical Missiles and Integrated Defense Systems up 48.5%, with backlog expanding to $801,056 thousand. However, operating margin contracted 2.9 percentage points to 15.5% amid a 92.8% surge in G&A expenses to $85,656 thousand, and cash from operating activities swung to a negative $(22,119) thousand from $26,645 thousand prior year. Net income rose 36.7% to $17,366 thousand, though net income margin remained flat at 3.7%.

• ·Adjusted EBITDA increased to $145,302 thousand in FY2025 from $106,144 thousand in FY2024, with margin slightly up to 30.8%.
• ·Total debt to total capitalization ratio improved to 1.52 from 2.25.
• ·Cash and cash equivalents rose to $33,959 thousand as of Dec 31, 2025 from $11,530 thousand.
• ·GAAP EPS was $0.13 in FY2025 vs $0.08 in FY2024; Adjusted EPS $0.37 vs $0.13.

03-04-2026

Generation Income Properties, Inc. reported total revenue of $9,739,942 for FY 2025, slightly down 0.2% YoY from $9,762,636, with rental income up modestly 2.0% to $9,698,991 but offset by sharply lower other income. Net loss widened to $(6,389,000) from $(4,872,888), driven by higher interest expense (+35%) and total expenses up 12.3% to $16,727,857, though building expenses declined 5.4%; Core Adjusted FFO improved to $1,202,089 from $372,920, supported by a $1.94M gain on property sale and cash surge to $6.2M from investing inflows. Stockholders' equity turned to a $(4.2M) deficit from a $5.8M surplus amid rising redeemable non-controlling interests to $32.2M.

• ·Operating cash flow declined to $929,474 from $1,022,362 YoY.
• ·Investing cash inflow of $23,108,724 from property sale vs. $5,773,323 outflow prior year.
• ·Net cash used in financing activities $18,486,821 vs. provided $2,246,453.
• ·Basic & Diluted EPS $(2.00) vs. $(1.64).
• ·Redeemable Non-Controlling Interests increased to $32,187,864 from $26,664,545.

03-04-2026

TCW Direct Lending LLC's total investment income declined 44% YoY to $17,476 for the year ended December 31, 2025 from $31,478 in 2024, driven by sharp drops in interest income (-28%) and paid-in-kind interest (-68%), while net investment income fell 62% to $6,172. Net realized losses widened to $(32,894) from $(9,398); however, unrealized appreciation improved significantly to $5,325 from $(105,977) depreciation, leading to a smaller net decrease in Members’ Capital from operations of $(17,300) versus $(93,456). Net expenses decreased 26% to $11,304 amid lower interest and management fees.

• ·Top 2025 unrealized gain: Animal Supply Company, LLC Term Loan $26,676
• ·Largest 2025 unrealized loss: Pace Industries, Inc. Term Loan $(18,460)
• ·Credit facility average outstanding balance declined to $63,038 in 2025 from $81,582 in 2024
• ·Unfunded commitments rose to $21,737 at Dec 31, 2025, primarily from Overton Chicago Gear, LLC Revolver $16,816

03-04-2026

OSR Holdings, Inc. (OSRH) filed an amendment to its 8-K to provide a corrected binding term sheet dated March 23, 2026, for a global license of VXM01 cancer immunotherapy from its subsidiary Vaximm AG to BCM Europe AG (BCME), OSRH's largest shareholder operating through its fund. OSRH will provide up to $30M development financing to Vaximm, with BCME committing up to $815M in clinical, regulatory, and commercial milestones payable directly to OSRH, and full royalty pass-through after recovery of a 'Negative Milestone Delta' including a 15% preferred return. OSRH retains an equity option to issue up to $15M of common stock to BCME at $10 per share, with a 120-day exclusivity period targeting a definitive agreement by April 30, 2026.

• ·Exclusivity period of 120 days from March 23, 2026, to finalize definitive Global License Agreement, targeting execution by April 30, 2026.
• ·Equity option exercisable at OSRH's discretion no earlier than six months after definitive agreement execution.
• ·Governing law: Switzerland (Canton of Basel); digital asset financing provisions deferred pending regulatory clarity.

03-04-2026

Stone Point Credit Corporation issued and sold 1,267,767.846 shares of common stock on March 31, 2026, for $24,990,239.78, and 495.141 shares on April 1, 2026, for $9,760.22, pursuant to capital drawdown notices under subscription agreements. These sales, totaling approximately $25 million, were exempt from Securities Act registration under Section 4(a)(2) and Regulation D, with no general solicitation and sales limited to accredited investors.

• ·Sales made pursuant to subscription agreements requiring investors to fund drawdowns up to their capital commitments with at least 10 business days' prior notice.
• ·Company relied on investor representations as accredited investors under Regulation D.
• ·Registrant is an emerging growth company.

03-04-2026

European Wax Center, Inc. (EWCZ) has issued a proxy statement (DEFM14A) for a special stockholder meeting on May 7, 2026, to approve a Merger Agreement dated February 9, 2026, with Glow Midco, LLC and its subsidiaries, affiliates of General Atlantic, L.P., which holds approximately 42% of the company's voting power, in a going-private transaction involving a corporate merger and an LLC merger with EWC Ventures, LLC. The board, including CEO Chris Morris, recommends voting FOR the merger proposal and any adjournment, requiring majority approval from all stockholders and disinterested stockholders. No financial performance metrics are detailed in the filing, presenting a neutral strategic transaction without highlighted operational positives or negatives.

• ·Special Meeting: May 7, 2026, at 10:30 A.M. CDT, held virtually at www.virtualshareholdermeeting.com/EWCZ2026SM
• ·Record Date: April 1, 2026
• ·Merger Agreement requires affirmative vote of majority of outstanding shares and majority of disinterested stockholders (excluding General Atlantic affiliates, officers, and certain directors)
• ·Adjournment Proposal requires majority of shares present and entitled to vote

03-04-2026

NCR Atleos Corporation (NATL) has filed definitive additional proxy materials (DEFA14A) for its Annual Meeting of Stockholders on May 21, 2026, at 12:00 PM ET, held virtually via www.proxydocs.com/NATL, for shareholders of record as of March 6, 2026. Key proposals include the election of seven directors (Odilon Almeida, Jr., Mary Ellen Baker, Frank A. Natoli, Duncan L. Niederauer, Timothy C. Oliver, Joseph E. Reece, and Jeffry H. von Gillern), an advisory vote to approve named executive officer compensation, and ratification of PricewaterhouseCoopers LLP as the independent auditor for the fiscal year ending December 31, 2026. The Board of Directors recommends voting FOR all three proposals.

• ·Record date for shareholders: March 6, 2026
• ·Deadline to request paper copies of proxy materials: May 11, 2026
• ·Voting website: www.proxydocs.com/NATL (requires 12-digit control number)
• ·Meeting access: Register at www.proxydocs.com/NATL to attend online

03-04-2026

Ashford Inc. and Ashford Hospitality Advisors LLC notified Braemar Hotels & Resorts Inc. on March 31, 2026, of their election to extend the Fifth Amended and Restated Advisory Agreement (dated April 23, 2018) for an additional successive 10-year term, commencing January 24, 2027, and ending January 24, 2037, on the same terms and conditions. The extension is exercised pursuant to Section 12.2 of the agreement, subject to rights under Section 6.6, with prior Letter Agreements from August 26, 2025, and December 22, 2025, remaining in full force.

• ·Notice delivered via hand delivery and email at least 210 days prior to initial term expiration.
• ·Advisory Agreement initial term expires January 24, 2027.
• ·Extension right allows up to seven successive 10-year terms.

03-04-2026

Valley National Bancorp has filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting of Shareholders, scheduled virtually on May 18, 2026, at 9:00 a.m. ET. Key voting items include the election of 11 director nominees, an advisory vote to approve named executive officer compensation, and ratification of KPMG LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2026, with the Board recommending 'FOR' on all proposals. Shareholders can vote by May 17, 2026, 11:59 PM ET (or May 13 for 401(k) shares) and request proxy materials by May 4, 2026.

• ·Virtual meeting link: www.virtualshareholdermeeting.com/VLY2026
• ·Voting platform: www.ProxyVote.com
• ·Material request methods: www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com (include control number)
• ·Includes reference to 2025 Annual Report to Shareholders

03-04-2026

GE Vernova Inc. (GEV) filed a DEFA14A Definitive Additional Materials proxy statement on April 03, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing was made by the registrant with no fee required. No substantive proxy details, financial data, or voting matters are included in the provided filing header.

03-04-2026

Alta Equipment Group Inc. announced that its Board of Directors declared a dividend of $625 per share on its outstanding 10% Series A Cumulative Perpetual Preferred Stock, with a record date of April 15, 2026, and payment date of April 30, 2026. This dividend equates to $0.625 per Depositary Share (ALTG PRA) traded on the New York Stock Exchange. The press release detailing the announcement is filed as Exhibit 99.1.

03-04-2026

United Homes Group, Inc. entered into the Fifth Amendment to its Wells Fargo Credit Agreement and the Second Amendment to its Kennedy Lewis Credit Agreement on March 31, 2026, waiving Debt Service Coverage Ratio and Leverage Ratio covenant requirements temporarily until the earlier of May 31, 2026 or an unrelated Event of Default, to facilitate its pending merger with Stanley Martin Homes, LLC. These waivers provide short-term relief but are conditional; if the merger fails to close by the May 31 Outside Date, the Company must refinance both facilities and repay obligations in full within 60 days.

• ·WF waiver applies from Fifth Amendment Effective Date (March 31, 2026) until May 31, 2026 or unrelated Event of Default.
• ·KL waiver applies specifically from January 1, 2026 through fiscal quarter ending March 31, 2026.
• ·Exhibits filed: 10.1 (Fifth Amendment to WF Credit Agreement), 10.2 (Second Amendment to KL Credit Agreement).

03-04-2026

Village Farms International, Inc. (VFF) announced a succession plan for Chief Financial Officer Stephen Ruffini, who will transition after 17 years of service to a new role leading M&A activities, remaining as CFO until a permanent replacement is identified. The company highlighted its strong financial position and growth strategy combining organic investments with accretive acquisitions. CEO Michael DeGiglio commended Ruffini's contributions, including NASDAQ uplisting and cannabis expansion.

• ·Hired as CFO in 2009; instrumental in NASDAQ uplisting, debt/equity financings, and cannabis expansion.
• ·Operates EU-GMP certified cannabis facility in Delta, British Columbia, exporting to international medical markets.
• ·Clean Energy division transforms landfill gas into renewable natural gas.

03-04-2026

On March 31, 2026, Aeries Technology, Inc. received formal notice from Nasdaq's Listing Qualifications Staff that its failure to comply with the minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2) will result in delisting of its Class A ordinary shares (AERT) and redeemable warrants (AERTW) unless the company requests a hearing. The company intends to timely request a hearing before the Nasdaq Hearings Panel, which will stay delisting pending the panel's decision and any potential extension. This follows an initial deficiency notice on September 30, 2025, with the grace period expiring on March 30, 2026, and no eligibility for a second grace period due to unmet stockholders’ equity requirements.

• ·Company address: 60 Paya Lebar Road, #08-13 Paya Lebar Square, Singapore 409051
• ·Telephone: (919) 228-6404
• ·Commission File Number: 001-40920
• ·IRS Employer Identification No.: 98-1587626
• ·Nasdaq trading symbols: AERT (Class A ordinary shares), AERTW (redeemable warrants)

03-04-2026

YUM! Brands, Inc. filed its DEF 14A Proxy Statement for the virtual Annual Meeting of Shareholders on May 14, 2026, at 9:00 a.m. CDT, where shareholders will vote on electing 11 directors, ratifying KPMG LLP as independent auditors for the fiscal year ending December 31, 2026, an advisory vote on executive compensation, and a shareholder proposal on the special meeting threshold. The record date for voting is March 18, 2026. No financial performance metrics or period-over-period comparisons are detailed in the provided content.

• ·Annual Meeting held virtually at www.virtualshareholdermeeting.com/YUM2026.
• ·Notice of Internet Availability of Proxy Materials mailed on or about April 3, 2026.
• ·2025 Annual Report on Form 10-K included with proxy statement.

03-04-2026

GD Culture Group Limited held its 2026 annual meeting of stockholders on March 30, 2026, with 30,606,330 shares present or represented by proxy, constituting 50.37% of the 60,759,711 outstanding shares and a quorum. Stockholders elected all five director nominees (Xiao Jian Wang, Zihao Zhao, Lei Zhang, Yun Zhang, and Shuaiheng Zhang) with overwhelming majorities exceeding 99% 'for' votes in each case, ratified GGF CPA LTD as the independent auditor for fiscal years 2025 and 2026, and approved the adjournment proposal if needed. No significant opposition or failures were reported across all proposals.

• ·Proposal 1 votes: Xiao Jian Wang (For: 30,596,679; Against: 9,623; Abstain: 28); Zihao Zhao (For: 30,584,503; Against: 21,798; Abstain: 29); Lei Zhang (For: 30,419,989; Against: 186,312; Abstain: 29); Yun Zhang (For: 30,419,989; Against: 186,312; Abstain: 29); Shuaiheng Zhang (For: 30,402,696; Against: 203,605; Abstain: 29). No broker non-votes.
• ·Proposal 2 (auditor ratification): For 30,423,507; Against 182,153; Abstain 670. No broker non-votes.
• ·Proposal 3 (adjournment): For 30,419,966; Against 183,488; Abstain 2,876. No broker non-votes.
• ·Record date: March 4, 2026. Meeting held at 1:00 p.m. Eastern Time.

03-04-2026

Kalaris Therapeutics, Inc. (KLRS), a clinical-stage biopharmaceutical company, filed an S-3 shelf registration statement on April 3, 2026, to enable future offerings of securities for general corporate purposes including R&D and potential acquisitions. The company is advancing TH103, a novel anti-VEGF fusion protein for retinal diseases, with initial Phase 1a data from December 2025 showing good tolerability and 1-month improvements in neovascular AMD patients versus aflibercept in preclinicals. However, the prospectus emphasizes substantial risks such as clinical delays, funding shortfalls, regulatory hurdles, IP challenges, and competitive pressures that could materially impact operations.

• ·Principal executive offices: 400 Connell Drive, Suite 5500, Berkeley Heights, New Jersey 07922; telephone: (650) 249-2727
• ·Incorporates 10-K for FY ended December 31, 2025 (filed March 17, 2026) and Form 8-A (filed July 27, 2020, amended July 29, 2020)

03-04-2026

InMed Pharmaceuticals Inc. filed a prospectus supplement on April 3, 2026, under its shelf registration statement on Form S-3 (File No. 333-294503, effective March 30, 2026), enabling sales of common shares pursuant to the At The Market Offering Agreement with H.C. Wainwright & Co., LLC (dated April 7, 2022, amended June 27, 2024) for an aggregate value of up to $1,213,648. A legal opinion from Norton Rose Fulbright Canada LLP affirming the validity of the shares is included as Exhibit 5.1. No sales have been reported at this time.

• ·Prospectus supplement dated April 2, 2026
• ·Sales Agreement originally dated April 7, 2022, amended June 27, 2024
• ·Form S-3 filed March 20, 2026, declared effective March 30, 2026

03-04-2026

On April 2, 2026, the Board of Forum Markets, Incorporated (formerly ETHZilla Corp) approved equity awards under the 2025 Omnibus Incentive Plan to CEO and Chairman McAndrew Rudisill and CFO John Saunders to aid retention and align interests with shareholders. Rudisill received a one-time initial award with a grant date value of $4,285,500 (two times the anticipated annual award of $2,142,750) and a pro-rated 2025 award of $898,194, while Saunders received an award valued at $750,000. Each award comprises 60% performance stock units (PSUs) vesting on share price hurdles of $5.00, $7.50, and $10.00, and 40% restricted stock units (RSUs) vesting over three years from August 1, 2025.

• ·A prior grant of 136,500 shares of restricted common stock to McAndrew Rudisill on November 12, 2025, was rescinded by the Board on December 1, 2025, with his approval.
• ·PSUs vest in one-third tranches upon share price hurdles of $5.00 (min 1-year service), $7.50 (min 2-year), $10.00 (min 3-year), achieved if closing price met for 30 trading days in any 60-day period within 5 years; unachieved PSUs forfeit.
• ·RSUs vest in one-third installments on the first, second, and third anniversaries of August 1, 2025, subject to continued employment.
• ·Awards include accelerated vesting provisions on termination without Cause pre-Change in Control or post-Change in Control termination without Cause or for Good Reason.

03-04-2026

Prosperity Bancshares Inc filed an S-4 registration statement for its merger with Stellar, under which each share of Stellar common stock will convert into $11.36 in cash and 0.3803 shares of Prosperity common stock at a fixed exchange ratio. The document emphasizes significant risks, including fluctuations in Prosperity's stock price affecting merger value, substantial transaction and integration costs, potential regulatory delays or conditions, and challenges in realizing synergies or retaining key employees. These factors could lead to adverse effects on Prosperity's operations, stock price, and failure to achieve expected benefits.

• ·Fixed exchange ratio of 0.3803 shares of Prosperity common stock per Stellar common share.
• ·Waiver of prior approval by the Federal Reserve Bank of Dallas obtained on March 17, 2026.
• ·Pending regulatory approvals from Federal Reserve Board or Federal Reserve Bank of Dallas, FDIC, and Texas Department of Banking.
• ·Excludes dissenting shares, treasury shares, and certain shares held by Stellar or Prosperity from conversion.

03-04-2026

EVgo Inc. filed a DEFA14A Definitive Additional Materials proxy statement on April 03, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing was made by the registrant with no fee required. No specific financial or operational details are provided in the filing header.

03-04-2026

Radian Group Inc. filed an 8-K/A on April 3, 2026, amending its February 12, 2026 8-K to disclose compensation for Daniel Kobell, appointed Senior Executive Vice President and Interim Chief Financial Officer effective February 12, 2026. The Compensation and Human Capital Management Committee approved an annual base salary of $500,000 effective February 21, 2026, eligibility for short-term incentives at 100% of base salary (prorated), and a target long-term equity incentive award of $1,000,000 for 2026.

• ·Compensation arrangements approved on March 30, 2026, by the Compensation and Human Capital Management Committee.
• ·Amounts and targets subject to future review and change.

03-04-2026

Ensysce Biosciences, Inc. announced the resignation of Curtis Rosebraugh from its Board of Directors, effective April 1, 2026; he had served on the Nominating and Corporate Governance Committee. The resignation notice is attached as Exhibit 17. No additional details on reasons or successor were provided in the filing.

• ·Resignation notice dated and effective April 1, 2026; Form 8-K filed April 3, 2026
• ·Common Stock trades as ENSC on Nasdaq

03-04-2026

On March 30, 2026, Fidelity National Information Services, Inc. (FIS) was notified that Board Director Mark Benjamin will not stand for re-election at the 2026 annual meeting of shareholders, a decision not due to any disagreement with the Company's operations, policies, or practices. In connection with his departure, the Board approved reducing its size from ten to nine directors, effective immediately following the 2026 Shareholder Meeting. FIS's CEO Stephanie Ferris thanked Mr. Benjamin for his extraordinary contributions and dedication.

• ·Mr. Benjamin’s decision was not due to any disagreement with the Company on any matters relating to the Company’s operations, policies, or practices.

03-04-2026

Twin Vee PowerCats Co. received a notification letter from Nasdaq on April 2, 2026, stating it no longer meets the $1.00 minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2), based on closing bid prices below $1.00 for 30 consecutive business days from February 18, 2026, to March 31, 2026. Due to a prior 1-for-10 reverse stock split on April 7, 2025, the company is ineligible for a 180-calendar-day compliance period under Nasdaq Listing Rule 5810(c)(3)(A). The company plans to request a hearing by April 9, 2026, to appeal, which would stay delisting pending the Panel's decision, though success is not assured.

• ·Deficiency period: 30 consecutive business days from February 18, 2026, to March 31, 2026
• ·Previous reverse stock split: 1-for-10 effective April 7, 2025
• ·Hearing request deadline: April 9, 2026
• ·Applicable rules: Nasdaq Listing Rule 5550(a)(2) and 5810(c)(3)(A)

03-04-2026

National Bank Holdings Corporation (NBHC) filed its definitive proxy statement (DEF 14A) on April 3, 2026, for the 2026 Annual Meeting of Shareholders on May 7, 2026, at Vista Bank in Dallas, TX, where shareholders will vote on electing 10 directors, ratifying KPMG LLP as independent auditors for 2026, an advisory vote to approve named executive officer compensation, and approving the Amended and Restated 2023 Omnibus Incentive Plan. The record date is March 24, 2026, with 44,692,472 shares of Class A common stock outstanding and 952,463 unvested restricted shares entitled to vote. NBHC has engaged Alliance Advisors as proxy solicitor for approximately $35,000 plus reimbursable costs.

• ·Annual Meeting date and time: May 7, 2026 at 8:30 a.m. Central Time
• ·Meeting location: Vista Bank, a division of NBH Bank, 3225 Martin Luther King Jr. Boulevard, Dallas, TX 75210
• ·Record date for voting eligibility: March 24, 2026

03-04-2026

Safe Pro Group Inc. appointed Jarret Mathews as Chief Operating Officer effective April 1, 2026, with an annual base salary of $200,000, a $50,000 commencement bonus, $1,000 monthly home-office allowance, and eligibility for up to 100% bonus plus equity grants including 20,000 inducement shares and performance options tied to revenue milestones. The company also amended CFO Theresa Carlise's employment agreement effective the same date, increasing her base salary to $225,000, adding a $1,000 monthly automobile allowance, and providing full health insurance coverage or a $2,000 monthly medical allowance. No performance declines or financial metrics were reported.

• ·Jarret Mathews' employment term is initially two years, auto-renewing annually with 30 days' notice of non-renewal.
• ·Mr. Mathews, age 50, previously led Phase Zero Consulting since July 2024 and served in the US Army as Director, Joint Acquisition Task Force from July 2021 to July 2024.
• ·No family relationships or arrangements influencing Mr. Mathews' selection; no material related transactions under Item 404(a).
• ·Exhibits 10.1 (Mathews Employment Agreement) and 10.2 (Carlise Amendment) filed with the 8-K.