S&P 500 Healthcare Sector SEC Filings — March 30, 2026

30-03-2026

Boston Scientific Corporation (BSX) has filed an S-4/A registration statement related to its proposed merger with Penumbra, Inc. (PEN), where a wholly owned subsidiary (Pinehurst Merger Sub, Inc.) will merge with Penumbra, making it a wholly owned subsidiary of BSX, subject to Penumbra stockholder approval at a special meeting on May 6, 2026, HSR Act clearance, and other regulatory approvals. Termination fees include $525M payable by Penumbra to BSX under certain circumstances such as failure to obtain stockholder approval followed by an alternative deal, and a $900M reverse termination fee payable by BSX if regulatory conditions prevent closing despite other conditions being satisfied. Penumbra reported $1.827B in total assets and $1.428B in stockholders' equity as of December 31, 2025.

• ·Merger Agreement signed on January 14, 2026.
• ·Special Meeting for Penumbra stockholders on May 6, 2026 at 10:00 a.m. PT in Alameda, CA; requires majority of outstanding shares for Merger Proposal approval.
• ·Record Date: March 26, 2026; approximately 2.9% of shares owned by Penumbra directors and officers.
• ·Merger not subject to financing condition.

30-03-2026

Unicycive Therapeutics reported full year 2025 financial results with a reduced net loss attributable to common stockholders of $26.6 million ($1.67 per share) compared to $37.8 million ($5.65 per share) in 2024, driven by lower R&D expenses of $9.1 million versus $20.0 million, though G&A expenses rose to $20.4 million from $12.1 million amid commercial launch preparations. As of March 30, 2026, unaudited cash, cash equivalents, and marketable securities totaled $54.9 million, supporting operations into 2027. The FDA accepted the OLC NDA resubmission in January 2026, setting a PDUFA target action date of June 29, 2026.

• ·FDA accepted OLC NDA resubmission in January 2026, supported by three clinical studies, preclinical data, and CMC; no concerns on preclinical, clinical, or safety data from original NDA.
• ·OLC resubmission in December 2025 addressed drug product manufacturing by third-party vendor.
• ·UNI-494 granted orphan drug designation for prevention of Delayed Graft Function in kidney transplant patients; completed Phase 1 dose-ranging safety study.
• ·Stockholders’ equity increased to $30.2 million as of Dec 31, 2025 from $7.4 million as of Dec 31, 2024.

30-03-2026

ProCap Financial, Inc. dismissed MaloneBailey, LLP as its independent auditor and engaged BDO USA, P.C. effective March 27, 2026, with no disagreements but noting a previously disclosed material weakness in internal controls over financial reporting. At its virtual Annual Meeting on the same date, shareholders approved the Merger Proposal (33,172,356 for vs. 15,065,559 against), election of Eric Jackson as Class I director, amendment to the 2025 Equity Incentive Plan, and adjournment proposal, representing approvals amid significant opposition on the merger. The company has 83,422,775 shares of common stock outstanding as of the February 10, 2026 record date.

• ·Audit reports by MaloneBailey for period June 17, 2025 (inception) through December 31, 2025 contained no adverse opinions, qualifications, or modifications.
• ·Material weakness in internal controls: (i) inadequate segregation of duties and effective risk assessment, (ii) insufficient written policies and procedures for GAAP and SEC guidelines.
• ·Proposal No. 3 (Equity Plan Amendment): For 33,103,985; Against 13,867,806; Abstain 1,273,649.
• ·Proposal No. 4 (Adjournment): For 33,711,635; Against 10,745,407; Abstain 3,788,398.
• ·No consultations with BDO prior to engagement regarding accounting or auditing matters.

30-03-2026

Ensysce Biosciences reported Q4 and FY 2025 financial results, with clinical milestones including first patient enrollment in the PF614-301 Phase 3 trial for post-surgical pain and positive FDA feedback supporting the development pathway for PF614-MPAR under Breakthrough Therapy designation. Cash and cash equivalents increased to $4.3 million as of December 31, 2025, from $3.5 million in 2024, while federal grant funding was slightly down FY to $5.1 million from $5.2 million. However, net loss widened to $10.2 million for FY 2025 from $8.0 million in 2024, driven by R&D expenses rising 44% to $10.4 million due to expanded clinical and preclinical programs.

• ·U.S. Patent allowed in December 2025 covering MPAR® technology through 2042.
• ·European Patent Office Notice of Allowance in December 2025 for PF8026.
• ·Cash used in operating activities $7.8M in FY 2025 vs $7.5M in 2024.
• ·G&A expenses flat at $1.1M in Q4 and up slightly to $4.9M FY.
• ·Clinical sites for PF614-301 include CenExel JBR in Salt Lake City, Utah, and CenExcel Atlanta.

30-03-2026

News Corporation disclosed updates to the Australian Securities Exchange (ASX) regarding its ongoing $1 billion stock repurchase program authorizing purchases of Class A (NWSA) and Class B (NWS) common stock, with information attached as Exhibits 99.1 and 99.2. The filing notes daily ASX disclosure requirements for any transactions under the program and includes forward-looking statements about potential repurchases subject to market conditions.

• ·Filing date: March 30, 2026; Earliest event date: March 27, 2026
• ·Securities: Class A Common Stock (NWSA, par value $0.01), Class B Common Stock (NWS, par value $0.01), both on Nasdaq Global Select Market

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

30-03-2026

Gores Holdings X, Inc., a SPAC, completed its IPO in 2025, raising $358,800,000 in proceeds and funding the Trust Account to $367,742,183, with net income of $920,659 driven by $9,511,647 in interest income. However, the company reported an operational net loss of $1,850,155, a $6,637,800 expense from change in fair value of public warrant liabilities, and basic/diluted net loss per share of $(0.76) across all classes due to accretion of temporary equity, resulting in shareholders' deficit widening to $(31,301,532) from $(40,000). Total assets grew significantly to $368,717,492 from $1,184,632, while cash ended at $619,576.

• ·IPO underwriter's discounts and commissions payment: $250,000
• ·Public warrants derivative liability: $8,162,700 as of Dec 31, 2025
• ·Initial classification of warrant liability - public (non-cash): $1,524,900
• ·Notes payable - related party repaid: $231,901 (after $59,000 proceeds)

30-03-2026

CIM Real Estate Finance Trust's total investment portfolio slightly declined 1.6% YoY to $4,686,426 across 294 assets from $4,764,899 across 276 assets, with loans held-for-investment net increasing to $3,454,589 (73.8%) but real estate-related securities net dropping sharply to $169,206 (3.5%) from $345,828 (7.3%). The company achieved a significant turnaround to net income attributable to the Company of $52,356 from a loss of $292,301, supported by lower expenses and real estate NOI growth of 13.9% to $98,940, though total revenues fell 14.0% to $416,004 and distributions decreased to $152,510 from $196,675.

• ·Credit segment revenues declined $85,667 YoY to $304,321.
• ·Current expected credit losses on loans improved to $(297,878) from $(392,136).
• ·Unused borrowing capacity decreased to $52,776 from $91,786.
• ·Weighted-average interest rate for CRE loans: 7.0%; Corporate senior loans: 9.5%.
• ·Same store rental income grew minimally by $421 to $86,333.

30-03-2026

CISO Global serves more than 437 clients across diverse sectors, with penetration of only approximately 20% for multiple services, positioning the company for revenue growth through cross-selling and upselling. However, it incurred significant operating losses during the years ended December 31, 2025 and 2024, has limited cash flow, and faces substantial doubt about its ability to continue as a going concern, with the auditor's opinion including an explanatory paragraph on this matter. The filing highlights strategic strengths like proprietary software and partnerships alongside extensive risk factors including talent shortages, long sales cycles, and competitive pressures.

• ·Dependence on a significant customer for a material portion of revenue and accounts receivable.
• ·Expectation not to pay cash dividends in the foreseeable future.
• ·Industry shortage of qualified compliance and cybersecurity professionals.
• ·Long and unpredictable sales cycles.
• ·Auditor’s opinion on financial statements for year ended December 31, 2025, includes going concern explanatory paragraph.

30-03-2026

GBank Financial Holdings Inc. reported net income of $20.9 million for the year ended December 31, 2025, up 12% from $18.6 million in 2024, with diluted EPS increasing to $1.44 from $1.39 and loan growth of $143.3 million or 18% YoY. However, profitability metrics declined with return on average assets falling to 1.70% from 1.85%, return on average equity dropping to 13.61% from 16.14%, and net interest margin compressing to 4.33% from 4.79%, while non-performing assets rose sharply to $37.4 million or 2.75% of total assets from $14.2 million or 1.26%. Noninterest income surged 56.2% to $25.3 million driven by net interchange fees up 477% and loan servicing up 81%, but noninterest expenses increased 24.4% to $45.1 million.

• ·Average earning assets increased to $1,171.8 million in 2025 from $963.9 million in 2024.
• ·Total interest-bearing deposits grew to $806.1 million average in 2025 from $622.6 million in 2024.
• ·Guaranteed loans totaled $229.7 million as of Dec 31, 2025, slightly down from $233.9 million as of Dec 31, 2024.
• ·Net interest income rose $4.5 million or 9.8% to $50.7 million in 2025.

30-03-2026

Enlight Renewable Energy Ltd. achieved key development milestones for its 1GW CO Bar Complex, including a Large Generator Interconnection Agreement, full construction mobilization for CO Bar 1 and 2, and two 20-year busbar ESAs with Salt River Project for CO Bar 4 and 5. On February 19, 2026, the company issued 6,002,416 ordinary shares in a private placement raising approximately NIS 1,320,531,520 for strategic growth. Additionally, on March 16, 2026, it secured a $304 million, 25-year debt financing commitment at 5.8% interest for the under-construction Crimson Orchard project (120 MW solar, 400 MWh storage), expected to reach COD in 1H27.

• ·CO Bar Complex milestones dated February 2, 2026, following prior PPA and ESA for CO Bar 1-3; all major agreements now obtained.
• ·Private Placement to Israeli institutional investors; net proceeds for strategic growth and balance sheet strengthening.
• ·Crimson Orchard located in Elmore County, Idaho, USA; currently under construction.

30-03-2026

First American Financial Corporation's DEF 14A proxy statement for the May 12, 2026 virtual annual stockholder meeting proposes electing three Class I directors (Mark E. Seaton, Marsha A. Spence, Deborah L. Wahl) for three-year terms, with board size reducing from 11 to 9 due to retirements of James L. Doti and Michael D. McKee. Additional items include advisory approval of executive compensation, amendments to eliminate supermajority voting requirements and declassify the board for annual elections, and ratification of PricewaterhouseCoopers LLP as auditor for fiscal year ending December 31, 2026. Record date is March 16, 2026.

• ·Annual meeting: May 12, 2026 at 1:00 PM Pacific Time, virtual-only via register.proxypush.com/FAF
• ·Mark E. Seaton appointed CEO April 2025 and director April 10, 2025; Deborah L. Wahl appointed director September 10, 2024
• ·Stockholders of record as of March 16, 2026 eligible to vote

30-03-2026

Sight Sciences announced a court order preserving the jury's verdict of willful infringement by Alcon entities on three patents related to the Hydrus Microstent, awarding $34 million in damages plus supplemental damages, interest, and an ongoing 10% royalty on Hydrus revenue through November 10, 2028. However, the final judgment is subject to appeal by Alcon, with no recovery possible until appeals are exhausted, and ongoing USPTO ex parte reexaminations initiated by Alcon in June 2025 could adversely affect collectability if final rulings favor Alcon.

• ·Patents at issue: U.S. Patent Nos. 8,287,482; 9,370,443; and 11,389,328.
• ·Court order entered March 27, 2026 by U.S. District Court for the District of Delaware.
• ·Alcon's prior inter partes review petitions denied by USPTO in March 2023.

30-03-2026

Aura Biosciences reported FY 2025 net loss of $106.2 million, up from $86.9 million in 2024, driven by a 23% YoY increase in R&D expenses to $90.3 million due to Phase 3 CoMpass trial progress, while G&A expenses slightly decreased to $22.5 million. Cash, cash equivalents, and marketable securities stood at $144.2 million as of December 31, 2025, sufficient to fund operations into Q1 2027, down from approximately $151.1 million at year-end 2024. Clinical pipeline advanced with accelerated Phase 3 CoMpass enrollment targeting mid-2026 completion and 2H 2027 topline data, plus upcoming mid-2026 data from NMIBC and other trials.

• ·Q4 2025 net loss of $25.6M slightly improved from $25.8M in Q4 2024.
• ·Total assets decreased to $169.4M as of Dec 31, 2025 from $182.5M as of Dec 31, 2024.
• ·12-month stability achieved for new bel-sar formulation for non-ocular solid tumors.
• ·CoMpass trial under Special Protocol Assessment with FDA; Orphan Drug and Fast Track designations.

30-03-2026

Atmos Energy Corporation extended the maturity of its $1.5 billion senior unsecured Three Year Credit Facility by one year to March 28, 2029, and its $1.5 billion senior unsecured Five Year Credit Facility by one year to March 28, 2031, both effective as of March 27, 2026. These extensions, made pursuant to Section 2.23 of each Revolving Credit Agreement originally entered on March 28, 2024, maintain the company's total revolving credit capacity at $3.0 billion without other reported changes.

• ·Extensions allow for up to two one-year extensions total per facility
• ·Facilities administered by Crédit Agricole as Administrative Agent

30-03-2026

Tri-State Generation and Transmission Association, Inc. disclosed that Wheat Belt Public Power District provided a non-conditional two-year notice of intent to withdraw from membership effective April 1, 2028, pursuant to Rate Schedule No. 281, amid ongoing court proceedings in the Tenth Circuit and D.C. Circuit. Wheat Belt comprised 1.35% of Tri-State’s utility member revenue and 0.89% of operating revenue for the year ended December 31, 2025, representing a minor potential revenue impact if withdrawal proceeds. Tri-State issued a press statement on the matter but cannot predict if Wheat Belt will ultimately withdraw.

• ·Notice provided on March 27, 2026.
• ·Ongoing proceedings at U.S. Court of Appeals for the Tenth Circuit and D.C. Circuit regarding elements of Rate Schedule No. 281.
• ·Press statement attached as Exhibit 99.1.

30-03-2026

Ares Commercial Real Estate Corp (ACRE), as guarantor, along with its subsidiaries ACRC Lender MS LLC and ACRC Lender MS II LLC as sellers, entered into the Eighth Amendment to the Master Repurchase and Securities Contract with Morgan Stanley Bank, N.A. as buyer, dated March 24, 2026. The amendment sets the Facility Amount at $350,000,000, establishes a Preapproved Accordion Amount of $400,000,000 with provisions for further increases subject to conditions, and extends the Initial Facility Termination Date to July 16, 2029. Seller paid an Upsize Fee of $78,082.19, with representations confirming no existing Defaults, Events of Default, or Material Adverse Effects.

• ·Original Repurchase Agreement dated January 16, 2020, with Seller II joinder via Omnibus Amendment dated December 23, 2024.
• ·Effectiveness conditions include executed amendment, payment of Buyer's costs and expenses, Officer's Certificate, good standing certificates, and legal opinions within 10 Business Days.

30-03-2026

Precipio, Inc. (PRPO) filed its 10-K annual report on March 30, 2026, covering the years ended December 31, 2025 and 2024, with consolidated financial statements audited by CBIZ CPAs PC (PCAOB ID #199) and Marcum LLP (PCAOB ID #688). The company anticipates remaining a smaller reporting company until its public float exceeds $250 million or annual revenues exceed $100 million with a public float greater than $700 million. Disclosures highlight risks including limited marketing experience, net operating loss limitations, no dividend payments, and international financial and compliance challenges such as FCPA exposure.

• ·Audited by CBIZ CPAs PC (PCAOB ID #199) and Marcum LLP (PCAOB ID #688)
• ·Includes sections on Cybersecurity (Item 1C), Controls and Procedures (Item 9A), and Disclosure Regarding Foreign Jurisdictions that Prevent Inspections (Item 9C)

30-03-2026

Precision Optics Corporation, Inc. (NASDAQ: POCI) announced on March 26, 2026, the commencement of an underwritten public offering of shares of its common stock (or equivalents), subject to market conditions with no assurance on completion, size, or terms. Lucid Capital Markets is acting as the sole book-running manager. The offering is pursuant to a shelf registration statement on Form S-3 (File No. 333-280047), filed June 7, 2024, amended June 11, 2024, and effective June 14, 2024.

• ·SEC filing date: March 30, 2026
• ·8-K Items: 1.01, 3.02, 8.01, 9.01
• ·Company address: 22 East Broadway, Gardner, Massachusetts 01440-3338
• ·Shelf registration File No.: 333-280047

30-03-2026

On March 24, 2026, the Compensation Committee of Assembly Biosciences, Inc. approved the 2026 Corporate Bonus Plan, effective January 1, 2026, to provide cash bonuses based on corporate and individual performance objectives for eligible employees, including named executive officers. Bonus targets are set at up to 75% of base salary for the CEO, 30%-55% for other executive participants, and up to 28% for non-executive participants, with payouts ranging from 0% to 150% of target and requiring employment through the payment date in the first quarter following the performance period. Separately, CEO Jason A. Okazaki's bonus target was increased from 60% to 65% of his base salary for fiscal year 2026.

• ·Corporate Objectives weighted 100% for CEO, 75% for C-Level/SVP/VP (with 25% individual), 50% for Director-level (50% individual), and 25% for Associate Director and below (75% individual).
• ·Corporate Objectives approved by Board within 90 days of Performance Period start; adjustable for unanticipated events.
• ·Exhibits include full 2026 Corporate Bonus Plan (10.1) and Amendment No. 1 to Okazaki's employment agreement (10.2).

30-03-2026

Wells Fargo Commercial Mortgage Securities, Inc. entered into an underwriting agreement dated March 26, 2026, for the sale of Publicly Offered Certificates with an aggregate initial principal amount of $510,127,000, scheduled for on or about April 21, 2026, as part of Commercial Mortgage Pass-Through Certificates, Series 2026-C66 issued by Wells Fargo Commercial Mortgage Trust 2026-C66. The issuing entity's assets will consist of 29 fixed-rate mortgage loans secured by 49 commercial and/or multifamily properties, acquired from multiple originators including Wells Fargo Bank, Societe Generale Financial Corporation, JPMorgan Chase Bank, and others. Privately Offered Certificates have an aggregate initial principal amount of $76,225,904, to be sold exempt from registration.

• ·Pooling and Servicing Agreement dated and effective as of April 1, 2026
• ·Underwriting Agreement dated March 26, 2026, with underwriters including Wells Fargo Securities, LLC, SG Americas Securities, LLC, J.P. Morgan Securities LLC, and others
• ·Mortgage loans sourced via separate purchase agreements from 10 originators dated March 26, 2026
• ·Certain whole loans governed by Intercreditor Agreements and some by Non-Serviced PSAs, including properties like NOVA Retail 2-Pack, Marriott Anchorage Downtown Hotel, and Sheraton Denver Downtown Hotel

30-03-2026

InPoint Commercial Real Estate Income, Inc. announced cash distributions for all classes of its common stock with a gross amount of $0.1042 per share, payable to stockholders of record as of March 31, 2026, on or about April 17, 2026. Class D shares have a net distribution of $0.1012 after a $0.0030 stockholder servicing fee, while Class T shares have a net of $0.0940 after a $0.0102 fee; other classes (A, I, P) have no fee and net $0.1042 per share. No period-over-period comparisons or performance metrics were provided in the filing.

• ·Filing signed by Catherine L. Lynch, Chief Financial Officer, on March 30, 2026.
• ·Registrant address: 2901 Butterfield Road, Oak Brook, Illinois 60523.
• ·Telephone: (800) 826-8228.
• ·Preferred stock trades as ICR PR A on New York Stock Exchange.

30-03-2026

Pacific Coast Oil Trust announced no cash distribution to unitholders for January 2026 due to ongoing net profits deficits, with the Developed Properties deficit increasing from $11.5 million to $11.8 million despite $182,000 operating income on $2.0 million revenues, while the Remaining Properties deficit improved slightly from $132,000 to $111,000 with $50,000 contribution. Average realized prices rose MoM to $56.41/Boe for Developed (from $52.77) and $53.88/Boe for Remaining (from $45.25), but a $206,000 monthly shortfall persists amid $12.8 million debt to PCEC, escalating ARO deductions, and imminent Trust dissolution triggered by sub-$2.0 million annual proceeds in 2020 and 2021. Ongoing whistleblower litigation against PCEC alleges false data on operations and ARO.

• ·ARO as of Dec 31, 2019: $45,695,643 ($33.2M Developed, $12.5M Remaining; net to Trust $26.5M and $3.1M).
• ·ARO upward adjustments: $5.1M aggregate net to Trust for Developed (through Q3 2021), $288K for Remaining; additional $1.2M in 2021 ($0.4M Developed, $0.8M Remaining; net $0.3M and $0.2M).
• ·June 2023 Cornerstone update: $13.7M upward ARO adjustment as of Dec 31, 2022 for West Pico and Orcutt Hill, plus $1.0M accretion net to Trust through Q3 2023.
• ·Jan 2026 ARO accretion adjustments: $462K ($370K net) Developed, $139K ($35K net) Remaining.
• ·Whistleblower litigation ongoing: Court denied PCEC's motion to dismiss on April 11, 2025; OSHA appeal hearing April 2, 2026.

30-03-2026

NewHydrogen, Inc. reported zero revenue for both FY 2025 and FY 2024, with total operating expenses increasing 57% YoY to $2,847,920 from $1,814,580, driven by rises in selling/marketing (+27%), G&A (+62%), and R&D (+70%), resulting in a net loss widening to $2,846,943 from $1,809,962. Cash and equivalents declined to $1,436,928 from $2,104,521 despite $1,325,807 raised via equity financing, while total assets fell to $1,459,070 from $2,129,685 and shareholders' deficit deepened to $(2,036,029) from $(1,363,603). Operating cash use worsened to $1,993,400 from $1,573,920.

• ·Selling and marketing expenses: $400,946 (FY2025) vs $316,624 (FY2024)
• ·G&A expenses: $1,827,776 (FY2025) vs $1,131,312 (FY2024)
• ·R&D expenses: $615,916 (FY2025) vs $362,538 (FY2024)
• ·Patents net: $15,112 (Dec 31, 2025) vs $18,135 (Dec 31, 2024)
• ·Series C Convertible Preferred Stock redeemable value: $3,485,313 both periods
• ·Net property and equipment: $239 (Dec 31, 2025) vs $498 (Dec 31, 2024)

30-03-2026

Columbus Circle Capital Corp II (CMII), a blank check company with inception on April 3, 2025, filed its 10-K for the period ended December 31, 2025, disclosing no operating history or revenues while highlighting target sectors including healthcare (2024 U.S. expenditure of $5.0 trillion, projected 2028 EBITDA of $987 billion) and cryptocurrency (global market projected at $15.4 billion by 2032 with 13.1% CAGR). Risks noted include potential negative interest rates on Trust Account investments, post-combination foreign asset concentration, and reliance on up to $1,500,000 in convertible Working Capital Loans. Shareholder evaluation is limited due to lack of operations.

• ·Financial statements cover period from April 3, 2025 (inception) through December 31, 2025.
• ·Filing date: March 30, 2026.
• ·Working Capital Loans may be made by Initial Shareholders, affiliates, directors, or officers; convertible at $10.00 per unit.

30-03-2026

Artelo Biosciences, Inc. (Nasdaq: ARTL) announced a $11.0 million private placement, entering definitive agreements for 3,188,407 shares of common stock (or pre-funded warrants) and warrants to purchase 6,376,814 shares at $3.45 per share, priced at-the-market under Nasdaq rules. The offering, led by H.C. Wainwright & Co., is expected to close on or about March 30, 2026, with gross proceeds for working capital, general corporate purposes, and bridge debt repayment; potential additional proceeds from warrant exercises total $20.4 million.

• ·Warrants exercisable at $3.20 per share upon issuance, expiring five and one-half years from resale registration statement effectiveness.
• ·Private placement under Section 4(a)(2) of Securities Act and Regulation D; resale registration statement to be filed.
• ·Announcement date: March 27, 2026; expected closing: on or about March 30, 2026.

30-03-2026

Siebert Financial Corp reported total revenue of $94,202,000 for 2025, up 12.3% YoY from $83,901,000, driven by strong growth in principal transactions and proprietary trading (+19.6% to $17,479,000) and stock borrow/stock loan (+50.8% to $29,034,000). However, net income declined sharply 61.5% YoY to $5,121,000 from $13,303,000, primarily due to a 33% rise in employee compensation and benefits to $58,475,000 and increased losses in the music segment (operating loss of $1,186,000). Total assets expanded to $759,042,000 from $519,668,000, reflecting growth in securities borrowed and owned.

• ·Net cash provided by operating activities remained nearly flat at $10,242,000 in 2025 vs $10,053,000 in 2024.
• ·Cash and cash equivalents declined to $22,408,000 from $32,629,000.
• ·Noncontrolling interests eliminated to $0 from $1,006,000.
• ·Weighted average shares outstanding: 40,362,780 basic and diluted in 2025.

30-03-2026

Interpace Biosciences discloses major risks in its 10-K, including the discontinuation of PancraGEN® testing after loss of CMS reimbursement on April 24, 2025 (specimens not accepted post-May 2, 2025), forcing full reliance on thyroid cancer diagnostics ThyGeNEXT® and ThyraMIR®v2 for all revenue amid payer concentration vulnerabilities. The company highlights delisting from Nasdaq, removal from OTCQX on August 18, 2025, and trading on OTCID, alongside high ownership concentration by two private equity investors controlling 84% of shares, while outlining strategies to expand sales, pursue partnerships, and leverage bioinformatics data.

• ·Delisting from Nasdaq with removal from OTCQX trading on August 18, 2025, and subsequent trading on OTCID.
• ·Dependence on third parties for materials in clinical services tests.
• ·Potential issuance of preferred stock that may reduce common stock value.

30-03-2026

Silver Point Specialty Lending Fund issued and sold 359,066 unregistered common shares of beneficial interest for an aggregate $10,000,000 at $27.85 per share as of March 2, 2026 (final share count determined March 24, 2026). The Board of Trustees declared a regular monthly dividend of $0.24 per share, payable on or before April 30, 2026 to holders of record as of March 31, 2026. No period-over-period comparisons or performance metrics were reported.

• ·Offer and sale exempt from Securities Act registration pursuant to Section 4(a)(2), Regulation D, and/or Regulation S.
• ·Date of earliest event reported: March 24, 2026.
• ·Filing signed on March 30, 2026.

30-03-2026

On March 27, 2026, Newton Golf Company, Inc. terminated Greg Campbell as Executive Chairman, Chief Executive Officer, and principal executive officer. The company appointed co-founder Akinobu Yorihiro, age 57, as Interim Chief Executive Officer and principal executive officer, while Brett Hoge was appointed Chairperson of the Board of Directors. Yorihiro's compensation remained unchanged, and there are no family relationships or material interests disclosed.

• ·Akinobu Yorihiro has served as a director and Chief Technology Officer since March 2018.
• ·Yorihiro previously served as Chairman of Nippon Xport Ventures, Inc. (2017-2023), CEO of Yoshimoto Entertainment USA and Bellrock Media (2006-2017), and Corporate M&A Partner at Bingham McCutchen LLP (1993-2006).
• ·No arrangements or understandings pursuant to which Yorihiro was selected as Interim CEO.
• ·Company is an emerging growth company; common stock (NWTG) trades on Nasdaq.
• ·Event reported on Form 8-K filed March 30, 2026.

30-03-2026

Financial Investors Trust filed a supplement to its prospectus and SAI announcing the adjournment of the shareholder meeting for the Emerald Finance and Banking Innovation Fund, which will reconvene on May 29, 2026, at 10:00 a.m. Mountain Time at its principal executive offices in Denver, CO. Shareholders of record as of July 11, 2025, will vote on an Agreement and Plan of Reorganization to merge the Fund into the Emerald Banking & Finance Evolution Fund, a series of a new trust. No financial metrics or performance data were disclosed in this proxy update.

• ·Record date for shareholders: July 11, 2025
• ·Prospectus and SAI date: August 28, 2025
• ·Meeting location: 1290 Broadway, Suite 1000, Denver, CO 80203
• ·Business address: 1290 Broadway, Suite 1000, Denver, CO 80201-0328

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.

30-03-2026

Scienture LLC secured FDA approval for its first product SCN-102 (ArbliTM) and completed the acquisition of commercial-ready product REZENOPYTM in Q1 2025, positioning the company to drive revenue growth through dedicated U.S. sales and marketing while exploring further acquisitions and partnerships. PK studies for Losartan Potassium Oral Liquid (SCN-102) demonstrated bioequivalence with reference tablets for AUC parameters (ratios ~100-101%) within 90% CI, though Cmax was slightly higher (135%) due to the liquid formulation, with minimal expected impact. The Kindeva Agreement includes up to $10M in commercial milestones, $1M in development milestones, and profit-sharing of 10% (reducing to 8%) on net sales plus 5% until recovering $12.8M in development costs.

• ·PK study conducted with N=44 subjects.
• ·Cmax for Losartan in SCN-102 oral liquid expected higher due to different dosage form vs immediate release tablets.
• ·FDA regulatory process includes IND, NDA/BLA submission, 60-day filing determination, pre-approval inspections for GLP/GCP/GMP compliance.

30-03-2026

Zivo Bioscience, Inc. (OTCQB: ZIVO) announced its Board of Directors' decision to voluntarily delist its common stock and warrants from OTC markets and file Form 15 to deregister with the SEC around March 30, 2026, citing high SEC compliance costs including legal, accounting, and administrative expenses as a significant burden diverting resources from core operations. This will immediately suspend reporting obligations such as Forms 10-K, 10-Q, and 8-K, reducing transparency for investors. Management views deregistration positively to redirect resources toward advancing animal health and nutrition segments and creating long-term stockholder value, though it introduces risks like reduced visibility and market access.

• ·ZIVO engaged in biotech and agtech R&D for human and animal health applications.
• ·Contact: jpayne@zivobioscience.com; IR: (212) 201-6614, tpatel@allianceadvisors.com.
• ·Forward-looking statements include risks such as inability to commercialize products, raise funds, or protect IP.

30-03-2026

Aurinia Pharmaceuticals Inc. (AUPH) has entered a definitive merger agreement to acquire Kezar Life Sciences, Inc. (KZR) for $6.955 in cash per share plus a non-transferable contingent value right (CVR) tied to zetomipzomib development, collaborations, and excess net cash over $50 million. The Kezar board unanimously approved the deal following a strategic review, providing immediate liquidity to shareholders while offering upside potential from Kezar's pipeline. However, the transaction faces risks including failure to meet closing conditions, potential non-payment of CVR milestones, competing bids, and stockholder litigation.

• ·Tender offer to commence by April 13, 2026, subject to majority tender and other customary conditions.
• ·Transaction expected to close in Q2 2026.
• ·Tang Capital Partners, LP signed tender and support agreement for its shares.
• ·TD Cowen acted as exclusive financial advisor to Kezar; Cooley LLP as legal counsel.

30-03-2026

On March 24, 2026, TAP Real Estate Technologies, Inc. (RWAX) entered into a 60-day Option to Purchase Agreement with Wasatch Springs Management Holdings, LLC for the Zermatt Resort in Midway, Utah, paying $250,000 for the option and assuming operational control during the period. If exercised, the purchase price would be the appraised value less any assumed debt, with the option payment credited toward it. However, exercise is contingent on successful due diligence, creditor restructuring, capital raising, and renovation plans, and the Company may not proceed if these are not met.

• ·Option Agreement filed as Exhibit 10.1
• ·Resort location: Midway, Utah
• ·Filing date: March 30, 2026 (event date: March 24, 2026)

30-03-2026

On March 30, 2026, PSB Financial, Inc., the proposed holding company of Pioneer State Bank, issued a press release announcing the commencement of its stock offering in connection with the proposed conversion of Pioneer Federal Savings and Loan Association from the mutual form of organization to the stock form. The press release is attached as Exhibit 99.1 and incorporated by reference. No financial metrics or performance data were disclosed in the filing.

30-03-2026

BioScience Health Innovations, Inc. (BHIC) reported FY2025 revenue of $5,688,717, a 208% YoY increase from $1,844,966, with gross profit rising 148% to $3,240,717 and net income surging 638% to $642,090 from $87,000, improving net margin to 11.3% from 4.7%. Total assets more than doubled to $1,707,181 from $873,788, driven by growth in current assets. However, cash remained nearly flat at $661,925 (down 0.1% from $662,517), accounts receivable tripled to $399,257 signaling potential collection issues, inventory swelled 477% to $336,348, and net cash from financing activities turned negative at $(115,920) versus $646,128 prior year amid heavy related party transactions.

• ·Net cash provided by operating activities increased to $172,178 from $23,188.
• ·Net cash used in investing activities was $56,850 (intangible assets purchase) vs $26,037 prior year.
• ·Advances from related parties: $3,046,080 in 2025 vs $962,848 in 2024; repayments: $3,162,000 vs $1,071,720.
• ·Weighted average common shares outstanding - basic: 10,979,058 in 2025 vs 10,483,498 in 2024.

30-03-2026

Coca-Cola Europacific Partners plc (CCEP) repurchased 311,779 ordinary shares between March 23-25, 2026, across US Trading Venues, London Stock Exchange, and CBOE Europe Limited (CXE and BXE). Daily purchases included 100,000 shares on March 23, 119,779 on March 24, and 92,000 on March 25, with volume weighted average prices ranging from USD 92.8920 to USD 93.7900 and GBP 69.5318 to GBP 70.1168. No declines or flat metrics reported as this reflects ongoing share buyback activity signaling management confidence.

• ·US Trading Venues purchases: 50,000 shares daily at VWAP USD 93.5289 (23 Mar), USD 92.8920 (24 Mar), USD 93.2555 (25 Mar)
• ·London Stock Exchange purchases: 20,700 shares (23 Mar, VWAP GBP 69.8223), 53,000 (24 Mar, GBP 69.6046), 42,000 (25 Mar, GBP 69.7037)
• ·CBOE Europe Limited (CXE): 4,500 shares (23 Mar, GBP 69.8546), 4,800 (24 Mar, GBP 69.5345)
• ·CBOE Europe Limited (BXE): 24,800 shares (23 Mar, GBP 70.1168), 11,979 (24 Mar, GBP 69.5318)

30-03-2026

First Trinity Financial Corp (FTFC) proxy statement outlines board leadership with Gregg E. Zahn serving as President, CEO, and Chairman, noting company assets exceeded $689,000,000 as of December 31, 2025, following growth via acquisitions and expansion into South American financial services. Security ownership shows Zahn beneficially owning 6.82% of Class A shares and 98.91% of Class B shares. Executive compensation for 2025 reflects a decline in CEO Zahn's total pay to $985,039 from $1,023,729 in 2024 due to lower bonus, while CFO Wood's total increased slightly to $384,408 from $370,027.

• ·Audit Committee pre-approved 100% of services by KEB, independent auditor for year ended December 31, 2025.
• ·Board holds at least four regularly scheduled meetings per year.
• ·Class A and Class B voting structure adopted by shareholders in 2020.
• ·Mr. Zahn's employment agreement includes net profit bonus of 5% of net income (capped at 200% of salary) and asset growth bonuses up to $500M threshold, with discretionary $600,000 granted in 2020.

30-03-2026

On March 27, 2026, Beneficient held its 2026 annual meeting of stockholders with 91.7% of voting power present, where shareholders reelected Class A directors Peter T. Cangany, Patrick J. Donegan, and Karen J. Wendel, ratified Weaver and Tidwell, LLP as independent auditors for the fiscal year ending March 31, 2026, and approved an amendment to the 2023 Long Term Incentive Plan to increase shares of Class A common stock reserved for awards. All three proposals passed with overwhelming majorities, including over 97% approval for the LTIP amendment.

• ·Record date for Annual Meeting: February 13, 2026
• ·Proposal 1 withheld votes: Peter T. Cangany (363,006), Patrick J. Donegan (171,026), Karen J. Wendel (170,777)
• ·Proposal 2: 1,286 votes against, 11 abstentions
• ·Proposal 3: 377,771 votes against, 7 abstentions
• ·LTIP Amendment effective March 27, 2026; full text in Exhibit 10.1