S&P 500 Healthcare Sector SEC Filings — April 10, 2026

10-04-2026

Abra Financial Holdings, Inc., party to a Business Combination Agreement dated March 16, 2026 with New Providence Acquisition Corp. III, announced that CEO Bill Barhydt and Head of Asset Management Marissa Kim participated in a webinar on April 9, 2026, discussing crypto portfolio strategies in the 'Fourth Turning' amid geopolitical and debt cycle concerns. They highlighted Bitcoin outperforming gold since the Iran conflict, reaching $72,000 despite bearish narratives, and rapid growth in crypto companies like Hyperliquid achieving $100 million in revenue quickly. No specific financial results or metrics for Abra were disclosed.

• ·Business Combination Agreement dated March 16, 2026
• ·Webinar aired April 9, 2026 at 4:00 pm ET
• ·Iran announcing Bitcoin payments for tolls in Strait of Hormuz
• ·No four-year period since Bitcoin inception where it has been down on a dollar basis

10-04-2026

Coca-Cola Europacific Partners plc (CCEP) announces board committee composition changes effective after the Annual General Meeting on 28 May 2026, including the appointment of Mary Harris as Senior Independent Director. Key changes involve Nathalie Gaveau retiring from the Environmental, Social and Governance Committee, Dessi Temperley joining it, Nicolas Mirzayantz shifting to the Nomination Committee from Audit, and Mark Price becoming Chairman of the Affiliated Transaction Committee. Subject to AGM approval, new Independent Non-executive Directors Laurence Debroux and Uvashni Raman will join the Audit, Remuneration, and Affiliated Transaction Committees.

• ·Updated Audit Committee: Dessi Temperley (Chairman), Robert Appleby, John Bryant, Nicolas Mirzayantz, Laurence Debroux, Uvashni Raman.
• ·Updated Affiliated Transaction Committee: Mark Price (Chairman), Robert Appleby, Nancy Quan, Uvashni Raman.
• ·Updated ESG Committee: Mario Rotllant (Chairman), Sol Daurella, Alfonso Líbano Daurella, Dessi Temperley.
• ·Updated Nomination Committee: Mary Harris (Chairman), Manolo Arroyo, Sol Daurella, Nicolas Mirzayantz, Mark Price.
• ·Updated Remuneration Committee: John Bryant (Chairman), Manolo Arroyo, José Ignacio Comenge, Laurence Debroux, Mary Harris.
• ·Notification in accordance with UK Listing Rule 6.4.6R(3).

10-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on April 10, 2026, announcing the issuance of a press release titled 'AITX's RAD Expands Data Center Security Footprint to 30 Units at Single Site.' This update highlights expansion in their RAD security product deployment at a single data center site. No financial metrics or period-over-period comparisons were disclosed.

• ·Filing includes Exhibit 99.1: April 10, 2026 Press Release
• ·Items reported: 8.01 (Other Events), 9.01 (Exhibits)

10-04-2026

Abra Financial Holdings, Inc. filed a Rule 425 communication disclosing a webinar on April 9, 2026, featuring CEO Bill Barhydt and Head of Asset Management Marissa Kim discussing crypto portfolio strategies in the 'Fourth Turning' amid its Business Combination Agreement with New Providence Acquisition Corp. III dated March 16, 2026. The presentation highlighted Bitcoin's outperformance versus gold (currently at $72,000), the rapid growth of crypto companies reaching $100M revenue, and smart contracts as the future of banking, with no company-specific financial metrics or declines reported.

• ·Business Combination Agreement dated March 16, 2026, between Abra Financial Holdings, Inc. and New Providence Acquisition Corp. III
• ·Webinar aired April 9, 2026, at 4:00 pm ET
• ·Bitcoin outperforming gold since Iran conflict; Iran accepting Bitcoin for Strait of Hormuz tolls
• ·Gold up approximately 2.5X post-major crises (Great Depression, 1970s stagflation, GFC, COVID)

10-04-2026

Conexeu Sciences Inc. filed an S-1/A registration statement on April 10, 2026, for a direct listing of common stock on Nasdaq by Registered Securityholders, with no proceeds to the company. The company engaged an Advisor for a total of $250,000 in fees to facilitate the listing process under Nasdaq Rule 4120(c)(8), including determination of the Current Reference Price based on pre-opening orders. The filing warns of potential share price volatility due to the absence of a traditional IPO book-building process.

• ·Financial statements audited by Adeptus Partners, LLC for years ended October 31, 2025 and October 31, 2024.
• ·McMillan LLP provided legal opinion on validity of registered common stock.
• ·Listing requires at least three registered and active market makers.

10-04-2026

News Corporation disclosed in an 8-K filing information provided to the Australian Securities Exchange (ASX) on April 9, 2026, regarding its ongoing $1 billion stock repurchase program authorizing purchases of Class A (NWSA) and Class B (NWS) common stock. The disclosures are attached as Exhibits 99.1 and 99.2, with no specific repurchase transactions detailed in the filing itself. The company notes daily ASX reporting requirements and includes forward-looking statements about potential repurchases subject to market conditions.

• ·Filing reports event date of April 9, 2026
• ·Securities registered: Class A Common Stock (NWSA, par value $0.01), Class B Common Stock (NWS, par value $0.01)

10-04-2026

Prota Financial, LLC filed its 13F-HR report on April 10, 2026, disclosing a portfolio of 67 holdings valued at $138843444 as of December 31, 2025, all with sole voting and dispositive power. Largest positions include J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM ($12034940), J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM ($11772352), and BLUE OWL CAPITAL CORPORATION COM ($10718512). No shared voting authority, performance data, or changes from prior periods were reported.

• ·All 67 positions held with sole voting power (SH SOLE) and no other categories reported.
• ·Firm address: 1980 Post Oak Blvd., Suite 200, Houston, TX 77056.
• ·EIN: 812136149; State of incorporation: TX.

10-04-2026

New Era Energy & Digital, Inc. announced the pricing of an underwritten public offering of 29,850,746 shares of common stock at $3.35 per share, expecting net proceeds of approximately $93.4 million. The proceeds will primarily repay all outstanding borrowings under a senior secured convertible promissory note with SharonAI, Inc., which matures on June 30, 2026, at 10% interest per annum, with any remainder for general corporate purposes. Underwriters, led by Northland Securities, Inc., have a 30-day option to purchase up to 4,477,611 additional shares and a 90-day lock-up agreement applies to the company.

• ·Underwriting agreement dated April 9, 2026, with purchase price to underwriters of $3.149 per share.
• ·Convertible Note incurred as part of Membership Interest Purchase Agreement dated January 16, 2026.
• ·Registration statement on Form S-3 (File No. 333-292892) effective January 30, 2026.
• ·90-day lock-up period on share sales by the company, subject to exceptions.

10-04-2026

Occidental Petroleum Corporation released preliminary First Quarter 2026 earnings considerations, reporting average diluted shares outstanding of 1,006.9 million shares. Average realized prices for the three months ended March 31, 2026, included worldwide oil at $69.91/Bbl (97% of WTI index and 90% of Brent), NGL at $18.99/Bbl (26% of WTI), and natural gas at $1.20/Mcf (domestic gas at 26% of NYMEX), reflecting realizations generally below index levels for NGL and gas while close to WTI for oil. These figures are preliminary and subject to finalization, with no full earnings or period-over-period comparisons provided.

• ·US oil realization: $70.31/Bbl; International: $67.59/Bbl
• ·US NGL: $18.45/Bbl; International NGL: $23.52/Bbl
• ·US natural gas: $1.01/Mcf; International: $1.93/Mcf

10-04-2026

ALM First Financial Advisors, LLC filed its 13F-HR holdings report as of March 31, 2026, disclosing sole voting power over 25 ETF positions with no prior period comparisons provided. Key holdings include Vanguard S&P 500 ETF at 146161925 and Cambria Global Momentum ETF at 67184967, alongside other Cambria and Vanguard ETFs. The filing reflects a snapshot of discretionary assets under management focused on ETFs.

• ·Filing submitted on April 10, 2026 for period ended March 31, 2026
• ·All positions held with sole voting power (SH SOLE)
• ·Central Index Key: 0001950054
• ·SEC File Number: 028-22726

10-04-2026

Montauk Renewables, Inc. (MNTK) has issued its 2026 Proxy Statement for the virtual Annual Meeting on May 26, 2026 (record date April 2, 2026), seeking shareholder approval to elect two Class III directors—Jennifer Cunningham (independent) and Sean McClain (President and CEO)—for terms expiring in 2029, and to ratify Grant Thornton LLP as independent auditor for the year ending December 31, 2026. The Board consists of six members in a classified structure transitioning to annual elections starting in 2030. As of the record date, 143,243,304 shares of common stock were outstanding, listed on Nasdaq (MNTK) and JSE (MKR).

• ·Company qualifies as Emerging Growth Company (EGC) under JOBS Act; scaled disclosures applied; EGC status ends in 2027, leading to enhanced compensation disclosures and advisory votes thereafter.
• ·Annual Meeting held virtually at www.virtualshareholdermeeting.com/MNTK2026.
• ·Directors elected by plurality vote; majority against policy requires resignation consideration for uncontested nominees.
• ·Class I directors (Ahmed, Copelyn) terms expire 2027; Class II (Govender, Shaik) expire 2028.

10-04-2026

On April 8, 2026, Beneficient closed a primary capital transaction through a subsidiary, acquiring a limited partner interest in Quartus AI Fund LP with a net asset value of $8.75M and issuing 875,214 shares of Series B-10 Resettable Convertible Preferred Stock to the customer. The company participates in an unrealized gain of $1.2M from the fund's asset appreciation, with expected increases of $9.77M to ExAlt loan portfolio collateral and tangible book value for stockholders. The filing includes a certificate of designation for the preferred stock and solicits proxies for stockholder approval of potential Class A Common Stock issuances upon conversion, subject to Nasdaq rules.

• ·Series B-10 Preferred Stock convertible at initial price of $3.5479 per share (B-10 Conversion Price), subject to monthly reset with floor of $1.2418 per share.
• ·Transaction closed pursuant to agreements dated April 7, 2026; certificate of designation filed April 8, 2026.
• ·Issuance exempt under Section 4(a)(2) and Regulation D; stockholder approval sought for issuances exceeding Nasdaq Exchange Cap.

10-04-2026

Akston Biosciences Corp is filing an S-1/A for an IPO offering 2,222,222 shares of common stock at a midpoint price of $9.00 per share, expecting net proceeds of approximately $16.1 million (or $18.9 million if over-allotment option exercised), to fund facility build-out, clinical studies for products like AKS-701d, and general purposes. However, financial performance deteriorated sharply in 2025 with net revenue plummeting 99% YoY to $0.169 million from $16.485 million, gross loss of $1.739 million versus $3.039 million profit, and net loss of $28.618 million compared to $3.808 million profit in 2024. Post-IPO, shares outstanding would be 12,277,036 (or 12,610,369 with full over-allotment).

• ·3.0-for-1 forward stock split effected April 10, 2026
• ·Proposed NYSE American trading symbol: AXTN
• ·Over-allotment option exercisable for 45 days
• ·Working capital as of Dec 31, 2025: $(4.557)M actual, $2.652M pro forma, $20.374M pro forma as adjusted
• ·Total stockholders’ (deficit) equity as of Dec 31, 2025: $(32.4)M actual, $6.4M pro forma, $22.5M pro forma as adjusted
• ·Stock options weighted average exercise price $9.10 per share
• ·Certain warrants to be cancelled if IPO price below $12.70 or $12.01 per share

10-04-2026

CoreCivic, Inc. entered into the Second Amendment to its Fourth Amended and Restated Credit Agreement dated April 10, 2026, increasing the revolving credit facility limit from $300,000,000 to $400,000,000 and the incremental term loan capacity from $300,000,000 to $400,000,000. The amendment provides for a new $100,000,000 Incremental Term Loan-1 (fully drawn on the effective date), maturing April 9, 2027, with variable interest rates based on leverage (initially Pricing Level IV: Term SOFR + 3.25% or Base Rate + 2.25%), for working capital, general corporate purposes, Permitted Acquisitions, and revolver repayments. The company certified pro forma compliance with financial covenants, with no defaults or events of default.

• ·Amendment effective April 10, 2026, upon satisfaction of conditions including executed documents, officer's compliance certificate, legal opinions, no defaults, and payment of fees.
• ·Incremental Term Loan-1 terms identical to Initial Term Loan except maturity (April 9, 2027), pricing grid, and single draw with no prepayment penalty.
• ·Pricing grid steps down with lower Consolidated Total Leverage Ratio; initial Pricing Level IV until post-June 30, 2026 fiscal quarter.

10-04-2026

Amalgamated Financial Corp. (AMAL) filed a DEFA14A Definitive Additional Proxy Materials on April 10, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required. This supplement relates to ongoing proxy solicitation activities.

10-04-2026

Voya Financial's 2026 Proxy Statement highlights exceptional 2025 performance, exceeding financial targets with over $1 billion in pre-tax adjusted operating earnings, $775 million in excess capital generation, and 22% adjusted EPS growth across all business segments. Key achievements include Retirement reaching 10 million participants with record $28.2 billion organic DC net flows and $959 million adjusted operating earnings near 40% margins, Employee Benefits improving from $40 million to $152 million in adjusted operating earnings, and Voya Investment Management achieving record $14.6 billion net flows with net revenues over $1 billion. NEO annual cash incentives were paid at 178% to 209% of target, reflecting strong individual contributions amid assets under management/administration surpassing $1 trillion.

• ·OneAmerica integration delivered adjusted operating earnings well in excess of $75M target
• ·Voya Investment Management adjusted operating margin held at 28.3%
• ·Excess capital generation 10% above targets supporting $374M capital return to shareholders
• ·Secured DALBAR’s Excellent designation for 15th consecutive year and PLANADVISER Adviser Choice Award
• ·100% resolution of critical cybersecurity vulnerabilities within SLAs
• ·Target annual cash incentives: Ms. Lavallee $2.5M, Mr. Katz $1.625M, Mr. Kaduson $1.875M, Mr. Toms $2.1125M, Mr. Keshavan $1.35M

10-04-2026

iSpecimen Inc. announced an 85% reduction in human biospecimen shipping time via a new direct shipment model, cutting domestic transit from 7-14 days to 1-2 days and lowering costs through fewer handoffs. The update includes expanded partnerships in Europe and Eastern Europe for international shipments and positive customer feedback since implementation earlier in 2026. CEO Katie Field highlighted operational improvements alongside the AI agent.

• ·Previous shipments routed through central hub adding 7-14 days.
• ·Enhanced training and operational alignment across global supplier network.
• ·Strengthened partnerships with sourcing organizations in Europe and Eastern Europe.

10-04-2026

CV Sciences, Inc. entered into a Senior Secured Convertible Note with a principal amount of $99,614.04 issued on April 6, 2026, maturing on July 6, 2027, which is convertible into shares of common stock but accrues no interest unless an Event of Default occurs. This note supplements prior issuances including the First Note of $1,536,000 due February 12, 2027, and the Second Note of $720,000 due April 6, 2027. The agreement includes standard provisions for conversions, defaults, and permitted indebtedness.

• ·Mandatory Default Amount: 120% of outstanding principal and interest for major Events of Default; 105% for immaterial representation breaches.
• ·Permitted Indebtedness includes up to $50,000 aggregate for lease/purchase money and certain ordinary course items.
• ·Note issued under exemption from Securities Act registration; transferable only per Purchase Agreement dated February 12, 2025.

10-04-2026

Alto Neuroscience, Inc. (ANRO) filed an S-3 registration statement on April 10, 2026, to enable selling stockholders to offer and sell up to 6,000,000 shares of common stock, consisting of 2,900,000 outstanding shares and 3,100,000 shares issuable upon exercise of pre-funded warrants from a prior private placement. The company will not receive any proceeds from the sale of these shares but may receive nominal proceeds from cash exercises of the pre-funded warrants. The filing satisfies registration rights obligations and notes the company's common stock is listed on the NYSE under symbol 'ANRO', with 35,052,731 shares outstanding as of March 31, 2026.

• ·Pre-funded warrants include a 19.9% beneficial ownership limitation, adjustable with 61 days' notice.
• ·Company qualifies as a smaller reporting company with reduced executive compensation disclosure obligations.
• ·Shares registered to satisfy obligations under Registration Rights Agreement tied to Purchase Agreement.

10-04-2026

Matthews International Corporation entered into an Employment and Transition Agreement with Steven D. Gackenbach, Group President, Memorialization, on April 8, 2026, under which he will serve full-time through September 30, 2026, with an annual base salary of $562,500, followed by a part-time Senior Advisor role starting October 1, 2026, through January 2, 2028, at 50% reduced salary. Mr. Gackenbach remains eligible for annual bonuses at a 60% target of base salary during both periods and restricted stock unit awards based on market benchmarks. The agreement includes provisions for change in control payments, termination scenarios, and post-employment restrictions like non-compete and non-solicitation.

• ·If Mr. Gackenbach elects to retire during Advisor Period, transitions to consultant arrangement for at least two years.
• ·Eligible for merit-based raise in January 2027 per company procedures.
• ·Agreement includes customary confidentiality, non-solicitation, non-competition, and non-disparagement obligations.

10-04-2026

Octave Specialty Group, Inc. (OSG) filed Definitive Additional Proxy Materials (DEFA14A) on April 10, 2026, for its 2026 Annual Meeting of Stockholders on May 28, 2026, at 11:00 A.M. Eastern Time, held virtually. Shareholders are asked to vote on the election of seven director nominees (Ian D. Haft, Lisa G. Iglesias, Joan L. Tennant, Claude LeBlanc, Kristi A. Matus, Michael D. Price, Jeffrey S. Stein), an advisory approval of named executive officer compensation, ratification of Ernst & Young as independent auditors for the fiscal year ending December 31, 2026, and approval of the 2026 Incentive Compensation Plan, with the Board recommending 'FOR' all items.

• ·Vote by May 27, 2026, 11:59 PM ET at www.ProxyVote.com
• ·Request proxy materials by May 14, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Virtual meeting at www.virtualshareholdermeeting.com/OSG2026
• ·Address: 40 Wall Street, New York, NY 10005

10-04-2026

Magnus Financial Group LLC filed its 13F-HR on April 10, 2026, disclosing holdings as of March 31, 2026, with 373 positions and a total market value of $1,231,960,929. The portfolio is diversified across equities, ETFs, and preferred securities, with all positions held with sole voting power and no shared or other voting authority. Top holdings by value include SPDR S&P 500 ETF Trust ($103,981,979), J P Morgan Exchange Traded F Nasdaq Eqt Prem ($28,049,789), and iShares Bitcoin Trust ETF ($24,226,660).

• ·All 373 positions held with sole voting power (SH SOLE) and zero shared, none, or other voting authority.
• ·Largest position by shares: Energy Transfer L P 9.250% Fxd Pfd I (355,555 shares).
• ·Portfolio includes significant ETF exposure, such as Vanguard Intl Equity Index F FTSE Emr Mkt ETF (237,926 shares).

10-04-2026

Humana Inc. (NYSE: HUM) announced the election of Robert S. Field to its Board of Directors, effective immediately following the 2026 Annual Meeting of Stockholders. Field, Principal and Managing Member of ηMed Capital Management LLC focused on U.S. healthcare services, brings over two decades of healthcare investment experience from roles at Luxor Capital, McKinsey & Company, and Vinson & Elkins LLP. The appointment resulted from a comprehensive search process informed by shareholder engagement, including input from John Petry of Sessa Capital, aimed at board refreshment and strong governance.

• ·Field's expertise includes investment evaluation, risk oversight, capital allocation, and legal/regulatory dynamics in healthcare.
• ·Contact for investors: Lisa Stoner, (502) 580-2652, lstamper@humana.com; Media: Mark Taylor, (317) 753-0345, mtaylor108@humana.com.

10-04-2026

GM Financial Consumer Automobile Receivables Trust 2026-2, sponsored by AmeriCredit Financial Services, Inc. d/b/a GM Financial, will issue $1,269,810,000 in asset-backed notes across multiple classes (A-1 through C) backed by prime consumer automobile loan receivables secured by new and used vehicles, with closing on April 15, 2026. The notes carry fixed rates from 3.826% to 4.64% (and one floating rate class), sold via underwriters led by J.P. Morgan Securities LLC pursuant to key agreements filed as exhibits. No performance declines or flat metrics are reported in this new issuance filing.

• ·Underwriting Agreement dated April 8, 2026, among GM Financial, AFS SenSub, and J.P. Morgan as Representative.
• ·Indenture dated April 15, 2026, between Issuing Entity and The Bank of New York Mellon as Trustee and Trust Collateral Agent.
• ·Trust Agreement dated February 27, 2026, as amended and restated April 15, 2026, between AFS SenSub and Wilmington Trust Company as Owner Trustee.
• ·Sale and Servicing Agreement dated April 15, 2026, with GM Financial as Servicer.
• ·Clayton Fixed Income Services LLC engaged as Asset Representations Reviewer.

10-04-2026

Briaud Financial Planning Inc, a Texas-based firm, filed its 13F-HR disclosing $381,383,269 in assets under management across 38 equity positions as of March 31, 2026. The portfolio is heavily weighted toward gold and precious metals ETFs, with SPDR Gold Trust ($85,325,311) and iShares Silver Trust ($22,427,973) as top holdings, alongside diversified exposure to tech giants like Apple ($2,477,298) and NVIDIA ($1,580,762). No period-over-period changes are reported in this point-in-time filing.

• ·Holdings include 198,343 shares of SPDR Gold Trust
• ·329,248 shares of iShares Silver Trust
• ·Filing covers period ending March 31, 2026, submitted April 10, 2026

10-04-2026

Boyer Financial Services, Inc. filed its 13F-HR report on April 10, 2026, disclosing total holdings of $94,317,064 across 44 positions as of March 31, 2026. The portfolio features significant allocations to Capital Group ETFs, including Dividend Grower Shares ETF ($10,668,362) and Growth ETF Shares ($8,374,688), alongside individual stocks such as Microsoft ($659,643), NVIDIA ($575,521), and Amazon ($643,138). No prior period data is provided in the filing for comparison.

• ·Filing period end date: March 31, 2026
• ·All holdings reported as sole voting authority
• ·Portfolio address: 4063 Birch Street, Suite 150, Newport Beach, CA 92660
• ·Smaller positions include Nakamoto Inc ($7,047 for 31,902 shares) and Redcloud Holdings PLC ($103,224 for 145,386 shares)

10-04-2026

On April 7, 2026, Cibus, Inc. appointed Thomas Urban, 61, as a new member of its Board of Directors. Mr. Urban has extensive agribusiness experience, including founding Agribusiness Advisors in 2013, serving as CEO of CellFor, Inc. from 2004-2012, leadership roles at Pioneer Hi-Bred International and DuPont, and starting at Goldman Sachs. He will receive prorated annual compensation of a $60,000 cash retainer (payable semi-annually) and $90,000 equity grant under the 2017 Omnibus Incentive Plan, along with a standard indemnification agreement.

• ·No arrangements or understandings between Mr. Urban and any other persons pursuant to his appointment.
• ·Mr. Urban has no direct or indirect material interest in any transaction required to be reported under Item 404(a) of Regulation S-K.
• ·Compensation prorated for service through the upcoming annual meeting of shareholders.
• ·Entrepreneur in residence at the University of British Columbia since 2013.
• ·Education: Undergraduate from Middlebury College, MBA from Harvard Graduate School of Business.

10-04-2026

Corebridge Financial, Inc. communicates post-merger plans with Equitable Holdings, Inc., assuring no anticipated changes to plan sponsor contracting entities or day-to-day servicing for the vast majority of retirement services plans over a multi-year horizon of approximately three years, prioritizing continuity and stability. Possible earlier consolidation for New York domiciled insurers is noted but with no specific plans, requiring regulatory approval and minimal sponsor impact. The filing includes extensive forward-looking statement cautions, risks related to merger completion, integration, and regulatory approvals, and directs investors to upcoming SEC filings like the Form S-4 Registration Statement.

• ·Filing date: April 10, 2026
• ·Corebridge proxy statement filed April 16, 2025
• ·Equitable proxy statement filed April 4, 2025
• ·Annual Reports on Form 10-K for year ended December 31, 2025
• ·Websites: https://www.corebridgefinancial.com, https://equitableholdings.com

10-04-2026

Scilex Holding Co's 2025 net revenue declined 47% YoY to $30,253 from $56,590, with ZTlido dropping 51% to $25,626, ELYXYB down 9% to $3,798, and GLOPERBA falling 37% to $151, while Vivasor added $678. Net loss widened dramatically to $374,053 from $72,807, driven by SG&A expenses surging 124% to $266,884, R&D up 115% to $20,710, and a $73,358 goodwill impairment. Positively, SP-102 Phase 3 trial met primary endpoint with LSM difference of -0.55 (p=0.003) and key secondary ODI -3.38 (p=0.015).

• ·Total current liabilities $483,652 at Dec 31, 2025 (up from $259,635)
• ·Cash and cash equivalents $4,955 at Dec 31, 2025 (up from $3,272)
• ·Accounts receivable $15,244 at Dec 31, 2025 (down from $26,442)
• ·Accrued rebates and fees $231,756 at Dec 31, 2025 (up from $162,517)
• ·Equity method investment at fair value $127,040 + $32,363 (pledged) at Dec 31, 2025
• ·Digital assets $64,711 at Dec 31, 2025

10-04-2026

Proficient Auto Logistics, Inc. (PAL) issued a proxy statement for its virtual-only 2026 Annual Meeting on May 6, 2026, seeking stockholder approval to elect eight directors (with John Skiadas retiring), ratify Grant Thornton LLP as independent auditors for FY 2026, and amend the certificate of incorporation to eliminate supermajority voting requirements. CEO Richard D. O’Dell highlighted 2025 progress including integration of five founding companies plus Auto Transport Group and Brothers Auto Transport, market share gains, improved leverage and balance sheet, and significant free cash flow generation despite a weaker-than-expected automotive market after peaking in March/April due to tariff impacts. The company expressed optimism for enhanced performance in 2026 amid similar external market conditions.

• ·Record date for stockholders: March 10, 2026
• ·Annual Meeting access: https://www.cstproxy.com/proficientautologistics/2026 or telephonically at 800-450-7155 (Conference ID 0545096#)
• ·Fiscal year end: December 31
• ·John Skiadas served on Board since 2024 IPO

10-04-2026

Baker Tilly Wealth Management, LLC filed its 13F-HR on April 10, 2026, reporting institutional holdings as of March 31, 2026, across 280 positions with a total market value of $411208301. The portfolio heavily features ETFs such as Putnam Focused Large Cap ($23931511), Dimensional ETF Trust US Targeted Value ($11691223), Dimensional ETF Trust US Marketwide Value ($8318267), and individual stocks including NVIDIA Corporation ($11674379), Apple Inc ($7562824), and Microsoft Corp ($7207392). No prior period data or changes are detailed in the filing.

• ·Filer CIK: 0001840565
• ·Fiscal year end: 05/31
• ·Business address: 4807 Innovate Lane, Madison, WI 53718
• ·Former name: Baker Tilly Financial, LLC (name change 2021-01-14)

10-04-2026

Peoples Financial Services Corp. (PFIS) filed a DEF 14A proxy statement for its 2026 Annual Meeting of Shareholders on May 22, 2026, at 9:00 a.m. ET via virtual webcast, with a record date of March 2, 2026. Shareholders will vote on electing four directors to serve until 2029, advisory approval of named executive officer compensation and its frequency (recommending every 1 year), amending the 2023 Equity Incentive Plan to increase authorized shares to 300,000, and ratifying Baker Tilly US, LLP as auditors for FY 2026. No financial performance metrics or period-over-period comparisons are disclosed in the filing.

• ·Virtual meeting access: www.virtualshareholdermeeting.com/PFIS2026
• ·Proxy materials available at www.proxyvote.com

10-04-2026

Velocity Financial's DEF 14A proxy statement discloses 2025 executive compensation for CEO Christopher D. Farrar and NEOs Mark R. Szczepaniak and Jeffrey T. Taylor, with PEO compensation actually paid rising 13.4% YoY to $7,015,409 after a 0.9% decline from 2023 to 2024, while average non-PEO NEO compensation actually paid declined 1.1% YoY to $2,405,755 from a 2024 peak. This aligns with strong financial performance including net income of $105.0M (53.5% YoY growth from $68.4M) and 50.8% Core Net Income annual growth, with TSR reaching $215.13 on a $100 initial investment (up from $202.69 prior year). Outstanding equity awards at year-end show significant unvested shares valued using $20.76 closing stock price.

• ·CEO Farrar holds 375,000 exercisable stock options granted 1/16/2020 at $13.00 exercise price expiring 1/16/2030.
• ·Szczepaniak and Taylor each hold 100,000 exercisable stock options granted 1/16/2020 at $13.00 exercise price.
• ·No option exercises by NEOs in 2025.
• ·CEO 2025 non-equity incentive plan: threshold $630,000, target $1,260,000, maximum $2,520,000 (grant date 1/21/2025).

10-04-2026

Level Financial Advisors filed its 13F-HR on April 10, 2026, disclosing $392,079,469 in total 13F holdings as of March 31, 2026, across 92 positions held solely on a discretionary basis. The portfolio is heavily weighted toward ETFs, with top holdings including Vanguard S&P 500 ETF ($54,864,947), Vanguard Scottsdale Fds Short Term Treas ($29,916,689), and Dimensional ETF Trust US High Profitab ($15,416,748). No prior period data or changes are provided for comparison.

• ·All positions held on sole discretionary basis (no shared voting or investment discretion)
• ·Filer CIK: 0001871734, based in East Amherst, NY
• ·Former name: Level Financial Advisors, Inc. (name change date: July 8, 2021)

10-04-2026

Cassilly Financial Group LLC filed its 13F-HR on April 10, 2026, disclosing $115,235,654 in holdings across 64 positions as of March 31, 2026. The portfolio consists entirely of sole discretionary shares with no shared voting power reported. Holdings are diversified, predominantly in ETFs tracking international equities, US value, and fixed income, with top positions including iShares Core MSCI EAFE ETF (164,767 shares, $14,916,380) and Vanguard Value ETF (58,882 shares, $11,552,612).

• ·All 64 holdings reported with sole voting power (SH SOLE) and zero shared, none, or other voting authority.
• ·Individual stock holdings include Amazon.com (1,007 shares, $209,728), Apple (990 shares, $251,252), NVIDIA (1,201 shares, $209,454).

10-04-2026

On April 9, 2026, the Board of Directors of First Real Estate Investment Trust of New Jersey, Inc. (FREIT) declared a second quarter dividend of $0.10 per share on its Common Stock, payable on June 12, 2026 to shareholders of record as of May 29, 2026. The Board emphasized that future dividends will be evaluated quarterly, with no assurance of continued declarations or amounts indicative of prior levels. This announcement includes standard forward-looking cautions regarding risks to REIT operations and market conditions.

• ·Dividend record date: May 29, 2026
• ·Dividend payment date: June 12, 2026
• ·Securities registered: Common stock (FREVS) on OTC Pink Market

10-04-2026

Ballew Advisors, Inc. disclosed $177,364,746 in equity holdings across 118 positions in its 13F-HR filing for the quarter ended March 31, 2026. Top holdings include iShares Core S&P 500 ETF at $35,022,441 (51,277 shares), Capital Group Growth ETF at $12,523,031 (297,955 shares), and SSGA Active ETF Trust State Street Doubl at $10,867,701 (273,058 shares). The portfolio features a mix of individual stocks like Apple Inc. ($2,278,889; 8,748 shares) and ETFs, with no prior period comparisons available in the filing.

• ·Filing submitted on April 10, 2026
• ·Headquartered at 100 Vision Dr Suite 325, Jackson, MS 39211

10-04-2026

Primis Financial Corp. (FRST) issued its DEF 14A Proxy Statement for the 2026 Annual Meeting of Stockholders on May 21, 2026, at 1:00 p.m. ET in Richmond, VA, with a record date of March 27, 2026, and 24,772,072 shares of common stock outstanding. The meeting seeks stockholder approval for the election of 10 directors, ratification of Crowe LLP as independent auditors for the fiscal year ending December 31, 2026, and a non-binding advisory vote on named executive officer compensation. No financial performance metrics, period-over-period comparisons, or compensation details are provided in the filing excerpt.

• ·Annual Meeting location: The Commonwealth Club, 401 W. Franklin Street, Richmond, VA 23220
• ·Proposals include election of directors until 2027 Annual Meeting, ratification of Crowe LLP for FY 2026, and advisory vote on executive compensation
• ·Proxy materials and 10-K for FY ended December 31, 2025 available at www.envisionreports.com/FRST

10-04-2026

Brucke Financial, Inc. filed its 13F-HR report disclosing 166 equity holdings as of March 31, 2026, with a total portfolio market value of $197136579. Notable positions include NVIDIA CORPORATION (6517254 value, 37370 shares), APPLE INC (5577379 value, 21976 shares), MICROSOFT CORP (3451559 value, 9324 shares), and ALPHABET INC (4615913 value, 16052 shares), all held solely. No period-over-period changes are provided in the filing.

• ·All 166 holdings are reported as SOLE discretionary with zero shared or other voting authority.
• ·Filing submitted on April 10, 2026, for period ending March 31, 2026.

10-04-2026

Pure Financial Advisors, LLC filed its quarterly 13F-HR on April 10, 2026, disclosing 572 equity holdings totaling $6967426348 as of March 31, 2026. The portfolio features heavy allocations to Dimensional ETF Trust products, such as US Targeted Value ETF (344552364 value) and US High Profitability ETF (287674042 value), alongside American Century ETFs like Avantis Emerging Markets (98383295 value). All positions report sole voting power with no other managers or shared discretion indicated.

• ·Filing period end date: March 31, 2026
• ·All holdings designated as SH SOLE with 0 shared voting authority
• ·Headquartered in San Diego, CA