S&P 500 Industrials Sector SEC Filings — April 17, 2026

17-04-2026

Otis Worldwide Corporation filed Definitive Additional Proxy Materials (DEFA14A) on April 17, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as Definitive Additional Materials. No specific financial or operational details are provided in the filing header.

• ·Filing Type: DEFA14A
• ·Filed by the Registrant
• ·No fee required

17-04-2026

Urgent.ly Inc. filed Amendment No. 1 to its Schedule 14D-9 to provide supplemental disclosures in response to stockholder demand letters alleging deficiencies, regarding the tender offer by Medford Hawk, Inc. (Agero subsidiary) to acquire all shares at $5.50 per share in cash. The disclosures detail the strategic review process, including engagement of Alchemy Advisors ($90,000 retainers paid, $350,000 success fee), formation of a Transaction Committee, outreach to 34 parties (32 NDAs, 3 term sheets), debt restructurings, and preparation of financial projections/alternatives assuming over $40M cash infusion or bankruptcy scenarios where common stockholders receive no value.

• ·MidCap ABL: new asset-based revolving credit facility entered in January/February 2025; proceeds used to retire other indebtedness.
• ·2L Term Loan: Eighth Amendment extended maturity from March 31, 2025 to July 31, 2026, and modified interest rate.
• ·2022 Convertible Notes: remained outstanding post-June 30, 2024 maturity due to subordination provisions.
• ·NDAs with 4 parties included customary standstill provisions without 'don’t ask, don’t waive' provisions; 28 without standstills.
• ·Projections (2025-2029 and Cash Forecast for March-May 2026) approved by Board for use by Pericles; Alternative October 2025 Forecast not approved or relied upon.
• ·Company evaluated out-of-court restructuring and bankruptcy; concluded common stockholders not expected to receive value in either scenario.

17-04-2026

First Financial Bankshares, Inc. (FFIN) reported Q1 2026 net income of $71.54 million, up 16.6% YoY from $61.35 million but down slightly QoQ from $73.31 million, with net interest income rising to $134.79 million (13.5% YoY growth) driven by higher average interest-earning assets of $14.54 billion and an improved net interest margin of 3.86%. However, noninterest expenses increased 9.2% YoY to $76.77 million due to higher salary costs and other expenses, total assets declined QoQ to $15.39 billion, and deposits plus repurchase agreements fell slightly QoQ to $13.31 billion amid public fund declines. Credit quality remained strong with nonperforming assets at 0.66% of loans and foreclosed assets, down from 0.78% YoY.

• ·Trust fees increased to $13.36M in Q1 2026 from $12.65M YoY.
• ·Service charges on deposits decreased to $6.08M from $6.18M YoY due to lower overdraft fees.
• ·Mortgage income rose to $4.28M from $2.83M YoY.
• ·Net charge-offs were $0.36M in Q1 2026, up from $0.24M YoY.
• ·Salary and employee benefit costs up to $45.98M from $42.14M YoY.

17-04-2026

LanzaTech Global, Inc. dismissed Deloitte & Touche LLP as its independent registered public accounting firm effective April 10, 2026, upon Audit Committee recommendation, and engaged BDO USA, P.C. as its successor for the fiscal year ending December 31, 2026. Deloitte's reports for fiscal years 2025 and 2024 included explanatory paragraphs on substantial doubt about the Company's going concern ability and noted material weaknesses in internal controls, though there were no disagreements, reportable events beyond prior disclosures, or restatements. Deloitte confirmed agreement with the Company's disclosures in a letter dated April 17, 2026.

• ·Material weaknesses previously disclosed in 10-K for 2024 (complex transactions/estimates, revenue recognition) and 2025 (multiple COSO components: control activities, monitoring, risk assessment, information/communication).
• ·No consultations with BDO prior to engagement regarding accounting principles, audit opinions, disagreements, or reportable events.
• ·Company authorized Deloitte to respond fully to successor auditor inquiries on material weaknesses.

17-04-2026

DeFi Development Corp. (DFDVW) filed an S-3 shelf registration statement on April 17, 2026, to enable future offerings of securities, with net proceeds earmarked for working capital, acquiring SOL as part of its treasury strategy, and strategic initiatives amid heavy emphasis on risks like SOL price volatility, regulatory changes, and custodian credit risks. As of March 31, 2026, the company had 29,497,394 shares of common stock outstanding held by 2,495 record holders and 10,000 shares of Series A preferred stock outstanding, all held by executives. The filing cautions that historical performance is not indicative of future results and highlights potential adverse impacts from weak crypto conditions, competition, and network risks specific to Solana.

• ·Authorized to issue up to 100,000 shares of Series A Preferred Stock with stated value of $0.00001 per share; each share entitled to 10,000 votes.
• ·Common and preferred stock have par value of $0.00001 per share.
• ·Subject to Section 203 of Delaware General Corporation Law anti-takeover provisions.
• ·Series A Certificate of Designation filed January 3, 2022.

17-04-2026

Cottonwood Capital Advisors, LLC disclosed its quarterly 13F-HR holdings as of March 31, 2026, totaling $141,799,404 across 86 positions, all held with sole voting authority. Top holdings include iShares TR U.S. Tech ETF at $11,587,986, Trust for Professional Managers Convergence LNG at $9,758,087, FlexShares TR Discp Dur MBS at $7,832,378, and iShares TR High Yld Systm B at $6,238,522, with additional exposure to stocks like Apple Inc. ($1,604,294) and Microsoft Corp. ($398,257). No changes or performance metrics relative to prior periods are detailed in the filing.

• ·Portfolio includes heavy concentration in First Trust and iShares ETFs representing technology, fixed income, high yield, and international equities.
• ·No put or call options reported (all values 0).
• ·SEC file number: 028-21525; CIK: 0001903321.

17-04-2026

Centessa Pharmaceuticals plc entered into a Transaction Agreement on March 31, 2026, with Eli Lilly and Company and its subsidiary LDH XV Corporation for the acquisition of Centessa's entire share capital via a Scheme of Arrangement, providing $38.00 in cash per share/ADS plus one CVR with potential value up to $9.00 contingent on regulatory milestones for ORX750 or ORX142 by 2029 or the fifth anniversary of closing. The Company Board unanimously recommends approval (with Dr. Hedley recused), supported by a fairness opinion from Centerview Partners LLC deeming the consideration fair from a financial point of view. Supporting shareholders owning approximately 20% of shares have entered Voting Agreements to vote in favor.

• ·Supporting Shareholders include entities affiliated with Medicxi Ventures, Index Ventures, and General Atlantic.
• ·Centerview Partners LLC issued fairness opinion on March 30, 2026, evaluating Cash Consideration plus one CVR per share as fair.
• ·Post-transaction, Centessa ADSs will delist from Nasdaq and deregister under Exchange Act.
• ·CVRs are non-transferable (except limited cases), non-voting, and represent no equity interest.

17-04-2026

QuasarEdge Acquisition Corp, a Cayman Islands blank check company, priced its initial public offering of 10,000,000 units at $10.00 per unit, raising $100 million, with units expected to trade on NYSE under 'QREDU' starting April 15, 2026, and closing on April 16, 2026. Polaris Advisory Partners serves as the sole book-running manager, with a 45-day underwriter option for up to 1,500,000 additional units. The company, led by Qi Gong as Chairwoman, CEO, and CFO, focuses on business combinations in North America, South America, Europe, or Asia.

• ·S-1 File No. 333-294027 initially filed March 5, 2026; effective April 7, 2026.
• ·Underwriter option: 45 days to purchase up to 1,500,000 additional units.
• ·Company address: 1185 Avenue of the Americas, 3rd Fl., New York, NY 10036.

17-04-2026

Emergent BioSolutions Inc. closed a new $150 million term loan with OrbiMed to fully repay the prior term loan with Oak Hill Advisors, extending its maturity to April 16, 2031 from August 30, 2029 and reducing annual interest expense by 200 basis points. The company also amended its asset-based revolving loan (ABL) facility with Wells Fargo National Association, increasing borrowing capacity to $50 million and extending maturity to April 16, 2031 from September 30, 2029. These changes provide enhanced financial flexibility through less restrictive covenants and greater capacity for incremental debt to support the multi-year transformation plan.

• ·New term loan and ABL amendments include less restrictive covenants and expanded debt baskets for incremental debt, including a committed delayed draw term loan.
• ·Announcement dated April 16, 2026; details available in Form 8-K on investor page.

17-04-2026

For the three months ended February 28, 2026, Technology & Telecommunication Acquisition Corp reported a net loss of $148,317, compared to net income of $67,961 in the prior-year period, driven by sharply lower interest income of $1,268 versus $251,054. Formation and operating costs declined 18% to $149,585 from $183,093, resulting in reduced net cash used in operating activities of $70,602 versus $90,676. Shareholders' deficit widened to $10,640,252 from $9,542,248 year-over-year, with cash at period-end dropping to $85 from $16,672.

• ·Weighted average Class A ordinary shares decreased to 3,418,412 from 5,111,805 YoY, reflecting prior redemptions.
• ·Cash withdrawn from trust in connection to redemption: $1,381 in 2026 vs. $24,739,496 in 2025.

17-04-2026

Fifth Third Bancorp reported Q1 2026 net income available to common shareholders of $128 million ($0.15 diluted EPS), down 82% sequentially and 73% YoY due to $567 million after-tax impact from merger-related charges and other items following the February 1, 2026 closure of the $12.7 billion Comerica acquisition. Despite the earnings hit, core momentum showed strength with NII up 26% sequentially to $1.939 billion and 34% YoY, NIM expanding 17 bps to 3.30%, average loans up 28% to $157.632 billion, and average deposits up 24% to $209.352 billion; however, noninterest expense surged 83% sequentially to $2.395 billion largely from merger costs.

• ·Demand deposits increased from 25% to 28% of total deposits.
• ·Tangible Common Equity increased 11 bps to 7.3%.
• ·Newline deposits up $2.7B and fee revenues up 30% YoY.
• ·LOIs for 81 Texas branch locations executed or in process.
• ·Net charge-offs of 37 bps, lowest since 4Q23.
• ·Purchase accounting accretion contributed $38M to NII.

17-04-2026

On April 16, 2026, Global Interactive Technologies, Inc. received a Nasdaq Notification Letter for failing to timely file its Annual Report on Form 10-K for the year ended December 31, 2025, violating Nasdaq Listing Rule 5250(c)(1). The company has 60 calendar days from the notification date to submit a compliance plan and expects to file the overdue 10-K promptly to regain compliance. During this grace period, the company's common stock (GITS) will continue to trade on Nasdaq, subject to other listing requirements.

• ·Commission File Number: 001-41763
• ·I.R.S. Employer Identification No.: 88-1368281
• ·Principal executive offices: 160 Yeouiseo-ro, Yeongdeungpo-gu, Seoul, Republic of Korea 07231
• ·Registrant is an emerging growth company

17-04-2026

Murphy & Mullick Capital Management Corp filed its 13F-HR on April 17, 2026, disclosing 726 equity holdings as of March 31, 2026, with a total market value of $135151605000 USD. Top positions include Broadcom Inc at $3696055000, Alphabet Inc CAP STK CL A at $2885958000, Apple Inc at $2271820000, ASML HLDG NV at $1991812000, and Amazon.com Inc at $1983355000. All reported holdings are sole discretionary with no shared power or voting rights.

• ·Report period end date: March 31, 2026
• ·Filing date: April 17, 2026
• ·All holdings reported as SOLE ownership with 0 shared power and 0 voting power

17-04-2026

Mainstream Capital Management LLC filed its 13F-HR report disclosing $149,064,518 in total holdings value across 88 positions as of March 31, 2026. Top holdings include Amazon.com Inc. ($6,488,235), Apple Inc. ($9,023,250), and Alphabet Inc. Cl C ($5,805,473). No period-over-period changes are provided in this filing.

• ·All positions held with sole voting power.
• ·Filing covers period ending March 31, 2026, filed April 17, 2026.

17-04-2026

Vermillion Wealth Management, Inc. disclosed 1,563 equity positions totaling $254,759,243 in its 13F-HR filing as of March 31, 2026. All reported holdings are under sole voting authority with no shared or other voting power indicated. Top positions include Berkshire Hathaway Inc. CL B ($7,524,878), Apple Inc. ($2,752,690), Caterpillar Inc. ($2,069,440), and Amazon.com Inc. ($1,287,525).

• ·Filing date: April 17, 2026
• ·Report period end: March 31, 2026
• ·Signed by James F Poepl on April 15, 2026
• ·Business address: 15040 Canada Ave, Rosemount, MN 55068

17-04-2026

Global Tech Industries Group, Inc. (GTII) reported the immediate resignation of Barton CPA PLLC as its independent registered public accounting firm on April 15, 2026, with no audit reports issued, no disagreements on accounting principles, financial disclosures, or auditing procedures, and no reportable events during their engagement. The resignation occurs amid a court-appointed receivership due to delinquent OTC filings, with the court ordering Barton to testify on the audit status on May 6, 2026. GTII has not yet engaged a successor auditor but is evaluating options.

• ·Barton notified GTII of resignation effective immediately; GTII provided Barton with Form 8-K and received agreeing letter dated April 16, 2026 (Exhibit 16.1).
• ·Common Stock registered: par value $0.001, trading symbol GTII on OTC Pink.
• ·No new independent registered public accounting firm engaged as of filing date.

17-04-2026

Steph & Co filed its 13F-HR on April 17, 2026, disclosing $350,535,096 in equity holdings across 301 positions as of March 31, 2026, all under sole discretionary voting authority. The portfolio is diversified across sectors including technology (e.g., Apple at $2,827,221), ETFs (e.g., Vanguard S&P 500 ETF at $51,275,766), financials, healthcare, and consumer staples. No changes from prior periods or performance metrics are provided in this snapshot filing.

• ·Filing filed by Kelly J Rusch on behalf of Steph & Co, located at 1820 Hall Avenue, Marinette, WI 54143
• ·All positions reported as SOLE voting authority with zero shared, none, or other managers

17-04-2026

PMG Wealth Management, Inc. filed a Form 13F-HR on April 17, 2026, disclosing 59 equity positions held solely with full voting power as of March 31, 2026, with a total market value of $138,657,354. Holdings are diversified across ETFs (e.g., First Trust, iShares, AB Active ETFs) and common stocks including Apple Inc., Microsoft Corp., and NVIDIA Corporation. No changes in ownership or voting power were reported.

• ·All 59 positions held with sole voting power (SH SOLE); no shared voting authority reported.
• ·Filer CIK: 0002052904; SEC file number: 028-24719.
• ·Business address: 60 Landover Pkwy, Ste. D, Hawthorn Woods, IL 60047.

17-04-2026

Great Waters Wealth Management filed its 13F-HR on April 17, 2026, reporting holdings as of March 31, 2026, across 121 positions, all with sole voting authority. The portfolio totals significant value in Dimensional ETFs, led by US Equity Market ETF at $199817528, World ex US Core Equity ETF at $166006363, and Core Fixed Income ETF at $146564547, alongside individual stocks like Apple Inc ($7576031) and NVIDIA Corporation ($5999790). No prior period data or performance changes are disclosed in this filing.

• ·All 121 positions reported as SH SOLE with 0 shared or other voting authority
• ·Firm CIK: 0001964535, based in Shoreview, MN
• ·Report period end: March 31, 2026

17-04-2026

Sherborne Investors Management LP filed a 13F-HR report disclosing its holdings as of March 31, 2026. The firm reports ownership of 240,900,975 shares of Navient Corp common stock (CUSIP: 63938C108), with a market value of $29,449,997. The holdings are also attributed to affiliated entities including Sherborne Investors Management GP, LLC, Edward J. Bramson, and Stephen Welker.

• ·Filing submitted on April 17, 2026, for the quarter ended March 31, 2026.
• ·CUSIP for holdings: 63938C108

17-04-2026

Stellar Bancorp, Inc. reported net income of $102.87 million for 2025, down 10.6% from $115.00 million in 2024, with pre-tax pre-provision income declining 2.9% to $137.94 million and return on average tangible equity falling to 11.48% from 13.89%. However, tangible book value per share improved 13.4% to $21.62. The filing highlights robust executive compensation governance, including variable pay tied to diverse metrics, stock ownership guidelines, and a clawback policy, alongside disclosure of a merger agreement with Prosperity Bancshares, Inc. dated January 27, 2026.

• ·Total shareholder return for value of $100 investment reached $133.67 in 2025, underperforming peer group at $147.34.
• ·CEO summary compensation table total $2,928,686 in 2025, up from $2,678,922 in 2024; compensation actually paid $4,536,205.
• ·Highest executive perquisites total $92,898 for Robert R. Franklin, Jr. in 2025, including $60,069 dividends on restricted stock.

17-04-2026

Brookfield Asset Management Ltd. (BAM) completed an offering of US$550,000,000 aggregate principal amount of 4.832% senior notes due April 15, 2031, and US$450,000,000 aggregate principal amount of 5.298% senior notes due January 15, 2036, for a total of US$1,000,000,000 in new senior notes. The 2036 Notes supplement an existing US$400,000,000 issuance of the same series. The notes are issued under indentures with provisions for make-whole redemptions prior to specified dates, par redemptions thereafter, restrictions on liens, and a change of control repurchase offer at 101% of principal.

• ·2031 Notes interest payable semi-annually on April 15 and October 15, commencing October 15, 2026.
• ·2036 Notes interest payable semi-annually on January 15 and July 15, commencing July 15, 2026.
• ·Early redemption for 2031 Notes at make-whole price prior to March 15, 2031; at par thereafter.
• ·Early redemption for 2036 Notes at make-whole price prior to October 15, 2035; at par thereafter.
• ·Indenture restricts BAM's ability to incur liens and requires offer to repurchase Notes at 101% upon certain change of control events.

17-04-2026

Abbott Laboratories disclosed that on April 10, 2026, the United States District Court for the Northern District of Illinois issued an order preliminarily approving a proposed settlement in the consolidated shareholder derivative litigation, In re Abbott Laboratories Infant Formula Shareholder Derivative Litigation, involving six lawsuits against certain current and former directors and officers. The order directs the issuance of notice to shareholders and sets a final settlement hearing. No financial terms of the settlement were disclosed in the filing.

• ·Litigation previously disclosed in Form 10-K for fiscal years ended December 31, 2024 and December 31, 2025
• ·Notice of Proposed Settlement filed as Exhibit 99.1

17-04-2026

Day One Biopharmaceuticals, Inc. filed a 10-K/A on April 17, 2026, including a Pay vs. Performance table showing total shareholder return (TSR) declining to $36 in 2025 from $49 in 2024 (down 26.5% YoY) and underperforming peers (peer TSR at $97 vs. company $36). Net losses persisted at $(107,322,000) in 2025, worsening 12.3% YoY from $(95,496,000) in 2024, while PEO summary compensation rose to $9,134,351 (up 39.3% YoY) but actual pay was $5,272,475. Non-PEO NEO average actual compensation increased slightly to $2,878,386, amid ongoing negative net income across all years 2021-2025.

• ·PEO Compensation Actually Paid was negative in 2023 at $(9,653,551).
• ·Company TSR peaked at 83 in 2022 before declining.
• ·Peer Group TSR remained relatively stable around 90-100 from 2021-2025.

17-04-2026

WM Technology reported preliminary Q1 2026 financial results with revenue expected in the range of $42-44 million and Adjusted EBITDA of $5-7 million, reflecting a solid start amid strong business performance and $57 million in cash equivalents. However, the company highlighted challenging industry conditions limiting core business growth without major regulatory changes, leading to plans to delist from Nasdaq and transition to OTCQX trading. Full financial results are scheduled for release after market close on May 11, 2026.

• ·Preliminary results are unaudited and subject to change upon finalization in the Q1 2026 Form 10-Q.
• ·Company founded in 2008 and headquartered in Irvine, California.
• ·Plans to continue quarterly financial updates through year-end, then evaluate go-forward reporting.

17-04-2026

Better Home & Finance Holding Company filed an S-3 shelf registration statement on April 17, 2026, covering the resale by a selling stockholder of 211,312 shares of Class A Common Stock acquired in a private placement that closed on February 17, 2026. The company will not receive any proceeds from these sales, which may occur from time to time at market or negotiated prices. On April 16, 2026, the Class A Common Stock closed at $37.33 per share and Public Warrants at $0.34 per warrant on Nasdaq (tickers BETR and BETRW).

• ·Registrant classified as accelerated filer, smaller reporting company, and emerging growth company.
• ·Principal executive offices at 1 World Trade Center, 285 Fulton Street, 80th Floor, Suite A, New York, New York 10007.
• ·Incorporates by reference Annual Report on Form 10-K for fiscal year ended December 31, 2025, and Current Reports on Form 8-K filed February 23, 2026; March 19, 2026; March 25, 2026; and April 9, 2026.

17-04-2026

Banzai International, Inc. is seeking stockholder approval for a proposed reverse stock split of its Class A and Class B Common Stock at a ratio of up to 1-for-20 to increase the per-share trading price and maintain Nasdaq Capital Market listing compliance. As of the Record Date, there are 17,393,826 shares of Class A Common Stock and 677,118 shares of Class B Common Stock outstanding, which would be reduced to approximately 869,692 and 33,856 shares post-split, respectively. While aimed at improving liquidity and investor interest, the proposal carries risks including no guarantee of sustained price increase, potential odd-lot ownership, reduced trading volume, and possible market capitalization decline.

• ·Reverse stock split ratio: up to 1-for-20; Board discretion to implement or abandon prior to April 28, 2027.
• ·Principal offices: 435 Ericksen Ave NE, Suite 250, Bainbridge Island, WA 98110; Phone: 206-414-1777.
• ·No appraisal rights for stockholders under Delaware law.
• ·Fractional shares rounded up to nearest whole share; may result in odd-lots under 100 shares.

17-04-2026

Douglas Emmett Inc (DEI) filed a DEF 14A proxy statement on April 17, 2026, seeking shareholder approval for the 2026 Equity Incentive Plan, which reserves 15 million shares of common stock for issuance, plus shares from forfeited or canceled awards under the prior 2016 Plan. The plan, administered by the Compensation Committee of three independent non-employee directors, covers approximately 778 employees, 6 non-employee directors, and fewer than 20 consultants, with a $500,000 annual award limit for non-employee directors. Awards include stock options, restricted stock, LTIP Units, and others, with exercise prices at no less than fair market value.

• ·Record Date: March 31, 2026
• ·Plan administration by Compensation Committee (3 independent non-employee directors)
• ·Options and stock appreciation rights expire no more than 10 years from grant date
• ·LTIP Units structured as 'profits interests' with initial no full parity on liquidating distributions
• ·Fewer than 20 consultants eligible to participate

17-04-2026

Wealth Management Partners, LLC filed its 13F-HR report disclosing total holdings of $349,869,186 across 147 positions as of March 31, 2026, with all positions held under sole investment discretion and voting authority. The portfolio shows heavy concentration in technology and ETFs, including top holdings NVIDIA Corporation ($27,581,421), Invesco QQQ Trust ($21,530,076), Apple Inc. ($12,968,370), and Microsoft Corp. ($7,982,917). No prior period comparison data is available in this filing.

• ·Filing date: April 17, 2026
• ·Report period end: March 31, 2026
• ·Business address: 1980 E River Road, Suite 120, Tucson, AZ 85718
• ·Phone: (520) 297-7999
• ·All positions held as SOLE with sole voting authority

17-04-2026

Trinity Wealth Management, LLC filed its 13F-HR on April 17, 2026, disclosing $272,345,417 in equity holdings as of March 31, 2026, across 72 positions, all held with sole voting authority. The portfolio is heavily weighted toward ETFs, with the largest position in SPDR Portfolio S&P 500 ETF (CUSIP 78464A649) at $34,752,272, followed by Invesco QQQ Trust at $19,579,735 and various iShares factor and core ETFs around $15-17 million each. No prior period data is provided in the filing for comparison.

• ·All holdings reported as SH SOLE (sole discretionary voting authority).
• ·Portfolio includes options positions: 10,000 call shares in Archer Aviation Inc valued at $2,800; 2,000 call shares in SPDR Gold Shares valued at $46,053.
• ·Headquartered in Berwyn, PA; CIK 0001685364.

17-04-2026

First City Capital Management, Inc. filed its 13F-HR report disclosing 160 equity positions held with sole voting power, totaling $188670819 in market value as of March 31, 2026. The portfolio is diversified across individual stocks such as Exxon Mobil Corp ($7475377), State Street SPDR S&P 500 ETF ($8390687), and Vanguard S&P 500 ETF ($8052943), as well as various ETFs. No changes from prior periods or performance metrics are detailed in the filing.

• ·All 160 positions held with sole voting and disposition power (SH SOLE).
• ·Portfolio heavily weighted towards ETFs including multiple Innovator ETFs, iShares, and Invesco products.
• ·Top individual stock holdings include Apple Inc (13981 shares, $3548296), NVIDIA (34336 shares, $5988225), and Coca Cola Co (56199 shares, $4273953).

17-04-2026

Dr. Lucas S. Chang notified Alpha & Omega Semiconductor Limited of his decision to retire from the Board of Directors, effective April 17, 2026. The notification was provided on April 13, 2026. No additional details on succession or reasons for retirement were disclosed.

• ·Filing date: April 17, 2026
• ·Date of earliest event reported: April 13, 2026

17-04-2026

Prentice Wealth Management LLC filed its quarterly 13F-HR on April 17, 2026, disclosing $443173664 in total portfolio value as of March 31, 2026, across 117 positions held with sole voting authority. The portfolio consists primarily of large-cap U.S. equities like Apple Inc. (19970 shares valued at 5068087) and Microsoft Corp. (9355 shares valued at 3463027), alongside significant ETF allocations and minor put options on Enpro Inc. (1100 shares) and Nvidia Corp. (2200 shares). No changes or performance metrics were reported in this snapshot filing.

• ·All 117 positions held as sole discretionary with no shared voting authority.
• ·Put options: Enpro Inc. (1100 shares), NVIDIA Corporation (2200 shares).
• ·Largest ETF holding: iShares Core US Aggregate Bond ETF (651758 shares valued at 64700017).
• ·Filer address: 1150 Penfield Rd., Rochester, NY 14625.

17-04-2026

Artisan Partners Asset Management Inc. filed its DEF 14A proxy statement on April 17, 2026, for the 2026 Annual Meeting of Stockholders, held virtually on June 3, 2026, at 11:00 a.m. Central Time. Stockholders of record as of April 9, 2026, will vote on three proposals: election of nine directors, an advisory vote to approve named executive officer compensation, and ratification of PricewaterhouseCoopers LLP as independent auditors for the fiscal year ending December 31, 2026. The Board recommends voting FOR each proposal.

• ·Annual Meeting accessible virtually at edge.media-server.com/mmc/p/mddmoibn.
• ·Proxy materials and 2025 Annual Report on Form 10-K available at www.astproxyportal.com/ast/18158.
• ·Notice of Internet Availability mailed on or about April 17, 2026.

17-04-2026

On April 14, 2026, The Bank of New York Mellon Corporation (BNY) held its Annual Meeting of Stockholders, where all 11 director nominees, including Charles F. Lowrey, were elected by majority votes cast, advisory approval of 2025 named executive officer compensation passed narrowly at 55.56% For versus 44.44% Against, and ratification of KPMG LLP as auditors for 2026 passed overwhelmingly at 98.11% For. The Board appointed Charles F. Lowrey to its Risk Committee and Corporate Governance, Nominating and Social Responsibility Committee effective immediately, amending prior disclosure of his election on December 9, 2025 (effective February 15, 2026).

• ·Annual Meeting held April 14, 2026; proxy statement dated March 5, 2026.
• ·Charles F. Lowrey elected to Board December 9, 2025, effective February 15, 2026.
• ·Director election votes (For/Against/Abstain/Broker Non-Votes): Linda Z. Cook (557,476,289 / 14,040,474 / 1,029,945 / 50,748,197); Joseph J. Echevarria (517,158,037 / 54,616,170 / 772,501 / 50,748,197); M. Amy Gilliland (550,786,227 / 21,016,295 / 744,186 / 50,748,197); Jeffrey A. Goldstein (543,701,685 / 28,115,071 / 729,952 / 50,748,197); K. Guru Gowrappan (550,466,083 / 21,226,082 / 854,543 / 50,748,197); Charles F. Lowrey (569,765,552 / 2,037,150 / 744,006 / 50,748,197); Sandra E. O’Connor (568,067,727 / 3,771,362 / 707,619 / 50,748,197); Elizabeth E. Robinson (530,536,402 / 40,955,989 / 1,054,317 / 50,748,197); Rakefet Russak-Aminoach (567,593,596 / 4,054,694 / 898,418 / 50,748,197); Robin Vince (542,214,387 / 29,502,854 / 829,467 / 50,748,197); Alfred W. Zollar (567,676,532 / 4,060,517 / 809,659 / 50,748,197).
• ·Compensation vote raw: For 317,099,734; Against 253,650,298; Abstain 1,796,676.
• ·KPMG ratification raw: For 610,876,407; Against 11,747,746; Abstain 670,752.

17-04-2026

NSTS Bancorp, Inc. filed a DEFA14A Definitive Additional Proxy Materials on April 17, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as Definitive Additional Materials. No specific proposals, financial data, or shareholder matters are detailed in the provided content.

• ·Filing Type: DEFA14A (Proxy Statement Amendment)
• ·Filed by the Registrant

17-04-2026

Western Asset Investment Grade Income Fund Inc. (PAI) has issued a proxy statement for its Annual Meeting of Stockholders on May 21, 2026, seeking re-election of 10 directors to the Board, reduced from 11 due to Ronald L. Olson’s scheduled retirement. As of the record date of March 27, 2026, 9,510,962 shares of common stock were outstanding, with a majority required for quorum and director elections by majority vote. No other matters are anticipated, and proxies may be submitted via phone, internet, or mail.

• ·Annual Meeting location: One Madison Avenue, 17th Floor, New York, New York 10010, at 10:00 a.m. Eastern Time; potential changes to virtual/hybrid format to be announced via press release and EDGAR.
• ·Proxy materials available at https://www.proxy-direct.com/fnk-35059.
• ·Solicitation expenses, including Computershare fees and broker reimbursements, to be borne by the Fund.

17-04-2026

Provident Wealth Management, LLC filed a 13F-HR disclosing $330593673 in total holdings across 134 positions as of March 31, 2026. The portfolio features significant allocations to ETFs including T Rowe Price US Equity Research ETF at 56083056, Pacer US Cash Cows 100 at 51165357, and Schwab Strategic TR US LCAP GR ETF at 37418639, alongside stocks such as Apple Inc (2377505) and Microsoft Corp (928386). No period-over-period changes are provided in this routine quarterly holdings report.

• ·Filing date: April 17, 2026
• ·Report period end: March 31, 2026
• ·All holdings reported as sole discretionary (SH SOLE)

17-04-2026

Essex Bank filed a 13F-HR report disclosing its equity holdings as of March 31, 2026, totaling $452,048,400 across 553 positions. Top holdings include Exxon Mobil Corporation (approximately $29.6M), Chevron ($26.3M), and Apple ($27.3M), with significant allocations to energy, technology, and consumer sectors. No period-over-period changes are reported in this point-in-time filing.

• ·Filing date: April 17, 2026
• ·Report period end: March 31, 2026
• ·Essex Bank address: 176 Westbrook Rd Suite 1, Essex, CT 06426

17-04-2026

Worth Asset Management, LLC filed its Form 13F-HR on April 17, 2026, reporting holdings as of March 31, 2026, across numerous stocks and ETFs with sole discretionary voting authority and no put or call options. Top positions by market value include iShares Core 60/40 Balanced Allocation ETF at $44.17B (JD1 account), iShares Treasury Floating Rate Bond ETF at $8.84B, and State Street SPDR Dow Jones Industrial Average ETF Trust at $7.42B, alongside individual stocks such as Amazon.com Inc. ($1.34B aggregate), Johnson & Johnson, and Netflix Inc. No prior period data is provided in the filing for comparison, resulting in a static snapshot of holdings.

• ·Report period end date: March 31, 2026
• ·Filed as of date: April 17, 2026
• ·Filer CIK: 0001927285
• ·All listed positions held with sole voting authority (SOLE)
• ·No shares held by other managers, no put options, no call options

17-04-2026

Home BancShares, Inc. held its 2026 Annual Meeting of Shareholders on April 16, 2026, where all fourteen director nominees were elected with overwhelming support, receiving between 135,346,456 and 147,036,170 votes in favor, despite some withheld votes up to 12,322,045 for Jim Rankin, Jr. Shareholders approved the advisory vote on executive compensation with 141,176,980 votes for and 6,109,637 against, and ratified Forvis Mazars LLP as the independent auditor for fiscal year 2026 with 172,491,121 votes for.

• ·Broker non-votes totaled 26,543,594 across director elections.
• ·Highest withheld votes: 12,322,045 for Jim Rankin, Jr.
• ·No broker non-votes for auditor ratification.
• ·No additional business came before the meeting.

17-04-2026

On April 14, 2026, ChargePoint Holdings, Inc. designated Natella Novruzova, its Corporate Controller, as Chief Accounting Officer and Principal Accounting Officer, effective immediately, assuming these duties from Mansi Khetani, who remains Principal Financial Officer. Ms. Novruzova's annual base salary was increased to $355,000, with eligibility for a target bonus of 40% of base salary and other employee benefits. There are no family relationships or related party transactions involving Ms. Novruzova.

• ·Natella Novruzova, age 56, has served with ChargePoint since June 2019, most recently as Vice President, Corporate Controller.
• ·Prior roles: Director of Accounting at RingCentral, Inc. (March 2017 - June 2019); Finance Operations Controller at NetSuite Inc. (October 2014 - March 2017).
• ·Ms. Novruzova holds a Master of Business Administration from Cal State East Bay.
• ·No arrangements or understandings with other persons regarding her designation; no reportable related party transactions under Item 404(a) of Regulation S-K.

17-04-2026

Affinity Bancshares, Inc. filed a 10-K/A amendment disclosing executive compensation data for 2023-2025, showing Net Income increased 53.1% YoY to $8,332,000 in 2025 from $5,441,000 in 2024, while TSR for a $100 investment rose to $117 in 2025 from $110 in 2024. However, Compensation Actually Paid to PEO declined 10.1% YoY to $702,192 in 2025 from $780,971, and average CAP for Non-PEO NEOs fell 5.6% YoY to $472,904 from $501,645. PEO Summary Compensation Table total remained relatively flat, decreasing slightly 0.7% YoY to $665,294.

• ·Fair value adjustments in Table 2 include changes such as +$9,805 for PEO unvested prior awards in 2025 and -$22,269 average forfeiture for Non-PEO NEOs in 2025.
• ·No fair value of equity awards granted during fiscal years 2023-2025; no dividends paid on unvested shares.
• ·Filing Date: April 17, 2026

17-04-2026

Falcon’s Beyond Global, Inc. announced that its Board of Directors has scheduled the 2026 annual meeting of stockholders for June 9, 2026. Because this date is more than 30 days after the anniversary of the 2025 annual meeting, the deadline for stockholder proposals under Rule 14a-8 is April 27, 2026. No financial results, performance metrics, or other material developments were disclosed.

• ·Company is an emerging growth company.
• ·Securities registered: Class A common stock, par value $0.0001 per share (FBYD, Nasdaq); Warrants exchangeable for 0.25 shares of Class A Common Stock on October 6, 2028 (FBYDW, Nasdaq).

17-04-2026

Third Coast Bancshares, Inc. (TCBX) filed this Form 8-K/A on April 17, 2026, amending its Initial 8-K dated February 2, 2026, to include audited consolidated financial statements of the acquired Keystone Bancshares, Inc. as of December 31, 2025 and 2024, and for the two years ended December 31, 2025, following the merger effective February 1, 2026. The amendment also provides unaudited pro forma condensed consolidated combined balance sheet as of December 31, 2025 and statement of income for the year then ended, as required under Item 9.01. No performance metrics or changes are disclosed in the filing text itself.

• ·Merger agreement dated October 22, 2025.
• ·Initial 8-K filed February 2, 2026.

17-04-2026

First National Bank Sioux Falls filed its 13F-HR on April 17, 2026, reporting institutional holdings as of March 31, 2026, with a total portfolio value of $365,531,015 across 178 positions primarily consisting of common stocks and ETFs. The portfolio features diversified investments in major companies such as Apple Inc., Microsoft Corp., Alphabet Inc., and various Vanguard and iShares ETFs. No period-over-period changes or performance metrics are provided in the filing.

• ·Report period end: March 31, 2026
• ·Filed as of date: April 17, 2026
• ·State of incorporation: SD
• ·SEC file number: 028-04915