S&P 500 Technology Sector SEC Filings — March 03, 2026

03-03-2026

On March 3, 2026, TXNM Energy, Inc. entered into a Distribution Agreement with sales agents BofA Securities, Inc., MUFG Securities Americas Inc., and Scotia Capital (USA) Inc., and forward purchasers Bank of America, N.A., MUFG Securities EMEA plc, and The Bank of Nova Scotia, enabling the potential sale of up to $125 million of its common stock through at-the-market offerings. The agreement also allows for forward stock purchase transactions, with no obligation to make any sales and commissions up to 2% of gross sales price per share. The company expects net proceeds from physical settlements of forward agreements but may elect cash or net share settlements, potentially receiving no proceeds or owing amounts.

• ·Sales may be made on NYSE, through market makers, electronic networks, or privately negotiated transactions including blocks.
• ·Forward Agreements allow Forward Purchasers to borrow and sell shares to hedge; Company receives no proceeds from borrowed share sales.
• ·Registration Statement on Form S-3ASR effective February 28, 2025, supplemented by prospectus dated March 3, 2026.
• ·Agreement terminable by Company or counterparties upon prior written notice.

03-03-2026

On March 3, 2026, Canton Strategic Holdings, Inc. (Nasdaq: CNTN) issued a press release announcing the election of Mark Wendland to the Board of Directors of the Canton Foundation. The filing incorporates the press release as Exhibit 99.1 under Items 8.01 and 9.01. No financial metrics, performance changes, or other quantitative data were disclosed.

03-03-2026

Adial Pharmaceuticals entered into a collaboration framework agreement with Molteni Farmaceutici for a proposed exclusive partnership on AD04 commercialization in Europe, expecting an upfront payment, milestone payments, tiered royalties (high single digits to low double digits), and nearly $60M in total potential aggregate value from royalties and milestones upon execution of a definitive agreement. However, the Special Meeting of Shareholders on February 26, 2026, failed to convene due to lack of quorum, necessitating additional meetings every 90 days to seek approval for issuing up to 13,823,512 shares underlying New Warrants. This development advances AD04's European pathway but underscores challenges in obtaining timely stockholder approval.

• ·Molteni granted exclusivity period for due diligence and planning.
• ·New patent filing could extend Loss of Exclusivity (LOE) from 2031 to 2045.
• ·Genetic screening simplified from blood draw to cheek swab.
• ·Inducement Agreement dated November 25, 2025, requires meetings every 90 days until approval or warrants expire.

03-03-2026

Oxford Square Capital Corp. reported Q4 2025 net asset value per share of $1.69, down from $1.95 QoQ and $2.30 YoY, driven by a $12.9M net decrease in net assets from operations including $16.0M unrealized depreciation and $2.3M realized losses. Net investment income was $5.4M ($0.07/share), slightly down QoQ from $5.6M despite total investment income rising to $10.4M from $10.2M, while expenses increased to $5.0M from $4.7M. The board declared monthly distributions of $0.035/share for April-June 2026.

• ·Weighted average credit rating 2.2 (fair value) and 2.3 (principal) as of Dec 31 2025, flat QoQ.
• ·Conference call held March 3, 2026 at 9:00 AM ET.
• ·Non-affiliated/non-control investments fair value $251.7M (Dec 2025) vs $256.2M (Dec 2024).

03-03-2026

Warner Music Group Corp. furnished a letter to stockholders on March 3, 2026, incorporated as Exhibit 99.1 under Regulation FD Disclosure. The company announced it will use online corporate communication channels, including the social media channel 'A Post From Robert Kyncl' at https://www.wmg.com/news, for ongoing direct communication with stockholders, which may include material non-public information. Investors are advised to monitor this channel alongside SEC filings, press releases, conference calls, and webcasts.

• ·Signed by Paul M. Robinson on March 3, 2026.
• ·Social media channel information deemed potentially material.

03-03-2026

CrowdStrike reported Q4 FY26 total revenue of $1.31B, up 23% YoY from $1.06B, and ending ARR of $5.25B, up 24% YoY with record net new ARR of $331M (+47% YoY); full year revenue grew 22% YoY to $4.81B with record non-GAAP net income of $957M and free cash flow of $1.24B. However, full year GAAP operating loss widened to $293M from $116M prior year, and GAAP net loss increased to $163M from $15M. The company announced acquisitions of SGNL and Seraphic Security, repurchased $51M in shares, and raised FY27 ARR guidance to $6.47B-$6.52B.

• ·Subscription gross margin GAAP 79% Q4 FY26 (up from 77% YoY), non-GAAP 81% (up from 80%).
• ·Q4 GAAP net income $38.7M vs loss of $86.3M YoY; non-GAAP net income $289.1M (up from $205.3M).
• ·FY27 guidance: Q1 ARR $5.50B-$5.50B, total rev $1.36B-$1.36B; FY ARR $6.47B-$6.52B.
• ·100% detection and protection in 2025 MITRE ATT&CK Evaluations.
• ·Forrester TEI study: 273% ROI for customers replacing legacy endpoint security.
• ·New regional cloud deployments planned for Saudi Arabia, India, UAE.

03-03-2026

Immunome reported full-year 2025 financial results with a net loss of $212.4M, improved 27% YoY from $293.0M in 2024 due to sharply lower in-process R&D expenses ($10.0M vs. $152.3M), though R&D expenses rose 37% to $177.3M and G&A increased 33% to $43.8M, while collaboration revenue declined 23% to $6.9M. Cash and equivalents reached $653.5M as of December 31, 2025, bolstered by $460.5M gross proceeds from a December 2025 public offering (net $432.4M), extending runway into 2028. Positive Phase 3 RINGSIDE topline results for varegacestat showed an 84% reduction in progression risk (HR=0.16), ORR of 56% vs. 9% placebo, supporting a planned 2Q 2026 NDA submission, with ADC pipeline advancements ongoing.

• ·Share-based compensation: $25.7M in 2025 (R&D $11.2M, G&A $14.5M) vs. $15.7M in 2024.
• ·Net loss per share: $(2.43) in 2025 vs. $(5.00) in 2024.
• ·Total current assets: $660.8M as of Dec 31, 2025 vs. $221.3M as of Dec 31, 2024.

03-03-2026

IBM filed an 8-K on March 3, 2026, under Items 5.03 and 9.01, attaching its bylaws as amended through March 1, 2026. The document details governance procedures including stockholder meetings (annual on the last Tuesday of April, special meetings callable by the Board, Chairman, or holders of at least 25% of shares), Board of Directors powers and composition, executive committees, officers, and other corporate matters. No financial metrics, performance changes, or material alterations to shareholder rights are specified in the filing.

• ·Bylaws originally adopted April 29, 1958
• ·Annual stockholder meeting held on last Tuesday of April each year (or next non-holiday)
• ·Stockholder meeting notice: 10-60 days in advance
• ·Quorum for stockholder meetings: majority of outstanding voting shares
• ·Special meetings limited to business specified in notice

03-03-2026

The J. M. Smucker Company finalized a Separation Agreement with John Brase, its former President and Chief Operating Officer, effective February 26, 2026, following his prior announcement as no longer an executive officer on February 10, 2026. The agreement provides severance benefits including a $1.185M lump sum (18 months base salary), $611,885 pro rata FY2026 incentive payment, vesting of select unvested restricted stock units, options, and pro-rated performance units, plus $196,000 in additional lump sums for medical insurance, relocation, and outplacement services, all payable April 17, 2026. Terms align with the company's Executive Severance Plan and include non-compete, non-solicitation, and confidentiality obligations.

• ·Vesting of unvested restricted stock awards granted June 15, 2023 (third tranche) and April 14, 2020 (full on Jan 27, 2028); remaining RSUs forfeited.
• ·Vesting of unvested option award from June 15, 2023 (third tranche); remaining options forfeited; vested options exercisable by May 10, 2026.
• ·Pro-rated vesting eligibility for performance units granted June 15, 2023 and August 13, 2024 (those with at least one full performance year); based on completed months and actual 3-year performance; remaining forfeited.
• ·Separation Agreement to be filed as exhibit to 10-K for period ending April 30, 2026.

03-03-2026

Community West Bancshares announced the retirement of Executive Vice President and Chief Operating Officer Blaine C. Lauhon, effective December 31, 2026, concluding his over 40-year banking career, including nearly a decade with the Bank since joining in 2017 via the Folsom Lake Bank acquisition. CEO James J. Kim highlighted Lauhon's leadership in operations, technology, and transformative initiatives, expressing gratitude for his contributions to the Bank's long-term success. No successor was named in the announcement.

• ·Lauhon named Chief Operating Officer in December 2024, Chief Administrative Officer in April 2024, Chief Banking Officer in 2021, Executive Vice President and Market Executive in 2019, and Senior Vice President and Senior Credit Officer in 2017.
• ·Bank headquartered in Fresno, California, established in 1979, first Banking Center opened January 10, 1980.
• ·Full board: Daniel J. Doyle (Chairman), Robert H. Bartlein (Vice Chairman), James J. Kim, Martin E. Plourd, Andriana D. Majarian, Suzanne M. Chadwick, Daniel N. Cunningham, Tom L. Dobyns, F.T. “Tommy” Elliott IV, Robert J. Flautt, James W. Lokey, Steven D. McDonald, Dorothea D. Silva, William S. Smittcamp, Kirk B. Stovesand; Louis C. McMurray (Director Emeritus).