US Pre-Market SEC Filings Roundup — April 14, 2026

14-04-2026

Transocean Ltd. (NYSE: RIG) announced a 1,156-day contract extension for its ultra-deepwater drillship Deepwater Corcovado with Petrobras, expected to contribute approximately $445 million in incremental backlog and commit the rig through November 2030. However, prior to the extension period from April 1, 2026, until the commencement of the new contract in September 2027 (approximately 525 days), the existing backlog will be reduced by approximately $20 million.

• ·Extension in direct continuation of current activity.
• ·Rig committed through November 2030.

14-04-2026

Avanos Medical, Inc. (NYSE: AVNS) has entered a definitive agreement to be acquired by affiliates of American Industrial Partners (AIP) in an all-cash transaction valuing the enterprise at approximately $1.272 billion, with stockholders to receive $25.00 per share, a 72.1% premium to the April 13, 2026 closing price and 82.8% to the 30-day VWAP. The deal, unanimously approved by Avanos' Board, is expected to close in the second half of 2026 subject to approvals, after which Avanos will become private and delist from NYSE. No financial performance declines or flat metrics are reported, though standard acquisition risks such as regulatory hurdles and potential termination fees are noted.

• ·Transaction unanimously approved by Avanos’ Board of Directors; not subject to financing condition.
• ·Expected close in second half of 2026, subject to stockholder approval, Hart-Scott-Rodino waiting period, and other regulatory approvals.
• ·Avanos has postponed its 2026 Annual Meeting of Stockholders, previously scheduled for April 21, 2026.
• ·Advisors: J.P. Morgan (lead financial), UBS (financial), Alston & Bird (legal) for Avanos; Sidley Austin (legal), Baker Botts (regulatory) for AIP.

14-04-2026

DevvStream Corp. (NASDAQ: DEVS), XCF Global, Inc. (Nasdaq: SAFX), and Southern Energy Renewables Inc. have executed a definitive Business Combination Agreement for a three-party merger to create a next-generation energy transition platform integrating sustainable aviation fuel (SAF), green methanol, renewable products, environmental attribute monetization, and advanced infrastructure like small modular nuclear reactors. Post-closing ownership is expected to be 66.7% for existing XCF shareholders, 23.3% for Southern shareholders, and 10.0% for DevvStream shareholders, with targets including annualized fuel-related revenues exceeding $1 billion and minimum annualized EBITDA of $100 million. The transaction is subject to customary closing conditions such as shareholder approvals, SEC registration on Form S-4, Nasdaq listing, financing, operational milestones, and fairness opinions, with no current financial performance declines noted but forward-looking risks emphasized.

• ·XCF is advancing pipeline of expansion opportunities in Nevada, North Carolina, and Florida.
• ·Transaction structure involves DevvStream domestication from Alberta to Delaware, with XCF acquiring 100% of DevvStream and Southern via merger subsidiaries.
• ·Combined platform embeds environmental attribute monetization across the value chain and supports long-term offtake commercialization.

14-04-2026

SeaTown Holdings Pte. Ltd. filed its 13F-HR report for the quarter ended March 31, 2026, disclosing total holdings valued at $152666959 with no changes in share positions from the prior quarter. The portfolio consists of 17 positions across technology, energy, retail, and other sectors, including major holdings in NVIDIA Corporation (94067 shares, $16405285) and Amazon.com Inc. (50100 shares, $10434327). All reported positions remained flat quarter-over-quarter.

• ·Filing filed on April 14, 2026, for period ended March 31, 2026.
• ·Business address: 3 Fraser Street #06-23, Duo Tower, Singapore 189352.
• ·SEC file number: 028-14162.

14-04-2026

Unity Bancorp reported Q1 2026 net income of $14.3 million ($1.40 per diluted share), down 7.7% QoQ from $15.5 million ($1.52) due to lower net interest income ($30.7 million, -2.0%) and noninterest income ($2.9 million, -25.6%), though up 23.2% YoY from $11.6 million amid 12.8% YoY NII growth. Balance sheet showed growth with gross loans up 2.2% QoQ ($2,601.7 million) and 10.9% YoY, deposits up 2.4% QoQ ($2,379.1 million), and shareholders' equity up 3.6% to $358.1 million, while noninterest expense rose 6.0% QoQ to $14.1 million. Capital ratios improved slightly QoQ, nonaccrual assets ticked up 2.5% to $32.1 million, and the company announced a 7% dividend increase to $0.16 per share.

• ·Provision for credit losses decreased 52.8% QoQ to $1.0 million.
• ·Uninsured/uncollateralized deposits at 21.6% of total deposits as of March 31, 2026.
• ·Named one of Piper Sandler’s Top Bank Investment Ideas for 2026.
• ·Annual shareholder meeting scheduled for April 23, 2026 at 8:00 AM EDT.
• ·Total assets $3.0 billion, with $229.2 million cash and cash equivalents.

14-04-2026

SunCoke Energy, Inc. filed additional definitive proxy soliciting material on April 14, 2026, to correct typographical errors in the original Proxy Statement filed April 1, 2026, for the Annual Meeting of Stockholders on May 14, 2026. The corrections remove Katherine T. Gates from the Compensation Committee listing and add Arthur F. Anton to it in the board committees table on page 11. No other changes were made, and stockholders are urged to read the materials together.

• ·Proposed committee chairs following 2026 Annual Meeting: Martha Z. Carnes (Audit), Ralph M. Della Ratta, Jr. (Compensation), Susan R. Landahl (Governance).
• ·Annual Meeting at 8:00 a.m. Central Time.
• ·Proxy Statement available on SEC website (www.sec.gov) and company website (https://www.suncoke.com/en/investors/financial-reports/annual-reports-and-proxy).

14-04-2026

Day One Biopharmaceuticals, Inc. filed Amendment No. 2 to its Schedule 14D-9, updating sections of Centerview Partners LLC's fairness opinion, including selected public company analysis (implied equity value per share of $11.80-$20.00), precedent transactions ($17.25-$25.40 per share), and detailed unaudited prospective financial projections showing net revenue growing from $261M in 2026E to a peak of $1,131M in 2035E before declining to $214M in 2044E. The amendments support the $21.50 per share cash tender offer by Servier Detroit Inc. pursuant to the March 6, 2026 Merger Agreement; however, new disclosures reveal stockholder litigation alleging disclosure deficiencies in the initial Schedule 14D-9.

• ·Selected public company EV/2029E Revenue Multiples ranged from 1.1x (Geron) to 3.5x (Arcutis).
• ·Precedent transaction TV/4-Year Forward Revenue Multiples ranged from 1.7x to 5.2x (median 2.6x); reference range applied was 2.5x-4.0x.
• ·DCF analysis used discount rates of 12.5%-15.5% and projected unlevered free cash flows through 2044.
• ·Projected net revenues peak at $1,131M in 2035E then decline (e.g., $800M in 2036E, $214M in 2044E).
• ·Stockholder lawsuits filed March 31, 2026 (Lawrence v. Day One) and April 1, 2026 (Kent), seeking injunction, revisions to Schedule 14D-9, and damages.

14-04-2026

AstroNova reported fourth-quarter fiscal 2026 revenue of $37.5 million, up 0.5% YoY in line with guidance, but gross profit declined 7.4% to $11.3 million due to lower volume and mix; full-year revenue was $150.5 million. Net loss narrowed to $1.1 million ($0.15 per diluted share) from $15.6 million YoY, aided by no goodwill impairment, while adjusted EBITDA rose 18.3% to $3.3 million (8.8% margin). Orders grew 6.5% to $41.1 million, operating cash flow was $3.7 million (up from $2.5 million YoY), and debt fell $2.7 million to $37.6 million, though Aerospace revenue decreased 4.1% to $11.2 million.

• ·Product ID aftermarket revenue represented ~80% of segment sales in Q4 FY26.
• ·Aerospace ToughWriter represented >80% of total flight deck printer shipments.
• ·Major royalty obligation expires in Q3 FY27, providing ~$2 million annualized gross profit benefit.
• ·Fiscal 2027 outlook: mid-single digit revenue growth and expanded adjusted EBITDA margin.

14-04-2026

Westlake Corporation entered into a $67 million settlement agreement on March 26, 2026, with direct purchaser plaintiffs (DPPs) in the PVC Pipe Antitrust Litigation, which involves ten putative class action lawsuits filed in Illinois alleging price-fixing of PVC pipe and fittings; a motion for preliminary court approval was filed on April 13, 2026. The settlement is subject to court approval and does not admit liability, but it represents a material cash outflow. Claims by indirect purchaser plaintiffs remain pending.

• ·Lawsuits filed in Illinois between August 2024 and June 2025.
• ·Indirect purchaser plaintiffs' claims remain pending.
• ·Date of Report (earliest event): April 13, 2026; Filing Date: April 14, 2026.

14-04-2026

Kezar Life Sciences, Inc. filed SC 14D9 on April 14, 2026, recommending shareholders tender shares in response to Aurinia's tender offer commenced April 13, 2026, for $6.955 per share in cash plus one non-transferable CVR, assuming $50M Signing Net Cash. The Board received a fairness opinion from TD Securities (USA) LLC dated March 29, 2026, deeming the consideration fair from a financial point of view. Key related documents include the Merger Agreement dated March 30, 2026, separation agreements for executives effective April 1, 2026, and a lease termination agreement.

• ·Tender Offer documents filed by Aurinia on April 13, 2026.
• ·Merger Agreement dated March 30, 2026, among Kezar, Aurinia Pharma U.S., Inc., and Aurinia Merger Sub, Inc.
• ·Fairness Opinion dated March 29, 2026, from TD Securities (USA) LLC.
• ·Separation Agreements dated April 1, 2026, for Christopher Kirk, Ph.D., Marc Belsky, and Mark Schiller.
• ·Lease Termination Agreement dated April 1, 2026, with GNS South Tower, LP.
• ·CVR entitles holders to 90% of Net Proceeds from Legacy Asset Transaction during specified period.

14-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on April 14, 2026, under Items 7.01 (Regulation FD Disclosure) and 9.01 (Exhibits), announcing the issuance of a press release titled 'AITX Takes Next Step in Market Structure Evolution with OTCQB Application.' The press release is furnished as Exhibit 99.1. The filing was signed by CEO Steven Reinharz.

• ·Filing Date: April 14, 2026
• ·Date of Earliest Event Reported: April 14, 2026
• ·Principal Executive Offices: 10800 Galaxie Avenue, Ferndale, Michigan, United States 48220
• ·Telephone: (877) 787-6268
• ·State of Incorporation: Nevada
• ·Commission File Number: 000-55079
• ·IRS Employer Identification No.: 27-2343603

14-04-2026

Value Investment Professionals, LLC filed its 13F-HR on April 14, 2026, disclosing 81 equity positions with a total market value of $88,750,853 as of March 31, 2026. No new holdings were added during the quarter, and all positions are held with sole voting and sole dispositive power. Holdings are diversified across individual stocks such as Apple Inc. (11,717 shares), Amazon.com Inc. (6,211 shares), and Microsoft Corp. (3,686 shares), as well as various ETFs including Schwab Strategic TR US REIT ETF (66,112 shares) and WisdomTree TR US High Dividend (266,622 shares).

• ·Filing as of date: April 14, 2026
• ·Report period end: March 31, 2026
• ·Largest share positions by volume: Tandy Leather Factory Inc (183,939 shares), WisdomTree TR US High Dividend (266,622 shares)

14-04-2026

Northann Corp. reported FY2025 revenues of $13,601,451, down 11.4% from $15,349,854 in FY2024, with gross profit declining 10.1% to $3,576,998 despite a slight margin improvement to 26.3%. Operating loss widened sharply to $11,455,338 (-84.2% of revenue) from $1,673,940 (-10.9%), driven by selling expenses surging 821% to $9,874,283, while G&A expenses decreased 19.3% to $3,067,218. Net loss expanded to $11,673,981 from $4,379,875 amid ongoing risks from U.S. trade policies impacting Chinese imports and holding company dividend reliance.

• ·Company is a holding company relying on dividends from subsidiaries, with potential limitations impacting ability to pay expenses or dividends.
• ·Recent U.S. trade policies likely to significantly reduce imported goods from China, materially reducing sales in primary markets.
• ·IP risks include potential cessation of vehicle sales/use, substantial damages, licensing needs, or redesigns.

14-04-2026

Loar Holdings Inc. (LOAR) filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting of Stockholders on June 2, 2026, at 10:00 AM ET, held virtually. Key proposals include the election of Class II directors Raja Bobbili, Alison Bomberg, and Margaret (Peg) McGetrick (terms until 2029); ratification of Ernst & Young LLP as independent auditors for the fiscal year ending December 31, 2026; advisory approval of named executive officer compensation; and determining the frequency of future say-on-pay votes. Shareholders must vote by June 1, 2026, 11:59 PM ET, with proxy materials available online at www.ProxyVote.com.

• ·Meeting location: Virtually at www.virtualshareholdermeeting.com/LOAR2026
• ·Proxy materials request deadline: May 19, 2026
• ·Company address: 20 New King Street, White Plains, NY 10604
• ·Vote online at www.ProxyVote.com using control number

14-04-2026

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. Exhibits 99.1 and 99.2 provide the specific transaction details, if any, on the dates noted therein. The filing includes forward-looking statements about potential repurchases subject to market conditions and other factors.

• ·Event date: April 13, 2026
• ·Filing date: April 14, 2026
• ·Securities: Class A Common Stock (NWSA) and Class B Common Stock (NWS) on Nasdaq Global Select Market

14-04-2026

Total revenues for the three months ended October 31, 2025 increased 5.5% YoY to $650.2M, driven by Barnes & Noble Education's product sales (+6.9% YoY) and rental income (+8.9% YoY); six-month revenues rose 17.8% YoY to $942.2M. However, Immersion's core royalty and license revenues plummeted 59.2% YoY to $5.8M in Q2 and 84.6% YoY to $9.6M in H1, resulting in net income attributable to Immersion stockholders declining 61.1% YoY to $12.0M in Q2 and 80.9% YoY to $11.1M in H1. Total assets grew to $1.38B as of October 31, 2025 from $1.10B at April 30, 2025, supported by higher cash and BNED receivables, though liabilities also increased.

• ·Financial statements include restatement of previously-issued statements (Note 3).
• ·Business combination discussed (Note 4).
• ·Dividends declared $1,504 thousand in Q2 FY26.
• ·Noncontrolling interest net income $14,891 thousand in Q2 FY26.

14-04-2026

Drive Wealth Management, LLC filed its 13F-HR combination report on April 14, 2026, disclosing equity holdings as of March 31, 2026, including positions managed in conjunction with Towrsquare Capital LLC, Parametric Portfolio Associates LLC, and AQR Capital Management LLC. Notable holdings include large ETF positions such as Capital Group Fixed Income ETF (188,121 shares) and iShares AAA CLO ETF (174,773 shares), alongside individual stocks like Apple Inc. (10,260 shares), Comcast Corp (18,168 shares), and Exxon Mobil Corp (15,751 shares). No total portfolio value, performance metrics, or period-over-period changes are provided in the filing.

• ·Report period end date: March 31, 2026
• ·Business address: 3333 N Digital Drive #700, Lehi, UT 84043
• ·All reported positions held with sole voting and disposition power
• ·Partial list of holdings provided; filing includes ETFs, stocks across sectors

14-04-2026

Serve Robotics Inc. completed its acquisition of Diligent Robotics, Inc. on January 27, 2026, via a merger agreement dated January 19, 2026. This 8-K/A amendment provides Diligent's audited 2025 financials, which show revenue of $9,044 thousand but a gross loss of $1,385 thousand due to cost of revenues exceeding revenue, alongside a net loss of $22,708 thousand driven by high operating expenses of $18,936 thousand. Diligent reported total assets of $13,436 thousand but carried a stockholders' deficit of $110,240 thousand and significant current liabilities of $17,285 thousand exceeding current assets.

• ·Diligent's operating expenses breakdown: General and administrative $5,653 thousand, Operations $2,811 thousand, Research and development $6,789 thousand, Sales and marketing $3,683 thousand.
• ·Other expenses include interest expense net $1,319 thousand, loss on extinguishment of SVB Loans $74 thousand, loss on issuance of Bridge Loans $1,100 thousand ($600 thousand to related parties).
• ·Auditor consent from dbbmckennon dated April 13, 2026.
• ·Pro forma condensed combined financial statements of Serve as of December 31, 2025 filed as Exhibit 99.2.

14-04-2026

Travere Therapeutics, Inc. announced on April 13, 2026, that the FDA approved FILSPARI (sparsentan) to reduce proteinuria in adult and pediatric patients aged 8 years and older with FSGS without nephrotic syndrome, marking the first FDA-approved medicine for FSGS and expanding beyond IgAN. In the Phase 3 DUPLEX Study (n=371), FILSPARI achieved a statistically significant 46% proteinuria reduction from baseline to Week 108 vs. 30% for irbesartan (p=0.0299) overall, and 48% vs. 27% (p=0.0075) in non-nephrotic patients, with a 1.1 mL/min/1.73 m² eGFR benefit. The U.S. addressable population is estimated at more than 30,000 individuals.

• ·DUPLEX Study: global, randomized, double-blind trial in patients ages 8-75 with biopsy-proven or genetic FSGS; primary endpoint was eGFR change from baseline to Week 108.
• ·eGFR treatment difference in non-nephrotic patients: 1.1 mL/min/1.73 m² (FILSPARI -11.3 vs. irbesartan -12.4).
• ·Nephrotic syndrome defined as proteinuria >3.5 g/24h (adults) or UPCR >2.0 g/g (pediatrics), serum albumin <3.0 g/dL, and edema.
• ·FILSPARI generally well tolerated with safety profile comparable to irbesartan.

14-04-2026

Yarbrough Capital, LLC filed its 13F-HR on April 14, 2026, disclosing sole ownership of 85 equity positions as of March 31, 2026. The portfolio shows significant concentration in technology leaders, with the largest holding in NVIDIA Corporation at 3,262,800 shares, followed by Apple Inc. at 1,744,835 shares, Alphabet Inc. Class A at 1,058,983 shares, and Amazon.com Inc. at 861,764 shares. Additional exposure includes quantum computing firms like D-Wave Quantum Inc., IonQ Inc., and Rigetti Computing Inc., as well as aviation and space stocks such as Joby Aviation Inc. and AST SpaceMobile Inc.

• ·All 85 positions reported as SOLE ownership with no shared discretionary or other voting authority.
• ·Portfolio includes crypto-related ETFs such as Bitwise 10 Crypto Index ETF (498,495 shares) and iShares Bitcoin Trust ETF (142,284 shares).
• ·Exposure to ETFs like Invesco QQQ Trust (144,498 shares) and Vanguard S&P 500 ETF (216,447 shares).

14-04-2026

On April 13, 2026, the Audit Committee of Bridgford Foods Corporation dismissed Baker Tilly US, LLP as its independent registered public accounting firm and appointed Withum Smith+Brown, PC as the new firm for the fiscal year from November 1, 2025, to October 30, 2026. Baker Tilly's reports for the fiscal years ended October 31, 2025, and November 1, 2024, were unqualified, with no disagreements on accounting principles, financial disclosures, auditing scope, or reportable events through the interim period ended April 13, 2026. No prior consultations occurred with the new firm regarding specified regulatory matters.

• ·A letter from Baker Tilly to the SEC agreeing with the statements is attached as Exhibit 16.1.
• ·Company's principal executive offices: 1707 S. Good-Latimer Expressway, Dallas, TX 75226.
• ·Securities: Common Stock (BRID) on Nasdaq Global Market.

14-04-2026

This S-4/A filing details the proposed mergers of Fundrise Merger Entities (Development eREIT, West Coast, East Coast, Growth eREIT II, and others) into Fundrise eREIT, LLC, with holding periods for redemptions carried over post-merger. Distribution policies intend quarterly payouts primarily from operations, but historically, the entities funded portions from non-cash sources such as equity method returns ($176,000 for Development eREIT in FY2025 vs. $380,000 in FY2024, a 54% decline), borrowings ($1.4 million for West Coast in FY2025 vs. $1.3 million in FY2024, a 8% increase), asset sales, and working capital. Fundrise eREIT aims to maintain Investment Company Act exemptions through real estate-focused investments, with no material litigation reported.

• ·Fundrise eREIT intends to invest at least 80% of net assets in private real estate and publicly traded real estate-related investments.
• ·No pre-emptive, exchange, or conversion rights offered.
• ·Policies may be amended without shareholder vote; aims to qualify as REIT with 90% taxable income distribution requirement.
• ·No active material litigation as of filing.

14-04-2026

On April 10, 2026, Patrick McCauley resigned as a director of Chicago Atlantic BDC, Inc., effective immediately, to pursue other opportunities, with no expressed disagreement on any matter relating to the Company’s operations, policies, or practices. Following the resignation, the Board consists of five members, four of whom are independent. The filing was made on April 14, 2026, under Items 5.02 and 9.01.

• ·Company is an emerging growth company.
• ·Common Stock ($0.01 par value per share) trades under symbol LIEN on The Nasdaq Stock Market LLC.
• ·Principal executive offices: 600 Madison Avenue, Suite 1800, New York, NY 10022.

14-04-2026

urban-gro, Inc. entered into a Securities Purchase Agreement dated April 7, 2026, with Agile Hudson Partners LLC for an initial $500,000 First Tranche funding under a convertible Note and accompanying Warrants, exempt from registration under Section 4(a)(2) of the 1933 Act and Rule 506(b). A conditional Second Tranche of $500,000 may follow within 10 trading days of satisfying conditions including the filing of the 10-K for the period ended December 31, 2025, at which point the Note's principal would increase by $549,504.95 (including OID) and accrued interest by $65,940.60. As of April 7, 2026, the Company had 875,600 shares of Common Stock issued and outstanding out of 200,000,000 authorized shares.

• ·Buyer is an accredited investor purchasing Securities for investment, not resale.
• ·Second Tranche Funding Conditions include filing the 10-K with audited financials for fiscal years ended December 31, 2024 and 2025.
• ·Securities subject to restrictive legends until registered or exempt sale under Rule 144, Rule 144A, or Regulation S.

14-04-2026

On April 6, 2026, Dan Leboffe resigned from the Board of Directors of Cyber Enviro-Tech, Inc. (CETI) effective immediately, transitioning to the company's Advisory Board. Concurrently, Brianna Stoecklein, CEO of AirPower USA (CETI's exclusive manufacturing and distribution partner), was appointed to the Board effective immediately to strengthen strategic alignment. Ms. Stoecklein brings over 17 years of executive experience in operations, client relations, and advanced energy technologies commercialization.

• ·CETI trades as CETI on OTCQB.
• ·CETI is an emerging growth company.
• ·Exhibit 17.1: Resignation Letter of Dan Leboffe.

14-04-2026

Stonebridge Capital Management Inc, based in Los Angeles, CA, filed its quarterly 13F-HR on April 14, 2026, disclosing equity holdings as of March 31, 2026, with a total portfolio value of $219,915,188 across 80 positions, all held with sole discretionary voting authority. Top holdings include Apple Inc. ($17,952,618 for 70,738 shares), Microsoft Corp. ($16,089,454 for 43,465 shares), and Cisco Systems Inc. ($5,667,329 for 73,042 shares). No period-over-period changes are available in this filing.

• ·Business address: 1801 Century Park East Suite 1800, Los Angeles, CA 90067
• ·All positions reported as SH SOLE with 0 shared or other voting authority
• ·Includes mutual funds such as PRIMECAP ODYSSEY FUND (260,414 shares, $9,119,700) and Schwab funds

14-04-2026

Insperity, Inc. (NSP) filed its DEF 14A proxy statement for the 2026 Annual Meeting of Stockholders on May 18, 2026, at its Kingwood, Texas headquarters, with a record date of April 6, 2026, and 38,169,182 shares of common stock outstanding. Stockholders will vote on electing four director nominees, an advisory 'say-on-pay' vote on executive compensation, approval of the Second Amendment to the Insperity, Inc. Incentive Plan, and ratification of Ernst & Young LLP as independent auditors for the year ending December 31, 2026. No financial performance metrics or period-over-period comparisons are provided in the filing excerpt.

• ·Meeting location: Auditorium in Centre I, 19001 Crescent Springs Drive, Kingwood, Texas 77339, at 1:30 p.m. Houston time.
• ·Voting standard for all proposals: Votes cast FOR must exceed votes cast AGAINST; Proposals 1-3 are non-routine (broker non-votes possible), Proposal 4 is routine.
• ·Quorum requires majority of outstanding shares present in person or by proxy.

14-04-2026

ImmuCell Corporation (Nasdaq: ICCC) appointed Dr. Gilles Guillemette and Dr. Anthony DiMarco to its Board of Directors effective April 15, 2026, to bolster its innovation strategy in animal health biologics, particularly for the First Defense® product line. The company is transitioning to a 7-person Board with six independent directors and the CEO, establishing a new Strategy and Technology Committee chaired by Dr. Guillemette. Retiring board members Bryan Gathagan, Michael Brigham, and Bobbi Brockmann step down effective April 15, 2026, while Timothy Fiori retires after the June 11, 2026 Annual Meeting.

• ·Annual Meeting of Stockholders scheduled for June 11, 2026 at 9:30 AM ET via live audio webcast and telephone.
• ·Ms. Brockmann and Mr. Fiori will continue in their executive roles post-retirement from the Board.
• ·Updated Investor Presentation available at http://www.immucell.com/investors.

14-04-2026

Cartesian Growth Corporation III (CGC), a SPAC, filed Amendment No. 1 to its S-4 registration statement on April 13, 2026, related to its Business Combination Agreement with Factorial Inc., dated December 17, 2025 (amended March 26, 2026), involving domestication from Cayman Islands to Delaware and merger of a wholly-owned subsidiary into Factorial, with CGC renaming to Factorial Holdings, Inc. The filing includes a proxy statement/prospectus for an extraordinary general meeting to approve the transaction and registers up to 143,912,243 shares of common stock, 16,200,000 warrants, and 16,200,000 shares underlying warrants. No financial performance metrics or period-over-period comparisons are disclosed in this preliminary filing.

• ·Business Combination Agreement approved by CGC Board on December 16, 2025.
• ·Domestication planned one business day prior to Closing Date.
• ·Factorial Founders to hold all PubCo Series B Common Stock with 10x voting rights, convertible to Series A.
• ·Registration No. 333-294663.
• ·CGC SIC code: 6770; Factorial SIC code: 3690.

14-04-2026

AMERICAN BATTERY MATERIALS, INC. (BLTH) filed an S-1/A registration statement on April 14, 2026, as part of its IPO process, covering periods through 2025-12-31. The company disclosed significant material weaknesses in its internal control over financial reporting and disclosure controls, including insufficient qualified accounting personnel, lack of segregation of duties, and ineffective handling of complex transactions under U.S. GAAP. These issues raise risks of financial statement errors, potential restatements, and loss of investor confidence impacting stock price, with no offsetting positive financial metrics provided.

• ·Material weaknesses may lead to errors requiring restatements of consolidated financial statements.
• ·Multiple promissory notes, convertible notes, and related-party transactions referenced across 2023-2025 periods.
• ·XBRL tags indicate equity components (Preferred Stock, Common Stock, Additional Paid-In Capital, Retained Earnings) for periods ending 2023-12-31, 2024-12-31, and 2025-12-31.

14-04-2026

Willow Lane Acquisition Corp. filed a Rule 425 disclosure on April 14, 2026, regarding social media posts published on April 13, 2026, by Boost Run, Willow Lane, and CEO B Luke Weil about the previously announced Business Combination Agreement dated September 15, 2025, with Boost Run Holdings, LLC and affiliates. The filing urges shareholders to review the upcoming Form S-4 Registration Statement, proxy statement/prospectus, and other SEC documents for details on the transaction. No financial metrics or performance data were disclosed.

• ·Business Combination Agreement entered into on September 15, 2025
• ·Social media posts published on X and LinkedIn on April 13, 2026
• ·Proxy solicitation for extraordinary general meeting to approve Business Combination

14-04-2026

CGC Financial Services, LLC filed its 13F-HR on April 14, 2026, disclosing total equity holdings of $346,057,622 across 331 positions as of March 31, 2026. The portfolio is heavily weighted toward ETFs, with top holdings including JPMorgan Hedged Equity Laddered Overlay ETF ($69,665,102), Schwab US Dividend Equity ETF ($49,587,952), and JPMorgan Small & Mid Cap Enhanced Equity ETF ($22,671,153). All positions are held solely with full discretionary voting authority and no reported changes from prior periods in this filing.

• ·Filing CIK: 0001992785
• ·SEC File Number: 028-23386
• ·Business Address: 5 Centerpointe Dr, Suite 550, Lake Oswego, OR 97035
• ·All holdings reported as sole discretionary with zero shared or other voting authority

14-04-2026

Hydrofarm Holdings Group, Inc. entered into a Forbearance Agreement on April 8, 2026, with lenders and FEAC Agent, LLC following a Specified Event of Default for failing to pay interest due January 31, 2026, on its $125,000,000 senior secured Term Loan. The forbearance period runs until April 30, 2026 (extendable), during which the company must maintain at least $1,000,000 in average daily cash, provide budgets and asset sale term sheets, and adhere to strict covenants amid liquidity concerns. An accompanying Amendment No. 2 replaced JPMorgan with FEAC as administrative and collateral agent and imposed additional reporting requirements.

• ·Event of Default notice issued February 11, 2026
• ·Forbearance termination possible upon new Events of Default, non-compliance with requirements, or breaches of representations
• ·Company must present at least two asset valuation bids and a cash flow projection approved by Financial Advisor

14-04-2026

Seer, Inc. confirmed receipt on April 13, 2026, of a highly contingent, non-binding, and unsolicited acquisition proposal and director candidate nominations from Bradley L. Radoff, Michael Torok, and certain of their affiliates (Radoff-JEC Group). The company issued a press release on the matter, filed via Form 8-K and DEFA14A as soliciting material. No financial terms of the proposal were disclosed in the filing.

• ·Filing date: April 14, 2026
• ·Date of earliest event reported: April 13, 2026
• ·Securities: Class A Common Stock (SEER) on NASDAQ Global Select Market

14-04-2026

Arcadia Investment Advisors LLC filed a 13F-HR report disclosing 81 equity positions totaling $211813007 as of March 31, 2026, all held under sole investment discretion with no reported changes, shared holdings, or other voting authority. The portfolio is diversified across individual stocks and ETFs, with top holdings including Schwab Strategic TR US Lrg Cap ETF at $12933355, SPDR Index Shs Fds State Street Spd (78463X848) at $11380155, and American Cnty ETF Tr Avantis US LARG at $11032341. No period-over-period comparisons are provided in the filing.

• ·All positions held with sole voting authority.
• ·No put/call options or other manager discretion reported.
• ·Filed on April 14, 2026 for period ending March 31, 2026.

14-04-2026

Alphega Innovations Corp reported a significantly widened net loss of $1,176,593 for the three months ended February 28, 2026, up 92% YoY from $613,208, driven by elevated expenses including consulting ($140,250), legal fees ($840,729), and a $144,666 loss on settlement, with no revenue generated. Total liabilities rose 46% QoQ to $3,261,023 as of February 28, 2026, mainly from a $887,148 increase in due to related parties to $2,768,740, deepening the stockholders' deficit to $(3,254,302). Cash balance improved modestly 225% QoQ to $6,721, supported by $40,000 in related party financing amid $35,349 cash used in operations.

• ·Basic and diluted weighted average shares outstanding: 14,749,666 (2026) vs 14,670,000 (2025)
• ·Common stock issued for services: $160,740 (adjustment in cash flow from operations, 2026)
• ·Short term business loan unchanged at $17,000 QoQ
• ·No cash flows from investing activities in either period
• ·Entity is a small business and emerging growth company per filing

14-04-2026

JOSS Realty REIT, Inc. filed an amended S-11 registration statement to offer 3,000,000 shares of common stock (plus up to 450,000 underwriter option shares) at a $5.00 midpoint price, expecting net proceeds of $10.75 million ($13.00 million if option exercised in full) to fund formation transactions and general purposes. Predecessor financials showed revenues declining 13.3% YoY to $5,524,485 in 2025 from $6,371,871 in 2024, with net losses widening to $3,008,001 from $1,344,357, amid substantial going concern doubts due to ongoing losses and liquidity risks. Pro forma balance sheet as of December 31, 2025 reflects total assets of $48,155,470 and stockholders' equity of $13,747,535 post-offering and transactions.

• ·Weighted average remaining lease term (WALT): 5.2 years excluding renewal options
• ·Ownership restrictions: no more than 9.8% in value or number of shares by any person
• ·REIT election intended for taxable year ending December 31, 2026
• ·Company formed April 15, 2025; principal office at 650 5th Avenue, Suite 2700, New York, NY 10019
• ·Trading symbol: JOSS
• ·Substantial doubt about going concern due to net losses and liquidity needs

14-04-2026

Runnymede Capital Advisors, Inc. filed its 13F-HR report for the quarter ended March 31, 2026, disclosing a total portfolio value of $116.4 billion across 75 holdings, heavily concentrated in technology and leveraged ETFs. Top positions include ProShares Ultra Technology UIT Exchange Traded ($11.97B), Invesco QQQ TR UIT Exchange Traded ($7.82B), NVIDIA Corp ($7.15B), Alphabet Inc ($6.70B), and Amazon.com Inc ($6.68B). The portfolio also features significant allocations to Apple ($6.26B), Microsoft ($5.65B), and crypto-related ETFs like Grayscale Bitcoin Trust ($639M).

• ·Filing date: April 14, 2026
• ·Report period end date: March 31, 2026
• ·All positions reported as sole ownership with no shared or other voting authority

14-04-2026

Colorado Capital Management, Inc. disclosed its 13F-HR holdings as of March 31, 2026, totaling $268.222 million across 106 positions, with a strong emphasis on Dimensional ETFs, NuShares ESG funds, iShares ESG products, and Vanguard index funds. Top holdings include DBX ETF TR XTRCKR MSCI US ($17.712M), Dimensional ETF Trust INTL CORE EQT MK ($16.543M), and Vanguard World FD MEGA CAP INDEX ($14.068M). The portfolio features no shared voting authority, all as sole discretionary.

• ·All 106 positions held with sole voting authority (SH SOLE); no shared or other authority reported.
• ·Heavy allocation to ESG/sustainable themes including NuShares ESG series ($24.1M+ across funds), iShares ESG products ($20M+), and Dimensional sustainability funds.
• ·Individual equities represent smaller portion, e.g., Apple Inc. 33299 shares ($8.451M), Alphabet Inc. Cl A 7174 shares ($2.063M).

14-04-2026

Mayfair Gold Corp. filed its Form 40-F annual report for the fiscal year ended December 31, 2025, incorporating the Annual Information Form, MD&A, and audited financial statements under IFRS for 2025 and 2024. The company has 67,080,496 common shares outstanding and trade payables of $1,167,556 as at December 31, 2025. Management concluded that disclosure controls and procedures were effective with no changes to internal controls over financial reporting.

• ·Emerging growth company status confirmed.
• ·Code of business conduct adopted effective January 2026.
• ·No off-balance sheet arrangements.
• ·Audit Committee pre-approval policy for external auditor services in place.

14-04-2026

Nature’s Miracle Holding Inc. announced on April 13, 2026, that investors should no longer rely on its unaudited condensed consolidated financial statements as of and for the three and nine months ended September 30, 2025, included in the Form 10-Q filed November 14, 2025, due to the erroneous omission of a short-term loan. The company plans to file an amended Form 10-Q/A to restate these financial statements. Management and the Audit Committee discussed the issue with auditor WWC, P.C., with no further details on the loan amount or impact provided.

• ·Original 10-Q filed with SEC on November 14, 2025.
• ·Company auditor for fiscal year ended December 31, 2025: WWC, P.C.
• ·Securities: Common Stock (NMHI, par value $0.0001), Warrants (NMHIW, exercise price $11.50 per share).

14-04-2026

SemiLEDs Corp reported sharply declining revenues of $1,064 for the three months ended February 28, 2026 (down 90% YoY from $10,872) and $3,633 for the six months (down 70% YoY from $12,133), resulting in net losses of $603 (vs profit of $388) and $1,345 (vs $159 loss) respectively, with gross profit nearly vanishing at $6 and $24. However, cash and cash equivalents increased 53% to $3,978 from $2,593, supported by positive operating cash flow of $1,564 (up 25% YoY from $1,247). Shareholders' equity declined to $1,504 from $2,780 amid widening losses.

• ·Accounts receivable net decreased to $1,649 from $3,588.
• ·Accrued expenses and other current liabilities increased to $8,924 from $3,776.
• ·Net cash used in investing activities $16 vs $258 YoY.
• ·Shares used in computing EPS: 8,241 basic and diluted for six months 2026.

14-04-2026

XCF Global, Inc. (SAFX) entered into a definitive Business Combination Agreement on April 13, 2026, with DevvStream Corp. and Southern Energy Renewables Inc., structured as mergers where both targets will become wholly-owned subsidiaries in exchange for Company Common Shares, following a prior term sheet from January 26, 2026. The deal advances strategic growth in renewables but remains subject to extensive closing conditions including shareholder approvals, regulatory clearances, fairness opinions, $400M Louisiana bond issuance approval, $10M minimum cash, $1B annualized revenue target by June 30, 2026, and execution of key offtake agreements. Termination fees range from $510,000 to $1.19M apply in certain scenarios, with an Outside Date approximately 10 months from signing.

• ·Fairness opinions required within 20 Business Days of BCA signing, with termination rights if not received.
• ·Outside Date is 10 months from April 13, 2026, with possible 30-day extension.
• ·Southern shareholder approval already obtained prior to BCA execution.
• ·DevvStream equity awards (warrants, options, RSUs, convertible notes) to convert into Company Common Shares.

14-04-2026

Chipmos Technologies Inc reported revenue growth of 6.2% YoY to NT$22,695.9 million in 2024 and 5.5% to NT$23,932.9 million ($762.9M) in 2025, driven by increasing revenue shares in Testing (to 23.7%), Assembly (to 28.6%), and Bumping (to 23.2%). However, gross profit margins compressed from 16.6% in 2023 to 10.8% in 2025 amid declines in the Display panel driver segment (share to 24.5%, margin to 7.5%), leading to operating profit falling to NT$1,142.7 million and net profit plunging 61.7% YoY to NT$550.6 million ($17.6M) in 2025.

• ·Capital expenditures declined to NT$3,666.1 million in 2025 from NT$5,451.4 million in 2024.
• ·Net cash from operating activities fell to NT$3,996.4 million in 2025 from NT$6,607.5 million in 2023.
• ·Non-operating income turned to net loss of NT$552.0 million ($17.6M) in 2025 from gains in prior years.
• ·Basic EPS declined to NT$0.78 ($0.02) in 2025 from NT$2.71 in 2023.
• ·Total employees decreased to 5,747 as of Dec 31, 2025 from 5,898 in 2024.

14-04-2026

14-04-2026

Wells Fargo reported first quarter 2026 net income of $5,253 million, up 7% YoY from $4,894 million, with diluted EPS of $1.60, up 15% YoY, driven by total revenue of $21,446 million (+6% YoY), average loans of $996.0 billion (+10% YoY), and average deposits of $1,415.0 billion (+6% YoY). However, provision for credit losses surged to $11,135 million from $932 million YoY due to higher allowances on certain loan types, net income declined 2% QoQ to $5,253 million from $5,361 million, CET1 ratio fell to 10.3% from 11.1% YoY, and segments showed mixed results including Home Lending revenue down 9% YoY and Commercial Real Estate down 21% YoY.

• ·Net loan charge-offs of $1,106 million, stable at 45 basis points annualized YoY.
• ·Nonperforming assets at 0.86% of total loans, stable QoQ.
• ·Repurchased 46.3 million shares for $4.0 billion.
• ·Client assets grew 11% YoY to $2,483 billion.