S&P 500 Financials Sector SEC Filings — April 09, 2026

09-04-2026

Piper Sandler Companies filed definitive additional proxy materials (DEFA14A) on April 9, 2026, urging employee shareholders to vote in the 2026 Annual Meeting of Shareholders via email links or www.proxyvote.com using 16-digit control numbers. The Board recommends voting FOR all director nominees, FOR ratification of Ernst & Young LLP as independent auditor for the year ending December 31, 2026, and FOR the advisory say-on-pay vote on officer compensation.

• ·Employees own a significant amount of Piper Sandler common stock, making their votes critical.
• ·Shareholders with multiple brokerage accounts or restricted shares must vote each set separately.

09-04-2026

Solid Power, Inc. issued a DEFA14A filing as definitive additional proxy materials for its 2026 Annual Meeting of Stockholders, to be held virtually on May 20, 2026, at 10:00 AM Mountain time. Key proposals include electing three Class II directors, ratifying Deloitte & Touche as the independent registered public accounting firm for the fiscal year ending December 31, 2026, and approving by non-binding advisory vote the compensation of named executive officers. Proxy materials, including the annual report for the year ended December 31, 2025, are available online at https://www.cstproxy.com/solidpower/2026, with requests for paper copies due by May 6, 2026.

• ·Board recommends voting 'FOR' all nominees in Proposal 1, 'FOR' Proposal 2, and 'FOR' Proposal 3.
• ·Meeting location: https://www.cstproxy.com/solidpower/2026.
• ·Company address: 486 S. Pierce Avenue, Suite E, Louisville, CO 80027.
• ·Proxy services contact: c/o Continental Proxy Services, 1 State Street, New York NY 10004; phone 917-262-2373; email proxy@continentalstock.com.

09-04-2026

Anbio Biotechnology (NNNN) filed a 20-F/A amendment on April 09, 2026. The filing updates the company contact address to Friedrich-Ebert-Anlage 35-37, 60327 Frankfurt am Main, Germany. It confirms Class A Ordinary Shares, par value $0.0001 per share, trading under symbol NNNN on The Nasdaq Stock Market LLC (Nasdaq Global Market).

09-04-2026

On April 8, 2026, IDEAYA Biosciences, Inc. entered into a clinical collaboration agreement with AstraZeneca plc to evaluate IDE849, a potential first-in-class DLL3 TOP1 antibody-drug conjugate, in combination with AstraZeneca's Imfinzi (durvalumab) for extensive-stage small cell lung cancer (SCLC). IDEAYA will sponsor the clinical combination study, with AstraZeneca supplying Imfinzi, as part of advancing a multi-site global Phase 1 trial for IDE849 in DLL3 upregulated solid tumors including SCLC, neuroendocrine carcinomas (NECs), neuroendocrine tumors (NETs), and melanoma.

• ·Trial enrollment in North America, Europe, Australia, South America, and Asia.
• ·DLL3 upregulated in SCLC, NECs, NETs, non-small cell lung cancer, and melanoma.
• ·DLL3 has limited extracellular expression in normal tissues.

09-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed a Form 8-K on April 9, 2026, under Items 8.01 and 9.01, announcing the issuance of a press release titled 'AITX's RAD-R Unveils New radcam.ai Built Around the RADCam Experience,' attached as Exhibit 99.1. The information is furnished and not deemed filed for liability purposes. No financial metrics or period comparisons are reported.

• ·Filing is not intended to satisfy other filing obligations under Rule 425, 14a-12, 14d-2(b), or 13e-4(c).
• ·Registrant is incorporated in Nevada with CIK 0001498148 and EIN 27-2343603.
• ·Principal executive offices at 10800 Galaxie Avenue, Ferndale, Michigan 48220.

09-04-2026

The Gabelli Dividend & Income Trust (GDV-PK) has released definitive additional proxy materials (DEFA14A) urging shareholders to vote for its three Board-nominated trustees using the WHITE proxy card at the Annual Meeting on May 11, 2026, and explicitly not to support activist investor Saba Capital Management's nominee via the GOLD proxy card. The Board states it evaluated Saba’s nominee in good faith but concluded the individual lacks comparable experience in Fund strategy, service providers, and U.S. investment company governance, potentially prioritizing Saba’s short-term objectives over long-term shareholder interests. No financial metrics are provided, but the proxy contest highlights ongoing governance tensions with no resolution indicated.

• ·Annual Meeting of Shareholders: May 11, 2026
• ·Shareholder hotline: 1-888-548-6498 (Mon-Fri, 9:00am-10:00pm Eastern Time)
• ·Proxy cards: WHITE (Board-supported), GOLD (Saba-supported, urged not to use)
• ·If GOLD card returned previously, WHITE card can revoke it

09-04-2026

Beyond Meat's 2025 net revenues declined 15.6% YoY to $275,496 thousand from $326,452 thousand, with all segments contracting: U.S. Retail -17.5%, U.S. Foodservice -18.1%, International Retail -11.1%, and International Foodservice -13.7%. Gross profit plummeted 81.7% to $7,646 thousand (2.8% margin vs. 12.8% prior year) despite a 5.9% COGS reduction to $267,850 thousand, while operating loss widened to $(333,621) thousand from $(156,124) thousand amid $48,987 thousand asset write-down and $51,288 thousand impairments. Total non-cash charges reached $62,766 thousand, including costs from China operations cessation.

• ·Inventory write-offs: $260 thousand
• ·Accelerated depreciation in COGS: $5,575 thousand; in R&D: $915 thousand
• ·SG&A loss on write-down and write-off of assets: $3,712 thousand
• ·Incremental excess and obsolescence provision: $6,672 thousand
• ·Expenses related to cessation of operational activities in China (COGS): $5,835 thousand; (operating expenses): $1,272 thousand
• ·R&D expenses: 8.4% of revenues (down from 8.6%)
• ·SG&A expenses increased to 79.0% of revenues from 52.0%

09-04-2026

AMASS Brands filed an S-1 registration statement on April 8, 2026, for a direct listing/IPO, disclosing board committee structures, code of conduct, and executive compensation for fiscal years 2024 and 2025. Named executive officer total compensation showed mixed results: CEO Mark T. Lynn's salary increased ~20% to $200,600 with flat total comp, COO Erin K. Green's total rose significantly to $1,192,600 driven by $992,000 in options (salary flat at ~$200,600), while no bonuses were paid to any NEOs and former interim CFO Geoffrey McFarlane's pay declined slightly to $240,000. The company plans post-listing compensation adjustments and equity grants under the 2016 Stock Option Plan.

• ·No employer matching or nonelective contributions to 401(k) Plan in FY2024 or FY2025.
• ·All committee members (Audit, Compensation, Nominating) determined independent per Nasdaq and SEC rules.
• ·Zach Ament eligible for pro-rata $40,000 bonus upon direct listing closing.

09-04-2026

Lakehouse Capital Pty Ltd, an institutional investment manager based in Sydney, Australia, filed a Form 13F-HR on April 9, 2026, disclosing total holdings valued at $148,249,000 as of March 31, 2026, across 13 positions. Top holdings include Mercadolibre Inc ($29,812,000), Servicenow Inc ($18,980,000), and Workiva Inc ($16,029,000), with all positions held solely. No prior period data is provided in the filing for comparison.

• ·All 13 positions held as sole voting power with zero shared, none, or other voting power.
• ·Smallest holding: Veeva Sys Inc at $4,246,000 (16,555 shares).
• ·Portfolio includes tech-heavy names like Microsoft (21,773 shares), Alphabet Class C (24,814 shares), and Amazon (28,542 shares).

09-04-2026

Brown & Brown, Inc. issued its annual 2025 Global Impact Report on April 8, 2026, furnished as Exhibit 99.1 via Form 8-K under Items 7.01 and 9.01. The report is provided as part of Regulation FD Disclosure and is not deemed 'filed' for purposes of the Exchange Act or incorporated by reference in other filings.

09-04-2026

Six Flags Entertainment Corporation announced that its subsidiary, Six Flags America Property Corporation, entered into a purchase agreement to sell certain real property in Prince George’s County, Maryland, to a joint venture between 35V (co-founded by Kevin Durant and Rich Kleiman) and TPA Group. The company plans to use net proceeds from the transaction to pay down debt obligations. The deal remains subject to buyer diligence and other closing conditions.

• ·The information under Item 7.01 is not deemed 'filed' for purposes of Section 18 of the Exchange Act.
• ·Registrant’s principal executive offices: 8701 Red Oak Blvd., Charlotte, North Carolina 28217.

09-04-2026

Paloma Acquisition Corp I announced on April 8, 2026, that holders of its IPO units (PALOU) may elect to separate and trade the underlying Class A ordinary shares (PALO) and redeemable warrants (PALOW) starting April 13, 2026. Each unit consists of one Class A ordinary share (par value $0.0001) and one-half of one redeemable warrant, with each whole warrant exercisable for one Class A share at $11.50 per share. Unseparated units will continue trading on Nasdaq under PALOU, and brokers must contact transfer agent Efficiency INC for separation.

• ·Filing submitted on behalf of Paloma Acquisition Corp I, a Cayman Islands incorporated emerging growth company trading on Nasdaq.

09-04-2026

ARC Group Acquisition I Corp. (ARCL) filed an S-1/A amendment to its registration statement on April 9, 2026, detailing SPAC-related securities such as private units, Class B ordinary shares, founder shares, and representative shares involving the Sponsor, Mfh2 LLC, and Ian Hanna. The filing outlines multiple hypothetical scenarios for over-allotment option exercise (none to full) and public shareholder redemptions (0% to 100% of maximum) as of December 31, 2025, including impacts on net proceeds, tangible book value, and shares outstanding. The offering price is set at $10.00 per unit.

• ·Scenarios include no/full over-allotment with redemptions at 25%, 50%, 75%, or 100% of maximum.
• ·Key dates: April 8, 2026 (Sponsor private units and shares); May 27, 2025 (Class B shares to Sponsor); December 31, 2025 (various redemption and dilution calculations).

09-04-2026

RMX Industries, Inc. (formerly Reticulate Micro, Inc., name changed March 23, 2023) filed an S-1 registration statement on April 9, 2026, to register securities under the 1933 Act, signaling preparation for an initial public offering. The filing incorporates by reference over 70 exhibits, including private placement subscription agreements and promissory notes from 2022 to 2026, multiple executive employment, consulting, and separation agreements, IP licenses and purchases, leases, joint ventures, escrow agreements, and amendments to the 2022 Equity Incentive Plan. No financial performance metrics, period-over-period comparisons, or specific monetary amounts are detailed in the provided filing content.

• ·Incorporated in Nevada (EIN: 882960484)
• ·Fiscal year end: December 31
• ·Business address: 4514 Cole Ave, Ste. 600, Dallas, TX 75205
• ·SIC: 7370 (Services-Computer Programming, Data Processing, etc.)
• ·SEC file number: 333-294940

09-04-2026

Palomino Laboratories Inc. reported a change in its principal executive offices and principal mailing address from 12 E. 49th Street, 11th Floor, New York, NY 10017 to 130 Castilian Drive, Suite 102, Goleta, CA 93117, with the event dated April 8, 2026. The filing was signed by CEO Jeffrey B. Shealy. No financial impacts or operational changes were disclosed.

• ·Incorporated in Delaware; Commission File Number: 000-56582; I.R.S. Employer Identification No.: 88-1619619
• ·Registrant’s telephone number: (704) 756-2981
• ·Emerging growth company: Yes

09-04-2026

News Corporation filed an 8-K disclosing information provided to the Australian Securities Exchange (ASX) regarding its ongoing $1 billion stock repurchase program for Class A (NWSA) and Class B (NWS) common stock. The program authorizes repurchases of up to $1 billion in aggregate, with daily disclosures to ASX as required. Exhibits 99.1 and 99.2 contain the specific ASX disclosures on their respective dates; no new transactions or program changes are detailed.

• ·Date of earliest event reported: April 8, 2026
• ·Filing date: April 9, 2026
• ·Principal executive offices: 1211 Avenue of the Americas, New York, New York 10036
• ·Registrant not an emerging growth company

09-04-2026

The proxy statement discloses material weaknesses in Boost Run's internal control over financial reporting, including inadequate IT general controls, insufficient segregation of duties, and lack of qualified personnel, which remain unremediated despite some remedial actions as of December 31, 2025. Management expects remediation efforts, such as implementing an enhanced ITGC framework and hiring additional expertise, to continue into 2026, with full compliance testing potentially extending further. Additional risks include dependence on key management personnel, competitive hiring challenges, and evolving regulations on AI, machine learning, cloud services, and export controls on AI-related technologies like GPUs.

• ·Boost Run not required to evaluate internal controls prior to Prospectus but identified material weaknesses during preparation.
• ·Remediation testing expected to extend into 2026; Section 404 reporting begins with 10-K for year ending December 31, 2026.
• ·EU AI Act entered force August 1, 2024, with majority requirements applying from 2026; fines up to 7% of worldwide annual turnover.
• ·U.S. export controls on AI chips updated October 2022, October 2023, January 2025 (later rescinded but modified).

09-04-2026

Resources Connection, Inc. reported Q3 FY2026 revenue of $107.9M, down 16.6% YoY from $129.4M, and nine-month revenue of $345.9M, down 16.0% YoY from $412.0M, reflecting declines in billings. However, net loss narrowed significantly to $9.5M in Q3 (from $44.1M YoY) and $24.5M for nine months (from $118.5M YoY), driven by absence of prior-year goodwill impairment charges ($42.0M Q3, $125.4M nine months) and lower SG&A expenses.

• ·Cash and cash equivalents decreased to $82.8M from $86.1M at fiscal year-end.
• ·Accrued salaries and related obligations declined to $32.7M from $47.9M.
• ·Cash dividends declared per share reduced to $0.07 in Q3 (from $0.14 YoY) and $0.21 for nine months (from $0.42 YoY).
• ·Weighted-average basic shares outstanding: 33,698 (Q3 FY2026) vs 32,938 (Q3 FY2025).

09-04-2026

Janus Henderson Group plc filed additional definitive proxy materials (DEFA14A) on April 9, 2026, supplementing the proxy statement originally filed on March 11, 2026 (mailed March 12), and further supplemented on March 27 and April 7, 2026, in connection with a proposed transaction. A related Schedule 13E-3 transaction statement was filed on March 11, 2026, and amended as recently as March 30, 2026. Shareholders are urged to review these and any future SEC filings for important information, available free on the SEC website or Janus Henderson's investor relations page.

• ·References financials for year ended December 31, 2025, in other filings.
• ·Documents available at https://www.sec.gov and https://ir.janushenderson.com

09-04-2026

Ensysce Biosciences filed an S-3 shelf registration statement on April 8, 2026, allowing Selling Securityholders to sell common stock, with the company receiving no proceeds but potential funds from warrant exercises for working capital. The company reports substantial ongoing losses, cash sufficient only into Q2 2026, a going concern doubt from auditors, and recent Nasdaq bid price non-compliance (below $1.00 since Feb 2026, deadline Aug 24, 2026), risking delisting despite prior equity compliance. Additional risks include dilution from up to $16M more securities issuable, high stock volatility (low $0.314 to high $4.85 over past year), and potential penny stock restrictions.

• ·Current cash on hand sufficient to fund operations into Q2 2026.
• ·Nasdaq compliance history: Regained stockholders’ equity compliance Nov 14, 2024 (as of Sep 30, 2024); bid price compliance Dec 20, 2024; non-compliant equity as of Sep 30, 2025 but compliant post-Nov 14, 2025 raise; bid price non-compliant notice Feb 25, 2026.
• ·Selling Securityholders bear their own underwriting discounts, commissions, and expenses; company bears registration costs.
• ·Authorized to issue preferred stock series with customizable terms via Board resolution.

09-04-2026

Webull Corp's 20-F annual report discloses significant revenue concentration risk from a limited number of market makers and liquidity providers, with top contributors shifting between 2024 (e.g., DASH at 18.5%, Susquehanna at 11.2%) and 2025 (e.g., DASH declining to 13.2%, Susquehanna to 4.0%, while Citadel rose to 11.7% and Jane Street at 11.5%). While customer retention remains strong at 97% in Q4 2025, risks include potential dilution and price volatility from resales of Webull Class A Ordinary Shares and warrant exercises.

• ·Registered users are those who have registered on the platform but not necessarily opened a brokerage account.
• ·Funded accounts are brokerage accounts with initial deposit where balance has not dropped to or below zero for 45 consecutive days.

09-04-2026

EBR Systems reported robust Q1 2026 commercial momentum with 41 WiSE System implants, more than doubling case volumes from Q4 2025 and bringing total implants to 71. Preliminary unaudited revenue is expected in the range of US$2.25M to US$2.36M, with an additional 16 purchase agreements signed and 22 physicians trained. The company implemented a 1-for-10 reverse stock split effective 1 April 2026, with no impact on individual ownership ratios.

• ·Investor webinar scheduled for 10 April 2026 at 09:00am AEST to discuss Q1 2026 results.
• ·1-for-10 reverse stock split of common stock effective 1 April 2026; CDIs conversion ratio changed to 10:1, normal trading post-split on 13 April 2026.
• ·Management participated in multiple investor conferences including J.P. Morgan Healthcare Conference and others during the quarter.

09-04-2026

The Board of abrdn National Municipal Income Fund (VFL) is proposing a reorganization into MFS Municipal Income Fund (MFM) to broaden VFL's investment mandate by removing the current 20% limit on High Yield municipal bonds, allowing expected allocations of 30-50% depending on market conditions, which could enhance income, distributions, and risk-adjusted returns through a larger, more liquid fund with lower expenses. This change weighs a modest increase in credit risk—evidenced by MFM's lower AAA exposure (16% vs. VFL's 45%) and higher Not Rated (40% vs. 19%) and CCC/below (25% vs. 14%) holdings as of 12/31/25—against benefits like improved diversification and higher yields. Even if the reorganization fails, the Board plans to broaden VFL's mandate similarly.

• ·Data sourced from Fund Factsheets as of 12/31/25
• ·Aberdeen expects to manage with High Yield allocations of 30-50% depending on market conditions, whether reorganization occurs or not
• ·Historical analysis shows municipal High Yield default rates lower than comparable corporates

09-04-2026

Alchemy Investments Acquisition Corp 1's 10-K filing highlights risks associated with its SPAC structure, including obligations to repay or issue shares for up to $1,500,000 in potential working capital loans from its sponsor, officers, directors, or affiliates. It also discloses risks of change in control from substantial Ordinary Share issuances, cash flow diversion to debt servicing limiting funds for dividends and other purposes, and borrowing limitations compared to less-leveraged competitors. Additionally, issuing equity below $10.00 per share or certain transfer arrangements could trigger upward adjustments to warrant exercise prices, potentially complicating the initial business combination.

• ·Warrant exercise price adjusts to 115% of the greater of (x) 20-out-of-30 day VWAP starting 150 days post-business combination or (y) $3.00, capped at $11.50, if equity issued below $10.00 minimum issue price.
• ·$18.00 per share warrant redemption trigger adjusts to adjusted exercise price plus $6.50 under the same conditions.

09-04-2026

Wealth Advisors Northwest LLC filed its 13F-HR report on April 9, 2026, disclosing $238,432,555 in total holdings as of March 31, 2026, across 57 positions primarily consisting of Dimensional ETF Trust funds, SPDR index shares, Vanguard ETFs, and individual stocks like Apple Inc., Amazon.com Inc., and Alphabet Inc. The largest holding is Dimensional ETF Trust US Core Equity 2 ETF valued at $58,563,031, followed by US Small Cap Value ETF at $19,283,152. No changes in holdings or performance metrics are indicated in the filing.

• ·Filing period end date: March 31, 2026
• ·Business address: 9400 SW Barnes Road, Suite 309, Portland, OR 97225
• ·All positions reported as SH SOLE with no put/call/other shares or discretion indicated

09-04-2026

For the year ended December 31, 2025, Healthy Extracts Inc. reported revenue growth of 45% YoY to $4,511,997 and gross profit increase of 27% to $2,422,491, supported by the acquisition of Gummy USA LLC which drove total assets to $27,824,664 from $2,377,973. However, general and administrative expenses surged 61% to $3,366,341, leading to a widened net loss of $881,119 from $840,671 in 2024, while current assets declined to $1,327,317.

• ·Net cash provided by operating activities decreased to $165,520 from $281,968 YoY.
• ·Cash flows from investing activities provided $56,301, including acquisition of Gummy USA LLC.
• ·Weighted average shares outstanding increased to 9,305,121 from 2,978,540, with basic and diluted loss per share improving to $(0.09) from $(0.28).
• ·Raw materials inventory decreased to $534,514 from $1,932,383.

09-04-2026

Quartzsea Acquisition Corp filed a 10-K/A amendment on April 09, 2026, listing its registered securities classes on Nasdaq Stock Market LLC. The securities include Units (QSEAU), each consisting of one ordinary share and one right; Ordinary shares (QSEA), par value $0.0001 per share; and Rights (QSEAR), each entitling the holder to one-fifth of one ordinary share.

• ·Filing Type: 10-K/A
• ·Filing Date: April 09, 2026
• ·Ordinary shares par value: $0.0001 per share

09-04-2026

Wabash National Corporation announced the transition of Michael N. Pettit from Senior Vice President, Chief Growth Officer to a non-executive Senior Advisor role effective April 8, 2026, with his employment continuing until the third quarter of 2026 to ensure a smooth handover. During this transition period, Pettit will receive continued annual base salary at $575,000, pro-rated 2026 incentive bonus eligibility, and vesting of existing equity awards, but no new grants. Upon separation, he will be eligible for severance under the Executive Severance Plan, subject to release of claims and covenant compliance.

• ·Transition Date: April 8, 2026
• ·Separation Date: Third quarter of 2026
• ·Pettit reports to Chief Executive Officer or designee as Senior Advisor
• ·No participation in Change in Control Plan post-Transition Date

09-04-2026

Abra Financial Holdings, Inc.'s CEO Bill Barhydt appeared on Yahoo Finance TV on April 8, 2026, discussing the $750 million SPAC merger with New Providence Acquisition Corp. III (announced via Business Combination Agreement dated March 16, 2026) to list on NASDAQ under ticker ABRX, highlighting benefits like building trust as a public RIA and advancing asset tokenization and DeFi lending. He expressed bullish views on Bitcoin, citing rising global liquidity and a 65% chance of reaching all-time highs near $100K by year-end. The filing includes standard forward-looking disclaimers and risks such as transaction failure or shareholder approval issues.

• ·Business Combination Agreement dated March 16, 2026
• ·Interview aired April 8, 2026 at 4:30 pm ET
• ·Bitcoin current price referenced as $71,000 during interview
• ·Post-merger NASDAQ ticker: ABRX
• ·Upcoming SEC Form S-4 Registration Statement including proxy statement/prospectus

09-04-2026

New Providence Acquisition Corp. III filed a Form 425 disclosing a Yahoo Finance TV interview with Abra Financial Holdings, Inc. CEO Bill Barhydt on April 8, 2026, discussing the $750 million SPAC business combination announced March 16, 2026, to list Abra on NASDAQ under ticker ABRX. Barhydt expressed optimism on Bitcoin's potential to hit all-time highs amid rising global liquidity, while highlighting Abra's DeFi lending advantages over private credit, noting past counterparty risks in centralized lending have been mitigated. The filing includes standard forward-looking statement disclaimers and risks related to the merger completion.

• ·Business Combination Agreement dated March 16, 2026, between Abra Financial Holdings, Inc., New Providence Acquisition Corp. III, and Aether Merger Sub I, Corp.
• ·Upcoming Registration Statement on Form S-4 with definitive proxy statement/prospectus.
• ·Post-merger ticker: ABRX on NASDAQ.
• ·Abra operates as a registered investment advisor (RIA).

09-04-2026

Amazon.com, Inc. filed an 8-K on April 9, 2026, under Regulation FD Disclosure (Item 7.01), attaching its 2025 Letter to Shareholders accompanying the Annual Report for the year ended December 31, 2025 as Exhibit 99.1, and a reconciliation of a non-GAAP financial measure as Exhibit 99.2 (Item 9.01). The filing details registered securities including common stock (AMZN) and various notes due 2028-2064. No specific financial metrics or period-over-period comparisons are disclosed in the filing body.

• ·Filing date: April 9, 2026
• ·Annual Report period: Year ended December 31, 2025
• ·Securities traded on The Nasdaq Stock Market LLC

09-04-2026

LPWM LLC filed its 13F-HR on April 9, 2026, for the quarter ended March 31, 2026, reporting 94 equity holdings with a total market value of $396337243. The portfolio is diversified across individual stocks like Alphabet (Class A: $1116857, Class C: $833190), Amazon ($1648117), Apple ($935463), NVIDIA ($4010572), and Microsoft ($668573), alongside substantial ETF positions in iShares and Vanguard funds. All positions are held with sole voting and dispositive power.

• ·Filing covers period ended 03-31-2026 with report date 04-08-2026.
• ·LPWM LLC located at 121 S 8th Street Suite 1110, Minneapolis, MN 55402.
• ·Largest ETF holding values include iShares Tr Rus Mdcp Val ETF at $33037978 and iShares Tr S&P 500 Val ETF at $70080747.

09-04-2026

Choice Wealth Advisors LLC disclosed 35 equity holdings totaling $254,788,914 as of March 31, 2026, in its 13F-HR filing. The portfolio consists primarily of ETFs and select individual stocks, with the largest positions in SPDR Series Trust State Street SPD (78464A508) at $30,707,247, WisdomTree TR US Qtly Div Grt at $28,809,049, and J P Morgan Exchange Traded F Intrnl Res Eqt at $22,931,360. Notable stock holdings include Apple Inc ($8,369,607), Amazon.com Inc ($6,726,288), and Nvidia Corporation ($3,659,266).

• ·All holdings reported as sole discretionary voting authority
• ·Filing submitted April 9, 2026 for quarter ended March 31, 2026
• ·Business address: 325-D Kennedy Memorial Drive, Waterville, ME 04901
• ·Phone: 207-873-0996

09-04-2026

WealthCare Investment Partners, LLC filed its 13F-HR on April 9, 2026, disclosing U.S. equity holdings as of March 31, 2026, totaling $360,414,464 across 191 positions, all held solely. Top holdings include Invesco QQQ Trust Series 1 ($26,001,800 for 44,234 shares), iShares Gold Trust ($8,928,451 for 104,708 shares), and Invesco S&P MidCap 400 ETF ($5,351,167 for 45,135 shares). The portfolio features diversified exposure to ETFs, technology stocks like Amazon.com Inc. ($1,006,681 for 4,755 shares) and Microsoft Corp. ($2,886,141 for 7,779 shares), and other sectors including gold, energy, and fixed income.

• ·Filing signed by David Mailloux on April 8, 2026
• ·Company address: PO Box 189, Portsmouth, RI 02871
• ·All holdings reported as sole discretionary with no shared voting or investment discretion

09-04-2026

OptimizeRx Corp. (Nasdaq: OPRX) announced the appointment of Mary Varghese Presti, Corporate Vice President and Chief Operating Officer of Microsoft’s Health & Life Sciences organization, as an independent director to its Board of Directors on April 8, 2026. This appointment supports the company's ongoing board refresh and expansion, bringing her over 25 years of expertise in healthcare, life sciences, technology scaling, AI integration, M&A, and operational efficiency from roles at Microsoft, Nuance, IBM Watson Health, athenahealth, and Pfizer. CEO Steve Silvestro highlighted her alignment with OptimizeRx's strategy to evolve into an integrated, product-led platform with growing recurring revenue.

• ·Varghese Presti involved in Microsoft’s Nuance acquisition integration and IBM Watson Health divestiture diligence.
• ·OptimizeRx headquartered in Waltham, Massachusetts.
• ·Investor Relations contact: Andy D’Silva (adsilva@optimizerx.com); Marketing: Jennifer Dinkel (jdinkel@optimizerx.com); Press: optimizerx@matternow.com.

09-04-2026

Olistico Wealth, LLC disclosed total equity holdings of $202,975,275 across 341 positions in its 13F-HR filing as of March 31, 2026. Top holdings include Vanguard Growth ETF ($18,422,601), Vanguard Total Stock Market ETF ($13,750,936), Vanguard Information Technology ETF ($10,290,725), and stocks such as NVIDIA Corporation ($7,804,924) and Amazon.com Inc ($5,509,991). The portfolio shows no reported period-over-period changes in the filing.

• ·Filing date: April 09, 2026
• ·Report period end: March 31, 2026
• ·Filer address: 2431 E 61ST ST, STE 175, TULSA, OK 74136
• ·Business phone: 918-863-2005

09-04-2026

Stardust Power Inc., a development-stage company, filed an S-3 shelf registration statement on April 8, 2026, to enable future securities offerings amid substantial doubt about its ability to continue as a going concern and the need for near-term capital raises. The company is developing a battery-grade lithium carbonate (BGLC) refinery in Muskogee, Oklahoma, with planned capacity of 50,000 metric tons per annum, but as a pre-operational entity, it reports no revenue, assets, or cash flows from its predecessor through early 2023. Risks include failure to secure feedstock, offtake agreements, financing, and Nasdaq listing compliance.

• ·Predecessor entity (Stardust Power LLC) had no assets, liabilities, revenue, expenses, or cash flows from inception on December 5, 2022, through March 16, 2023.
• ·Company formed March 16, 2023; Business Combination with GPAC II consummated on that date.
• ·Incorporates by reference 10-K for FY ended December 31, 2025 (filed March 25, 2026) and 8-Ks filed January 20, 2026; January 30, 2026; February 18, 2026; March 18, 2026.
• ·Principal executive offices: 15 E. Putnam Avenue, Suite 378, Greenwich, Connecticut 06830; alternative contact: 6608 N Western Ave, 466 Nichols Hills, OK 73116.

09-04-2026

Safir Wealth Advisors, LLC filed a 13F-HR reporting 19 holdings totaling $138,261,475 as of March 31, 2026. The portfolio is heavily weighted toward Vanguard ETFs, with the top position being Vanguard S&P 500 ETF at $55,769,796 (93,331 shares), followed by Vanguard Short Term Bond ETF at $15,616,351 (199,163 shares). Other significant holdings include Vanguard Growth ETF ($13,904,968), Value ETF ($11,970,485), and individual stocks such as Exxon Mobil Corp ($310,817) and Apple Inc ($304,548).

• ·Filing date: April 09, 2026; Report period end: March 31, 2026
• ·All holdings reported as sole discretionary with zero shared or other voting authority
• ·Address: 63 Niblack Lane, Greenland, NH 03840

09-04-2026

LifeGuide Financial Advisors, LLC disclosed total holdings of $312,728,791 across 46 positions, all held on a sole discretionary basis, as of March 31, 2026. Largest positions include Dimensional ETF Trust Global Real Estate ETF ($66,705,702), Schwab Strategic Trust US TIPS ETF ($51,664,331), and Dimensional ETF Trust US Core Equity 2 ($29,387,908). The filing was submitted on April 9, 2026, and signed by David Lutz, Chief Compliance Officer.

• ·All 46 positions held as sole discretionary with no shared or other manager discretion.
• ·Address: 400 W. Main St., Mechanicsburg, PA 17055.
• ·Filing covers period ending March 31, 2026.

09-04-2026

EHRLICH Financial Group filed Form 13F-HR on April 9, 2026, disclosing its institutional equity holdings as of March 31, 2026, comprising 112 positions with a total market value of $174,015,055,000. Top holdings include BlackRock ETF Trust iShares US Equity (CUSIP 09290C103) valued at $7,877,897,000 (135,406 shares), SPDR Index Shares Funds State Street S&P (CUSIP 78463X509) at $4,496,057,000 (95,844 shares), and iShares Trust S&P 500 Growth ETF (CUSIP 464287309) at $4,439,865,000 (39,253 shares). No prior period data or changes are provided in the filing.

• ·Filing as of date: April 9, 2026
• ·Conformed period of report: March 31, 2026
• ·Date as of change: April 8, 2026
• ·All holdings reported as sole voting/dispositive power (SH SOLE)

09-04-2026

Selby Wealth Management, LLC disclosed total holdings valued at $253,872,916 across 81 positions in its 13F-HR filing as of March 31, 2026. The portfolio features significant ETF allocations including J.P. Morgan Core Plus BD ETF ($18,544,977), Fidelity Total Bond ETF ($17,319,692), and BlackRock iShares Flexible ETF ($12,704,093), alongside stocks like Apple Inc. ($3,939,342). No period-over-period changes or performance metrics are provided in the filing.

• ·All holdings reported as sole discretionary with no shared or other voting authority.
• ·Business address: 2200 Powell Street, Suite 350, Emeryville, CA 94608.
• ·Filer CIK: 0002110725; SEC file number: 028-26303.

09-04-2026

Eagle Rock Investment Company, LLC filed its 13F-HR on April 9, 2026, disclosing Q1 2026 holdings as of March 31, 2026, with a total portfolio value of $688175880 across 158 positions, all held with sole discretionary authority and no reported changes. The portfolio features large allocations to fixed income and equities, including Vanguard Total Bond Market ETF ($57715055), Alphabet Inc Cl A ($36347149), and Broadcom Inc ($33658284). Holdings are diversified across sectors like technology, healthcare, and ETFs with no indications of growth, declines, or shifts in the filing.

• ·Filer CIK: 0001911407
• ·Business address: 1201 Peachtree Street NE, Suite 200, Atlanta, GA 30361
• ·Fiscal year end: December 31
• ·Other notable holdings include Berkshire Hathaway Inc Del Cl A (1 share, $718140) and Berkshire Hathaway Inc Del Cl B New (734 shares, $351733)

09-04-2026

Constitution Capital LLC, based in Shelton, CT, filed a 13F-HR report on April 9, 2026, disclosing 61 equity holdings with a total market value of $200,084,601 as of March 31, 2026. The portfolio features top positions in Microsoft Corp ($25,781,137, 69,647 shares), Johnson & Johnson ($12,098,558, 49,495 shares), and Walmart Inc ($11,789,574, 94,863 shares), with significant allocations to Select Sector SPDR ETFs across technology, health care, financials, and other sectors. All holdings are reported with sole investment discretion and voting authority.

• ·Report period ending March 31, 2026
• ·All 61 positions held with sole voting authority (0 shared, 0 none)
• ·Business address: 2 Trap Falls Road, Suite 504, Shelton, CT 06484
• ·Portfolio includes diversified sector ETFs and large-cap stocks like NVIDIA (46,825 shares, $8,166,280), Apple (32,498 shares, $8,247,667), and Coca-Cola (92,736 shares, $7,052,573)

09-04-2026

PTM Wealth Management, LLC filed its 13F-HR on April 9, 2026, disclosing $188701108 in total portfolio value across 56 holdings as of March 31, 2026. The portfolio consists entirely of sole discretionary positions in equities and ETFs, with no other managers or voting restrictions noted. Largest holdings include Schwab Strategic Tr Fundamental US L at 29579428 USD (1051900 shares), Innovator Etfs Trust Defined Wlt Shld at 26424961 USD (787160 shares), and SSGA Active ETF Tr State Street Ult at 19044752 USD (471521 shares).

• ·All 56 positions held with sole investment discretion.
• ·No put or call options reported.
• ·Filing covers period ending 03-31-2026.

09-04-2026

Live Ventures Incorporated's indirect wholly-owned subsidiary, Vintage Stock Inc., amended the Employment Agreement with its President and CEO, Rodney Spriggs, effective March 31, 2026, extending the term to March 31, 2028. The Third Amendment includes a one-time cash bonus of $250,000 payable on or before April 14, 2026, and an additional 80 hours of paid time off per calendar year.

• ·Third Amendment approved by Compensation Committee via written consent
• ·Third Amendment filed as Exhibit 10.145