S&P 500 Financials Sector SEC Filings — October 23, 2026

23-10-2026

S&P Global Inc. filed a Form 8-K furnishing unaudited pro forma condensed consolidated financial statements (income statements for the six months ended June 30, 2026 and fiscal years 2023–2025, plus a June 30, 2026 balance sheet) to reflect the July 1, 2026 separation of its S&P Global Mobility segment into the independent public company Mobility Global Inc. The filing itself contains no specific revenue, earnings, or margin figures; the financial data resides in Exhibit 99, which was not included in the provided content.

• · Separation completed July 1, 2026; Mobility Global Inc. is now an independent public company
• · Pro forma statements cover the six months ended June 30, 2026 and fiscal years 2023, 2024 and 2025
• · Financial details are contained in Exhibit 99 and XBRL cover page in Exhibit 104

23-10-2026

Bank of America Corporation filed a Certificate of Designations establishing a new series of preferred stock, the 7.200% Fixed-Rate Reset Non-Cumulative Preferred Stock, Series WW, with an authorized issuance of 80,000 shares at a $25,000 liquidation preference per share (aggregate liquidation preference of $2.0 Billion). The Preferred Stock Committee adopted the resolutions by written consent on October 20, 2026, with an original issue date of October 23, 2026. Dividends are fixed at 7.200% until the First Reset Date of October 27, 2031, and thereafter reset every five years to the Five-Year U.S. Treasury Rate plus a 2.260% spread; the filing is neutral in tone and contains no reported period-over-period performance data.

• · Dividends are non-cumulative and payable quarterly on January 27, April 27, July 27 and October 27, beginning January 27, 2027
• · First Reset Date is October 27, 2031, after which the rate resets every five years
• · Series WW ranks pari passu with 22 listed series of existing Parity Stock and junior to any Senior Stock
• · Capital Treatment Event provisions allow the Corporation to act if the shares could no longer count as additional Tier 1 capital
• · The Bank of New York Mellon Trust Company, N.A. is the initial Calculation Agent and can be replaced without holder consent
• · Board may increase authorized Series WW shares up to the total preferred authorization, or decrease them down to shares outstanding

23-10-2026

American Express reported Q3 2026 net income of $3.7 billion ($5.42 diluted EPS, up 31% YoY), or $4.68 adjusted EPS (up 13% YoY), excluding a $982 million pre-tax gain from the sale of its GBTG stake. Total revenues net of interest expense rose 9% YoY to $20.1 billion, and the company raised its FY 2026 EPS guidance to $18.30-$18.60 ($17.60-$17.90 adjusted). Mixed elements include consolidated expenses up 9%, legal reserve increases, restructuring costs, and FX-adjusted billed business growth of 8% for the quarter versus 9% for the nine-month period.

• · Consolidated provisions for credit losses fell to $1.0 billion from $1.3 billion, driven by a reserve release versus a prior-year reserve build, partly offset by higher net write-offs.
• · Q3 2026 expense growth of 9% was driven by variable customer engagement costs and the U.S. Platinum Card refresh, partly offset by lower operating expenses that benefited from the GBTG gain; legal reserves and restructuring costs rose.
• · The 18.1% effective tax rate, down from 24.1%, reflects discrete tax benefits from resolving prior-period tax items and may not recur.
• · Adjusted EPS growth (13%) trailed GAAP EPS growth (31%) because the GBTG gain is excluded from adjusted results.
• · Nine-month FX-adjusted billed business grew 9%, slightly above the 8% quarterly rate.

23-10-2026

CME Group's Q3 2026 Form 10-Q shows Q3 total revenues of $1,737.3 Million, up 13.0% YoY from $1,537.6 Million, and net income of $1,036.9 Million, up 14.2% YoY from $908.0 Million; diluted EPS rose to $2.89 from $2.49. However, Q3 investment income declined 8.4% YoY to $1,418.1 Million, nine-month net income grew 11.9% to $3,233.0 Million, and total shareholders' equity fell 7.5% from year-end 2025 to $26,560.3 Million, reflecting $3,637.7 Million in dividends and $1,770.4 Million in share repurchases year-to-date.

• · Other non-operating expense widened to $1,264.0 Million in Q3 2026 from $1,396.6 Million in Q3 2025, though this line is a partial offset to investment income and remains a sizable drag
• · Performance bonds and guaranty fund contributions on the balance sheet declined to $155,179.7 Million from $159,656.1 Million at year-end 2025
• · Cash and cash equivalents fell sharply to $2,198.5 Million from $4,416.9 Million at December 31, 2025, a decline of roughly 50%
• · Other comprehensive income was nearly flat in Q3 2026 at $0.6 Million, while nine-month OCI was negative $26.4 Million versus positive $148.9 Million in the prior-year period

23-10-2026

City of London Investment Management Company Limited (CLIM) filed an amended Schedule 13G reporting beneficial ownership of 1,219,023 shares of common stock of Morgan Stanley India Investment Fund, Inc. (IIF), representing approximately 13.0% of the outstanding shares, as of 09/30/2026. CLIM reports sole voting and dispositive power over all reported shares and files under Rule 13d-1(b) as a registered investment adviser on behalf of several funds and segregated accounts it manages. The filing is a routine ownership disclosure with no reported change in control intent or proposed transaction.

• · Filing is a SC 13G/A amendment referencing prior filing 0001072613-25-000822, with an event date of 09/30/2026
• · CLIM certifies the shares were acquired and are held in the ordinary course of business, not for the purpose of influencing control of the issuer
• · One of the segregated accounts has the right to receive or direct dividends or sale proceeds from more than 5% of the reported shares
• · Filing states CLIM operates under informational barriers with its parent City of London Investment Group plc (LSE-listed), so beneficial ownership is not attributed to the parent

23-10-2026

EVP & President, Business Ins. Toczydlowski Gregory C sold 32,671 Common Stock at $403.86 (~$13.2M). 4 transactions reported in total. Toczydlowski Gregory C holds 18,416.187 shares after the transaction.

• · EVP & President, Business Ins. Toczydlowski Gregory C exercised/converted 34,771 Common Stock at $140.85 (~$4.9M)
• · EVP & President, Business Ins. Toczydlowski Gregory C sold 32,671 Common Stock at $403.86 (~$13.2M)
• · EVP & President, Business Ins. Toczydlowski Gregory C sold 2,100 Common Stock at $404.43 (~$849K)
• · EVP & President, Business Ins. Toczydlowski Gregory C exercised/converted 34,771 Stock Options (Right to Buy)

23-10-2026

Vice Chairman Jain Ajit gifted 19 Class B Common Stock. Jain Ajit holds 298 shares after the transaction.

• · Vice Chairman Jain Ajit gifted 19 Class B Common Stock

23-10-2026

Director Bhatt Baiju sold 23,180 Class A Common Stock at $102.38 (~$2.37M). 6 transactions reported in total. Bhatt Baiju holds 23,180 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Director Bhatt Baiju exercised/converted 50,912 Class A Common Stock
• · Director Bhatt Baiju sold 10,500 Class A Common Stock at $99.47 (~$1.04M)
• · Director Bhatt Baiju sold 6,000 Class A Common Stock at $100.38 (~$602K)
• · Director Bhatt Baiju sold 11,232 Class A Common Stock at $101.72 (~$1.14M)
• · Director Bhatt Baiju sold 23,180 Class A Common Stock at $102.38 (~$2.37M)
• · Director Bhatt Baiju exercised/converted 50,912 Class B Common Stock

23-10-2026

10% owner Robinhood Markets, Inc. sold 85 Common Shares of Beneficial Interest at $25.01 (~$2.13K). Robinhood Markets, Inc. holds 12,926,363 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · 10% owner Robinhood Markets, Inc. sold 85 Common Shares of Beneficial Interest at $25.01 (~$2.13K)

23-10-2026

PNC Financial Services Group completed the public offering on October 23, 2026 of $1.2 billion of 5.463% Fixed Rate/Floating Rate Senior Notes and $300 million of Senior Floating Rate Notes, both due October 23, 2029, under an Underwriting Agreement dated October 20, 2026. The filing is a routine debt issuance disclosure that files the underwriting agreement, indenture, note forms, and legality opinion as exhibits to the company's existing S-3ASR registration statement, with no reported deterioration or mixed operating performance.

• · Notes were issued under a Base Indenture dated September 6, 2012, as supplemented by a First Supplemental Indenture dated April 23, 2021, with The Bank of New York Mellon as trustee
• · Offering was made under a prospectus supplement dated October 20, 2026 (filed October 21, 2026) to an S-3ASR shelf prospectus filed December 13, 2024 (File No. 333-283793)