S&P 500 Industrials Sector SEC Filings — April 16, 2026

16-04-2026

SurgePays reported full year 2025 revenue of approximately $57.0 million, down 6% YoY from $60.9 million due to the end of the Affordable Connectivity Program, though diversified revenue streams included $13.5 million from MVNO (24% of total) and $43.5 million from Point-of-Sale and Prepaid Services (76%). Cost structure improved materially with general and administrative expenses declining approximately 28% to $20.1 million from $27.5 million, narrowing operating loss to $30.7 million from $41.8 million and gross loss to $10.6 million from $14.3 million. Entering 2026, monthly cash burn is estimated at $250,000-$300,000 amid expansion across multiple channels and over 9,000 retail locations.

• ·Cash used in operating activities remained high at approximately $21.3 million for 2025, similar to $21.3 million in 2024.
• ·Total assets declined to $8,515,846 as of Dec 31, 2025 from $23,976,005 as of Dec 31, 2024.
• ·Stockholders' equity turned to deficit of $(15.4 million) in 2025 from $15.3 million in 2024.
• ·LinkUp Mobile surpassed 100,000 subscriber lines subsequent to year-end.
• ·Q1 2025 revenue approximately $10.6 million; Q2 $11.5 million; Q3 $18.7 million (Q4 down sequentially from Q3 but above Q4 2024).

16-04-2026

Neurogene Inc. (NGNE) filed a DEFA14A (Schedule 14A) Definitive Additional Proxy Materials on April 16, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing was made by the registrant with no fee required.

• ·Filing marked as Definitive Additional Materials
• ·Not preliminary, confidential, or soliciting material under §240.14a-12

16-04-2026

Dream Finders Homes, Inc. (DFH) filed its DEF 14A Proxy Statement dated April 16, 2026, for the 2026 Annual Meeting on June 8, 2026, seeking shareholder approval on five proposals: election of five directors (Patrick O. Zalupski, Justin W. Udelhofen, Megha H. Parekh, Leonard M. Sturm, William W. Weatherford), ratification of PricewaterhouseCoopers LLP as auditors for FY 2026, advisory vote on FY 2025 executive compensation, reincorporation to Texas by conversion, and potential conversion of Series A Preferred Stock to Class A common stock per NYSE rules. As of the record date April 10, 2026, 34,042,625 Class A shares (1 vote each) and 57,726,153 Class B shares (3 votes each) were outstanding, with the Board recommending a FOR vote on all proposals. No financial performance metrics or period-over-period comparisons are detailed in the provided filing content.

• ·Annual Meeting location: 14701 Philips Highway, Jacksonville, Florida 32256, Suite 300, at 10:00 a.m. Eastern Time
• ·Voting requirements: Plurality for director election; majority of votes cast for Proposals 2, 3, and 5; majority of voting power present for Proposal 4 (abstentions/broker non-votes count against Proposal 4)

16-04-2026

NETGEAR, INC. filed Definitive Additional Proxy Materials (DEFA14A) on April 16, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and was submitted by the registrant. No specific proposals, financial data, or shareholder actions are detailed in the provided materials.

• ·Filing Type: DEFA14A (Definitive Additional Materials)
• ·Filed by: Registrant (NETGEAR, INC.)
• ·Payment of Filing Fee: No fee required

16-04-2026

U.S. Bancorp reported 1Q26 net revenue of $7,288 million, up 4.7% YoY driven by 4.1% growth in net interest income and 6.9% in total fee revenue, but down 1.0% QoQ due to seasonal factors; net income attributable to U.S. Bancorp was $1,945 million, increasing 13.8% YoY while declining 4.9% QoQ. Average total loans grew 3.8% YoY and 2.4% QoQ to $393,560 million, and average total deposits rose 1.7% YoY but were flat QoQ at $515,119 million, though time deposits fell 16.0% YoY. The company announced partnerships with Amazon for new small business credit cards and with the NFL for banking, wealth management, and player financial programs.

• ·Diluted EPS of $1.18, up 14.6% YoY but down 6.3% QoQ
• ·Return on average assets 1.15%, improved YoY from 1.04%
• ·Efficiency ratio 58.2%, improved 260 bps YoY
• ·Net interest margin stable at 2.77% both YoY and QoQ
• ·CET1 capital ratio 10.8%
• ·Net charge-off ratio 0.56%
• ·Commercial loans up 11.4% YoY to $149,833 million
• ·Retail leasing down 11.7% YoY
• ·Noninterest-bearing deposits up 1.2% YoY but down 3.2% QoQ

16-04-2026

Eton Pharmaceuticals, Inc. (Nasdaq: ETON) announced Judith M. Matthews as Executive Vice President, Accounting and Finance, effective immediately, with her assuming the CFO role on June 1, 2026, succeeding James Gruber, who will step down May 31, 2026, and transition to a six-month consulting agreement. CEO Sean Brynjelsen highlighted Gruber's leadership during rapid growth and Matthews' extensive pharma finance experience from Iterum Therapeutics and Durata Therapeutics. The company operates 10 commercial rare disease products and has 4 late-stage development candidates.

• ·Judith M. Matthews previously served as CFO of Iterum Therapeutics plc (2015-2026) and VP Finance at Durata Therapeutics until its acquisition by Actavis plc.
• ·Matthews holds a B.A. in Accounting from University of Illinois at Urbana-Champaign and Master of Management in Finance and Marketing from Kellogg School of Management at Northwestern University.
• ·Investor contact: Lisa M. Wilson, In-Site Communications, Inc. (212-452-2793, lwilson@insitecony.com)

16-04-2026

AEGON ASSET MANAGEMENT UK PLC filed its 13F-HR report disclosing total equity holdings valued at $7,548,374,839 across 162 positions as of March 31, 2026. Top holdings include NVIDIA Corp ($504,223,622), Microsoft Corp ($491,816,911), Apple Inc ($426,653,758), Broadcom Inc ($379,054,786), and Amazon.com Inc ($341,640,060). This routine quarterly snapshot provides no period-over-period comparisons or performance metrics.

16-04-2026

Faraday Future Intelligent Electric Inc. amended its securities purchase agreement with Gold King Arthur Holding Limited, a purchaser designated by AIxCrypto Holdings Inc., increasing the total investment from $10 million to $12 million, consisting of $500,000 in common stock (1,923,077 shares at $0.26 per share) and $11.5 million in convertible Series C preferred stock. The amendment eliminates the anti-dilution true-up provision, replacing it with a warrant to purchase up to 1,000,000 shares of common stock at $1.50 per share (4-year term, exercisable after delivery of the 500th FX Super One vehicle), which the company views as favorable to existing stockholders. Proceeds will fund the EAI robotics business targeting 1,000 deliveries with positive contribution margin and FX Super One advancement in 2026.

• ·Per share purchase price revised to average closing price of 10 trading days prior to April 14, 2026 signing date: $0.26
• ·Warrant exercise price: $1.50 per share; term: 4 years
• ·Initial Agreement dated February 4, 2026
• ·AIxC pre-funded the $12 million on behalf of the investor

16-04-2026

Bank First Corp reported Q1 2026 net income of $20.0 million ($1.78 per share), up 9.9% YoY from $18.2 million ($1.82 per share), with adjusted net income of $25.1 million ($2.24 per share) after $6.5 million in Centre acquisition expenses; NII rose 45.8% YoY to $53.2 million, driven by the $1.48 billion Centre acquisition that boosted assets 33% to $6.07 billion, loans to $4.52 billion, and deposits to $5.09 billion. However, NIM compressed 1.2% QoQ to 3.96%, noninterest expenses surged 89% QoQ to $39.1 million due to integration costs, and nonperforming assets doubled QoQ to $30.0 million (0.50% of assets) amid a single large nonaccrual and Centre-related assets. The board declared a quarterly dividend of $0.55 per share, up 10.0% QoQ and 22.2% YoY.

• ·Six overlapping First National Bank and Trust branches permanently closed post-acquisition.
• ·Planning new offices in Walworth, Delavan, and Monroe; consolidating two additional branches.
• ·Core deposit intangible from Centre: $31.9 million, amortized over 10 years.
• ·FHLB borrowings repaid: $65.0 million, with $1.1 million prepayment penalty.
• ·Centre loans reduced from $981.5 million acquired to $936.7 million at quarter-end due to transitions.
• ·No provision for credit losses Q1 2026 vs $0.2 million YoY, after $12.8 million ACL addition from acquisition.
• ·Tangible book value per share: $47.04 (up from $46.01 at Dec 31 2025).

16-04-2026

Third Coast Bancshares, Inc. (TCBX) has filed a DEF 14A proxy statement for its 2026 Annual Meeting of Shareholders scheduled for May 21, 2026, at 10:00 a.m. CT. Shareholders will vote on electing four Class A directors (Bart O. Caraway, Clint Greenleaf, Tony Scavuzzo, Mary Stich) to serve until 2029 and one Class C director (Jeffrey A. Wilkinson) until 2028, approving the Amended and Restated 2019 Omnibus Incentive Plan, and ratifying Whitley Penn LLP as independent auditors for the year ending December 31, 2026. As of the record date March 27, 2026, 16,562,087 shares of common stock were outstanding.

• ·Annual meeting location: 20202 Highway 59 North, Suite 190, Humble, Texas 77338.
• ·Quorum requires majority of outstanding shares represented in person or by proxy.
• ·Board recommends FOR all three proposals; majority of votes cast needed for approval.
• ·Proxy materials available online at www.proxydocs.com/TCBX.

16-04-2026

Global Net Lease, Inc. filed a Form 8-K on April 16, 2026, under Items 7.01 and 9.01, furnishing a press release dated April 16, 2026, as Exhibit 99.1. The filing discloses securities registered on the NYSE, including Common Stock (GNL) and various Series A, B, D, and E Preferred Stocks. The report was signed by Edward M. Weil, Jr., Chief Executive Officer and President.

16-04-2026

First Interstate BancSystem, Inc. filed its 2026 Proxy Statement for the Annual Meeting on May 27, 2026, seeking shareholder approval to elect three directors, amend the Charter for plurality voting in contested elections, approve NEO compensation on an advisory basis, and ratify Ernst & Young LLP as auditors for 2026. 2025 financial highlights include net income of $302.1 million, diluted EPS of $2.94, ROAE of 8.83%, ROATCE of 13.53%, BVPS of $34.09, TBVPS of $22.40, and shareholder returns of $311.9 million (103% of net income) via $1.88 per share dividends and $117.6 million in share repurchases (3,653,914 shares at $32.18 average). Strategic progress featured branch optimizations (sales/closures in AZ, KS, NE, MN, ND), outsourcing consumer credit cards, discontinuing indirect loans, reducing borrowed funds from $1.6 billion to zero, and expanding NIM sequentially with cost of funds declining to 1.47% from 1.83% in 2024.

• ·Record date: April 2, 2026
• ·Annual meeting location: First Interstate Center, 401 N. 31st Street, Billings, Montana 59101 at 4:00 p.m. MT
• ·Completed sale of Arizona and Kansas branches in 2025; 11 Nebraska branches closed April 2026; six branches closed February 2026 in Minnesota, Nebraska, North Dakota
• ·Outsourced consumer credit card portfolio and discontinued originating indirect loans in 2025

16-04-2026

Moody’s Corporation held its 2026 Annual Meeting of Stockholders on April 14, 2026, where all ten director nominees were elected with majority votes, KPMG LLP was ratified as the independent auditor for 2026 with overwhelming support (157,020,483 votes for), and the advisory resolution on executive compensation was approved (144,903,362 votes for). While all proposals passed, Leslie F. Seidman faced the highest opposition among directors with 9,552,703 votes against out of approximately 150.7 million votes cast. Broker non-votes totaled 9,013,397 for director elections and executive compensation votes.

• ·Jorge A. Bermudez: 142,443,068 For, 7,757,466 Against, 454,767 Abstentions
• ·Sumit Dhawan: 149,319,522 For, 1,024,964 Against, 310,815 Abstentions
• ·Thérèse Esperdy: 147,102,742 For, 3,039,704 Against, 512,855 Abstentions
• ·Robert Fauber: 149,753,653 For, 596,636 Against, 305,012 Abstentions
• ·Vincent A. Forlenza: 143,563,587 For, 6,664,006 Against, 427,708 Abstentions
• ·Jose M. Minaya: 148,411,459 For, 1,728,221 Against, 515,621 Abstentions
• ·Lisa P. Sawicki: 149,903,188 For, 444,497 Against, 307,616 Abstentions
• ·Zig Serafin: 148,061,779 For, 2,239,145 Against, 354,377 Abstentions
• ·Bruce Van Saun: 146,554,484 For, 3,623,462 Against, 477,355 Abstentions
• ·Executive compensation: 5,098,773 Against, 653,166 Abstentions
• ·KPMG ratification: 291,321 Abstentions

16-04-2026

First Financial Bancorp's DEF 14A Proxy Statement for the May 26, 2026 virtual Annual Meeting seeks shareholder approval for electing 10 directors, ratifying Crowe LLP as 2026 independent auditors, approving the 2026 Stock Plan, and an advisory vote on executive compensation; record date is March 27, 2026. The company reports strong 2025 performance with record revenue and noninterest income, completion of Westfield Bank acquisition adding 8 financial centers in northeast Ohio, and an agreement to acquire BankFinancial Corporation. Community initiatives included $4.6 million in grants/donations and over 16,300 associate volunteer hours, with no material declines noted.

• ·Annual Meeting at 10:00 AM Eastern Time on May 26, 2026, virtually at virtualshareholdermeeting.com/FFBC2026
• ·Shareholders of record as of March 27, 2026 eligible to vote
• ·5-star rating from Bauer Financial; Investment Grade rating from Kroll Bond Rating Agency
• ·Received Gallup Exceptional Workplace Award and second consecutive Outstanding CRA rating from Federal Reserve Board

16-04-2026

On April 15, 2026, Navient Solutions, LLC, as administrator for SLM Student Loan Trust 2004-10, furnished a preliminary remarketing memorandum to remarketing agents for distribution to qualified institutional buyers to remarket the Class A-7A, Class A-7B, and Class A-8 Reset Rate Notes. The memorandum includes tables describing the student loan pool as of February 28, 2026, attached as Exhibit 99.1 to this Form 8-K filed on April 16, 2026. No financial performance metrics or changes were disclosed in the filing.

• ·Student loan pool tables provided as of February 28, 2026 in Exhibit 99.1

16-04-2026

Cathay General Bancorp (CATY) has issued its DEF 14A proxy statement for the 2026 Annual Meeting of Stockholders, to be held virtually on May 18, 2026 at 5:00 p.m. PT, with a record date of March 26, 2026. Stockholders are asked to elect four Class III directors (Nelson Chung, Felix S. Fernandez, Maan-Huei Hung, Richard Sun) to serve until 2029, approve executive compensation on an advisory basis, vote on holding future say-on-pay votes every year, and ratify KPMG LLP as the independent auditor for fiscal 2026. The Board recommends FOR all director nominees, FOR executive compensation, EVERY YEAR for frequency, and FOR auditor ratification; 66,972,039 shares of common stock were outstanding on the record date.

• ·Quorum requires majority of outstanding shares present in person or by proxy.
• ·Voting deadline via Internet/telephone: 11:59 p.m. ET on May 17, 2026.
• ·ESOPT shares voting instructions due by 11:59 p.m. ET on May 13, 2026.
• ·Proposals 1-3 are non-routine (broker non-votes possible); Proposal 4 is routine.
• ·Directors elected by majority of votes cast.

16-04-2026

Brookfield Asset Management Ltd. entered into an Underwriting Agreement on April 14, 2026, for an offering of US$550 million principal amount of 4.832% senior notes due 2031 and US$450 million re-opening of its 5.298% senior notes due 2036. The offering, registered under Form F-10, is expected to close on April 17, 2026, with RBC Capital Markets, LLC and SMBC Nikko Securities America, Inc. as representatives of the underwriters. No comparative financial metrics or performance declines are reported in this filing.

• ·Underwriting Agreement contains customary representations, covenants, and indemnification provisions
• ·Offering registered pursuant to Form F-10 (File No. 333-293350) filed February 10, 2026
• ·Base shelf prospectus dated February 10, 2026, supplemented April 14, 2026
• ·Consents from Torys LLP and Goodmans LLP dated April 14, 2026, attached as Exhibits 5.1 and 5.2

16-04-2026

AMC Robotics Corporation issued a press release on April 15, 2026, announcing a delay in filing its Annual Report on Form 10-K for the year ended December 31, 2025. This disclosure was furnished under Item 7.01 of Form 8-K and is not deemed 'filed' for purposes of Section 18 of the Securities Exchange Act of 1934.

• ·Common Stock: par value $0.0001 per share, trading symbol AMCI on The Nasdaq Stock Market LLC
• ·Registrant is an emerging growth company

16-04-2026

Ionetix Corporation reported revenue growth of 67.7% YoY to $6.0M for FY2025 ended December 31, 2025, driven by radioisotope production, while operating expenses rose to $25.8M from $22.0M. However, net loss widened 32.0% YoY to $39.7M amid higher R&D, interest, and other expenses, with cash and equivalents dropping sharply 94.6% to $0.3M and total assets declining 11.6% to $35.0M. The company faces substantial going concern doubts due to ongoing losses and low liquidity, offset by financing inflows from SAFE and note conversions to preferred stock.

• ·Accumulated deficit reached $186.6M as of Dec 31, 2025.
• ·SAFE liability decreased to $4.1M from $45.4M following conversions to Series F preferred stock.
• ·Property and equipment, net increased to $27.2M from $22.2M.
• ·Auditor identified critical audit matter on complex capital stock and equity accounts due to multiple preferred stock series.

16-04-2026

On April 15, 2026, Navient Solutions, LLC, acting as administrator for SLM Student Loan Trust 2004-1, furnished a preliminary remarketing memorandum to the remarketing agent for distribution to qualified institutional buyers to remarket the Class A-6 Reset Rate Notes. The memorandum includes tables describing the SLM Student Loan Trust 2004-1 student loan pool as of February 28, 2026, attached as Exhibit 99.1. No performance metrics or period-over-period comparisons were provided in the filing.

• ·Filing Date: April 16, 2026
• ·Registrant’s principal executive offices: c/o Deutsche Bank Trust Company Americas, 60 Wall Street, 16th Floor, New York, New York 10005
• ·Registrant’s telephone number: (703) 984-5858
• ·Commission File Numbers: 333-104887 / 333-104887-07
• ·I.R.S. Employer Identification No.: 04-3480392

16-04-2026

On April 15, 2026, Navient Solutions, LLC, acting as administrator for SLM Student Loan Trust 2004-2, furnished a preliminary remarketing memorandum to remarketing agents for the purpose of remarketing the Class A-6 Reset Rate Notes. The memorandum includes tables describing the student loan pool as of February 28, 2026, attached as Exhibit 99.1 to the Form 8-K filed on April 16, 2026. No specific financial metrics, period-over-period comparisons, or performance data were disclosed in the filing text.

• ·Commission File Numbers: 333-104887/333-104887-13
• ·I.R.S. Employer Identification No.: 04-3480392
• ·Registrant’s principal executive offices: c/o Deutsche Bank Trust Company Americas, 60 Wall Street, 16th Floor, New York, New York 10005
• ·Telephone number: (703) 984-5858

16-04-2026

SLM Student Loan Trust 2004-5 filed an 8-K on April 16, 2026, reporting that on April 15, 2026, Navient Solutions, LLC, as administrator, furnished a preliminary remarketing memorandum to the remarketing agent for remarketing the Class A-6 Reset Rate Notes. The memorandum, for distribution to qualified institutional buyers, includes tables describing the student loan pool as of February 28, 2026, attached as Exhibit 99.1. No performance metrics or financial changes were disclosed in the filing.

• ·Filing pursuant to Items 8.01 (Other Events) and 9.01 (Exhibits)
• ·Address of principal executive offices: 60 Wall Street, 16th Floor, New York, New York 10005
• ·Registrant’s telephone number: (703) 984-5858

16-04-2026

Corebridge Financial, Inc. estimates preliminary variable investment income of $15 million to $25 million (pre-tax) for the quarter ended March 31, 2026, with positive alternative investment returns offset by unrealized mark-to-market losses on fair value investments. The company is exploring repurchases of its common stock (CRBG) prior to closing its pending merger with Equitable Holdings, Inc. (announced March 26, 2026), which would require a waiver from the merger agreement prohibiting such actions. Full Q1 earnings release is scheduled for May 4, 2026, followed by an earnings call on May 5, 2026.

• ·Preliminary information is unaudited and based on incomplete financial closing procedures; actual results may differ.
• ·Information under Items 2.02 and 7.01 is furnished, not filed, and not incorporated by reference.

16-04-2026

Herbalife Ltd. announced the pricing of an offering by subsidiaries HLF Financing SaRL, LLC and Herbalife International, Inc. of $800 million aggregate principal amount of 7.750% senior secured notes due 2033, priced at 100.00% of par. The net proceeds, combined with refinancing of the existing senior secured credit facility and available cash, will repay indebtedness including borrowings under the credit facility and the Issuers’ 12.250% Senior Secured Notes due 2029, plus related fees. The offering is expected to close on April 29, 2026, subject to customary conditions.

• ·Notes bear interest paid semi-annually on May 1 and November 1, commencing November 1, 2026.
• ·Notes guaranteed on a senior secured basis by Herbalife Ltd. and its existing and future subsidiaries that guarantee the senior secured credit facility.
• ·Offering conducted pursuant to Rule 144A and Regulation S; not registered under Securities Act.
• ·Press release issued April 15, 2026.

16-04-2026

Lincoln Educational Services Corporation (Nasdaq: LINC) entered into an amended and restated revolving credit facility, increasing the aggregate principal amount from $60 million to $125 million, with a $10 million letter of credit sublimit and a $25 million accordion feature, maturing on April 11, 2031. This provides $65 million in additional liquidity to support growth initiatives. CEO Scott M. Shaw noted 19-20% student start growth in Q1 2026, underscoring successful strategy execution amid a strong balance sheet.

• ·Credit facility term of five years.
• ·Operates campuses under three brands since inception in 1946.
• ·Amended facility with Fifth Third Bank as administrative agent, joint lead arranger, and joint bookrunner.

16-04-2026

Catalyst Crew Technologies Corp. (CCTC) reported a sharply reduced net loss of $207,485 for the year ended December 31, 2025, compared to $3,261,038 in 2024, primarily due to operating expenses dropping 95% to $171,852 from $3,297,858. However, revenue remained at $0 for both years, total liabilities increased 10% to $630,860 from $573,575, and the company continued to hold zero cash and total assets. Stockholders' deficit widened to match liabilities at $630,860.

• ·Common shares outstanding increased to 44,296,895 from 29,276,895, including 15,020,000 shares issued for cash raising $150,200.
• ·Cash and total assets remained at $0 as of December 31, 2025 and 2024.
• ·Net loss per common share improved to $(0.01) from $(0.11).
• ·Deferred income tax assets of $6,216,165 fully offset by valuation allowance as of Dec 31, 2025.

16-04-2026

Brand Engagement Network Inc. reported revenues of $275,120 for the year ended December 31, 2025, marking a 176% increase from $99,790 in 2024. Operating expenses fell 65% to $12,901,269 from $36,573,761, leading to a significantly reduced net loss of $8,625,435 compared to $33,715,429 in the prior year. However, the company continues to incur substantial net losses, has a limited operating history, depends on a few key customers, faces Nasdaq listing compliance risks, and highlights ongoing litigation such as the AFG Lawsuit.

• ·Impairment of deferred customer acquisition costs eliminated to $0 in 2025 from $13,475,000 in 2024.
• ·General and administrative expenses decreased to $8,872,915 in 2025 from $19,242,571 in 2024.
• ·Research and development expenses declined to $162,973 in 2025 from $1,127,779 in 2024.

16-04-2026

U.S. Physical Therapy, Inc. (USPH) has filed its definitive proxy statement for the 2026 Annual Meeting of Stockholders on May 19, 2026, proposing the election of seven directors, including new nominee Peter F. Minan to replace retiring directors Nancy J. Ham and Clayton K. Trier, with no reported controversies. Stockholders will also consider an advisory vote to approve named executive officer compensation and ratification of Grant Thornton LLP as independent auditors for the year ending December 31, 2026. The record date is March 25, 2026, and the Board recommends voting in favor of all proposals.

• ·Annual Meeting location: 1300 West Sam Houston Parkway South, Suite 300, Houston, Texas 77042 at 9:00 a.m. Central Time
• ·Record date: March 25, 2026
• ·Director ages: Christopher J. Reading (62), Kathleen A. Gilmartin (74), Dr. Bernard A. Harris, Jr. (69), Anne B. Motsenbocker (64), Regg E. Swanson (72), Michael G. Mayrsohn (39), Peter F. Minan (64)
• ·Proxy materials available at http://materials.proxyvote.com/90337L

16-04-2026

BNY reported record Q1 2026 total revenue of $5.4 billion, up 13% YoY and 4% QoQ, driven by 11% YoY fee revenue growth and 18% YoY net interest income increase, with diluted EPS rising 42% YoY to $2.24 and ROTCE at 29%. However, AUM declined 2% QoQ to $2.1 trillion amid net outflows, Investment and Wealth Management segment revenue fell 3% QoQ, and Issuer Services revenue dropped 16% QoQ. Noninterest expense rose 5% YoY to $3.4 billion, though pre-tax operating margin expanded to 37%.

• ·Average liquidity coverage ratio (LCR) of 111%; Average net stable funding ratio (NSFR) of 131%.
• ·Tier 1 leverage ratio of 6.0%; CET1 ratio of 11.0%.
• ·Securities Services AUC/A of $42.7T (flat QoQ, up 13% YoY).
• ·Market and Wealth Services AUC/A of $16.5T (up 2% QoQ, 11% YoY).
• ·Provision for credit losses benefit of $7M in Q1 2026.

16-04-2026

Manhattan Bridge Capital reported Q1 2026 total revenue of $2,067,644, down 9.1% YoY from $2,273,713, with interest income declining 7.3% to $1,699,330 and origination fees dropping 16.2% to $368,314. Operating expenses decreased 11.8% YoY to $797,820, resulting in net income of $1,274,324, a 7.2% YoY decline from $1,373,134, and basic EPS of $0.11 versus $0.12. Balance sheet showed growth with loans receivable up 2.9% QoQ to $61,944,470 and total assets up 3.1% to $64,255,078, though lines of credit rose 10.4% QoQ to $19,436,277.

• ·Net cash used in investing activities Q1 2026: $1,858,771 versus provided $1,758,011 in Q1 2025.
• ·Dividends payable March 31, 2026: $1,257,229; dividend paid Q1 2026: $1,314,732.
• ·Cash and restricted cash end of Q1 2026: $205,669, down from $228,239 at start.

16-04-2026

Abbott reported first-quarter 2026 net sales of $11,164 million, up 7.8% reported and 3.7% comparable YoY, driven by Medical Devices (+8.5% comparable) and Established Pharmaceuticals (+9.0% comparable), while Nutrition declined 7.7% comparable and Diagnostics grew modestly at 1.8% comparable amid weaker respiratory demand. Adjusted diluted EPS increased 6% to $1.15, and the company completed its acquisition of Exact Sciences on March 23, 2026, establishing leadership in oncology diagnostics but including $0.20 dilution in full-year guidance of 6.5%-7.5% comparable sales growth and $5.38-$5.58 adjusted EPS. CEO Robert B. Ford noted alignment with expectations and confidence in accelerating growth.

• ·U.S. Nutrition sales declined 11.6% YoY; Pediatric Nutrition down 13.0% U.S.
• ·Rapid/Molecular Diagnostics down 9.6% comparable YoY due to weaker respiratory virus season.
• ·Quarterly dividend of $0.63 per share declared, payable May 15, 2026.
• ·GAAP diluted EPS $0.61, down from $0.76 YoY.

16-04-2026

E. Ohman J:or Asset Management AB filed a 13F-HR disclosing US equity holdings totaling $3784380655 as of March 31, 2026, across 477 positions, all held with sole voting authority. Top holdings by market value include Alphabet Class A (217690972), Apple (215775303), Amazon (177370438), Broadcom (159051308), and JPMorgan Chase (80751038). The portfolio features broad diversification across technology, financials, healthcare, and other sectors with no reported options, warrants, or shared discretion.

• ·Filing date: April 16, 2026
• ·Report period end date: March 31, 2026
• ·Signed by Clara Horn on April 13, 2026
• ·Filer address: Master Samuelsgatan 6, Stockholm V7 111 44

16-04-2026

Sander Capital Advisors Inc. filed a 13F-HR report disclosing its holdings as of March 31, 2026, with a total portfolio value of $172.666 million across 12 positions held solely. Top holdings include Microsoft (MSFT) valued at $74.389 million (200,958 shares), Apple (AAPL) at $28.86 million (113,716 shares), Amazon (AMZN) at $26.73 million (128,343 shares), and Alphabet (GOOG) at $27.552 million (96,035 shares). Other positions include smaller stakes in ORCL, PANW, V, MA, JPM, COST, MKL, and NVDA.

16-04-2026

Customers Bancorp, Inc. filed an 8-K/A on April 16, 2026, amending its original 8-K from April 15, 2026, solely to replace Exhibit 99.1 with a corrected version of the 2026 Annual Shareholder Letter under Item 9.01. No other changes were made to the original filing. The amendment was signed by Andrew B. Sachs, Executive Vice President - General Counsel and Corporate Secretary.

• ·Registrant incorporated in Pennsylvania with IRS Employer Identification No. 27-2290659 and Commission File Number 001-35542.
• ·Principal executive offices at 701 Reading Avenue, West Reading, PA 19611; telephone (610) 933-2000.

16-04-2026

Cottonwood Communities, Inc. issued and sold 188,601 shares of Series A Convertible Preferred Stock under its ongoing private placement offering from April 1 through April 15, 2026, receiving aggregate proceeds of $1,849,005 after paying $81,840 in selling commissions and $51,585 in placement fees. As of April 15, 2026, 12,400,430 shares of Series A Convertible Preferred Stock are outstanding from the offering launched on September 19, 2023, with a maximum of $150,000,000. The offering is conducted pursuant to Rule 506(b) of Regulation D to accredited investors.

• ·Private Offering launched September 19, 2023, exempt under Rule 506(b) of Regulation D, offered at $10.00 per share to accredited investors without general solicitation.
• ·Date of earliest event reported: April 10, 2026; Filing date: April 16, 2026.

16-04-2026

Generate Investment Management Ltd filed its 13F-HR on April 16, 2026, disclosing U.S. equity holdings as of March 31, 2026, across 92 positions with a total portfolio value of $2,029,951,807. The filing is a combination report including Vinva Investment Management Ltd and Compound Global Advisors, LLC. Key holdings include NVIDIA Corporation (value $137,059,042 sole + $104,640,000 OTR), Microsoft Corp (value $111,518,525 sole + $74,034,000 OTR), and Amazon.com Inc (value $106,292,052 sole + $62,481,000 OTR).

• ·Report period end date: 03-31-2026
• ·Filer CIK: 0002025905
• ·SEC file number: 028-24257
• ·Business address: Level 9, Jarden House, 21 Queen Street, Auckland Q2 1010

16-04-2026

Federal Home Loan Bank of Des Moines filed an 8-K on April 16, 2026, under Items 2.03 and 9.01, disclosing six new fixed-rate callable bond issuances with a total par value of $90,000,000 traded on April 13-14, 2026. The bonds feature Optional Principal Redemption provisions (American or Bermudan styles), coupon rates ranging from 4.02% to 5.05%, and maturities from 2029 to 2036. This represents the creation of direct financial obligations with no comparative performance data provided.

• ·Trade dates: April 13, 2026 (two bonds) and April 14, 2026 (four bonds)
• ·Settlement dates: primarily April 23, 2026
• ·Maturity dates: April 23, 2036 (four bonds), April 23, 2031 (one bond), October 22, 2029 (one bond)
• ·Coupon rates: 5.00% (two bonds), 5.05% (two bonds), 4.30% (one bond), 4.02% (one bond)
• ·Call styles: American (four bonds), Bermudan (two bonds)
• ·CUSIPs: 3130BACX3 (two issuances), 3130BACY1 (two issuances), 3130BADG9, 3130BADU8

16-04-2026

Immunocore Holdings plc has filed its DEF 14A proxy statement for the 2026 Annual General Meeting (AGM) on May 27, 2026, at 2:00 p.m. London time, held hybrid in London and via meetnow.global/IHCAGM2026, seeking shareholder approval via ordinary resolutions for re-appointing directors Siddharth Kaul, William Pao M.D. Ph.D., and Kristine Peterson; advisory vote on named executive officer compensation; ratification and re-appointment of Deloitte LLP as U.S. and U.K. auditors; adoption of the 2025 U.K. annual report and directors' remuneration report; and authorization for political donations/expenditures up to £50,000 each to parties, organizations, or incurred directly. The board recommends voting in favor of all resolutions, with voting by poll and record date of May 22, 2026 at 6:00 p.m. London time for ordinary shares.

• ·Ordinary share record date for AGM voting: May 22, 2026, 6:00 p.m. London time (1:00 p.m. EDT)
• ·ADS holder record date: April 2, 2026, 5:00 p.m. EDT
• ·Proxy submission deadline: May 22, 2026, 2:00 p.m. London time (9:00 a.m. EDT)
• ·Political donation/expenditure authority period: from AGM to 2027 AGM or May 27, 2027, whichever later

16-04-2026

Upstart Holdings, Inc. (UPST) filed a DEFA14A additional proxy statement for its virtual annual stockholder meeting on May 28, 2026, at 9:00 a.m. Pacific Time. Key proposals include the election of director nominees Kerry Cooper, Mary Hentges, and Ciaran O’Kelly; ratification of Deloitte & Touche LLP as independent auditors for the fiscal year ending December 31, 2026; and advisory approval of named executive officer compensation, with the board recommending a FOR vote on all items.

• ·Stockholders can request free paper or email copies of materials by May 14, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com.
• ·Virtual meeting URL: www.virtualshareholdermeeting.com/UPST2026.

16-04-2026

Mechanics Bancorp filed Definitive Additional Materials (DEFA14A) on April 16, 2026, as a proxy statement pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing is by the registrant with no fee required and contains no substantive financial data, performance metrics, or specific proposals. No positive or negative developments are disclosed.

• ·Filing Type: DEFA14A (Definitive Additional Materials)
• ·Filed by the Registrant

16-04-2026

Hertz Global Holdings, Inc.'s 2026 Proxy Statement seeks shareholder ratification of Ernst & Young LLP as independent auditor for the fiscal year ending December 31, 2026, and an advisory 'Say-on-Pay' vote approving 2025 named executive officer compensation. The Audit Committee, comprising independent directors including two financial experts, met eight times in 2025 to oversee financial reporting, internal controls, auditor independence, and compliance. The Board recommends voting FOR both proposals.

• ·Audit Committee selected EY as independent auditor for fiscal year ending December 31, 2025.
• ·Katherine Lee Martin resigned August 15, 2025.
• ·Christopher G. Berg commenced EVP Fleet Management role on March 6, 2026.
• ·Michael S. Moore commenced EVP COO role effective October 1, 2025.

16-04-2026

Smith Salley Wealth Management filed its 13F-HR on April 16, 2026, disclosing $1,988,950,873 in equity holdings as of March 31, 2026, across 267 positions all held solely with full discretionary voting authority. Top holdings include NVIDIA Corporation (776126 shares valued at $135356394), Apple Inc. (416451 shares at $105691158), and Microsoft Corporation (241109 shares at $89251444), alongside significant stakes in Alphabet Inc. Class C (278314 shares at $79837128) and Amazon.com Inc. (281023 shares at $58528568). No period-over-period changes are indicated in the filing.

• ·Filing CIK: 0001482012
• ·SEC File Number: 028-13643
• ·Business address: 324 West Wendover Avenue, Suite 301, Greensboro, NC 27408
• ·Former name: Smith, Salley & Associates (changed 20100125)

16-04-2026

Upper Left Wealth Management, LLC reported total holdings of $169,361,550 across 68 positions as of March 31, 2026, in its 13F-HR filing dated April 16, 2026. The portfolio is dominated by ETFs with top holdings including iShares Gold Trust ($14,024,493), SPDR Series Trust State Street SPD (78464A854) ($9,226,668), and Litman Gregory Fds Tr IMGP DBI Managed ($6,035,247). All positions reflect sole voting power with no investment discretion reported.

• ·Bitcoin ETF exposure totals $9,385,677 across ARK 21Shares ($308,743), Bitwise ($570,151), Fidelity Wise Origin ($772,172), Grayscale Bitcoin Mini ($902,610), Grayscale Bitcoin Trust ($1,016,211), and iShares ($5,815,790).
• ·Gold-related holdings total approximately $21.7M including iShares Gold Trust ($14,024,493), World Gold Tr SPDR Gld Minis ($5,858,008), SPDR Gold Tr ($1,419,527), and ETFS Gold Tr ($531,291).
• ·Only individual equity holding is Apple Inc (803 shares, $203,698); remainder are ETFs focused on commodities, international equities, REITs, and fixed income.

16-04-2026

Drugs Made In America Acquisition Corp. filed Amendment No. 1 to its definitive proxy statement on April 16, 2026, for an Extraordinary General Meeting featuring an Extension Proposal to extend the Business Combination deadline to April 29, 2027, via monthly Trust Account deposits of the lesser of $300,000 or $0.04 per non-redeemed Public Share. The amendment updates Ordinary Shares outstanding to 33,717,143 as of the Record Date, requiring 11,760,953 Public Shares for Extension approval and 6,141,429 for Adjournment approval, assuming full attendance. Sponsor is Drugs Made In America Acquisition LLC, controlled by Lynn Stockwell.

• ·Article 48.7 of Annex A amended to replace prior $0.02 per share deposit with lesser of $300,000 or $0.04 per non-redeemed Public Share monthly until April 29, 2027.
• ·Sponsor Drugs Made In America Acquisition LLC holds Founder Shares; Lynn Stockwell has voting/dispositive power but disclaims beneficial ownership except pecuniary interest.

16-04-2026

Upstream Bio, Inc. (UPB) filed a DEF 14A proxy statement dated April 16, 2026, for the election of two Class II directors, H. Edward Fleming, Jr., M.D. (age 63, director since 2023) and Liam Ratcliffe, M.B.Ch.B., Ph.D., M.B.A. (age 62, director since 2021), whose terms expire at the upcoming Annual Meeting. The board of seven directors is divided into three classes with staggered three-year terms: Class I (expiring 2028), Class II (expiring 2026, nominees), and Class III (expiring 2027). The board recommends voting FOR both nominees, with plurality vote required and no financial metrics or performance changes disclosed.

• ·Board directors removal requires 2/3 affirmative vote of voting power for cause only.
• ·Vacancies filled by majority of directors then in office, even if less than quorum.
• ·Ages as of April 13, 2026: Nominees 63 and 62; Continuing directors 56, 57, 47, 62, 63.
• ·Company intends to file Form 8-K with voting results within four business days post-Annual Meeting.
• ·Nominees' terms, if elected, end at 2029 annual meeting.

16-04-2026

Azarias Capital Management, L.P. filed its 13F-HR on April 16, 2026, disclosing $223142241 in holdings as of March 31, 2026, across 24 positions. The portfolio is led by SPDR S&P 500 ETF Trust at $69235847 (106461 shares), UR-Energy Inc at $20270413 (13604304 shares), and ManpowerGroup Inc at $9946079 (337613 shares), with a notable concentration in uranium miners like Denison Mines Corp ($10318074, 2922967 shares) and Encore Energy Corp ($9121874, 5067708 shares). No prior period comparisons are provided in the filing.

• ·Other holdings include Energy Fuels Inc (380528 shares, $6944636), Metallus Inc (543322 shares, $8877881), and TrueBlue Inc (1001950 shares, $3917624).
• ·All positions reported as sole discretionary voting authority.
• ·Filing covers period ending 03-31-2026.

16-04-2026

Mastercard Foundation Asset Management Corp filed a 13F-HR on April 16, 2026, reporting total holdings of $33,657,386,914 as of March 31, 2026. The portfolio is dominated by Mastercard Inc Class A common stock valued at $32,595,171,201 (65,234,702 shares), with smaller positions in Vanguard Total Bond Market ETF ($652,664,324; 8,862,905 shares) and iShares Core U.S. Aggregate Bond ETF ($409,551,389; 4,125,631 shares). No period-over-period changes are indicated in the filing.

• ·Filing period end date: March 31, 2026
• ·CUSIP for Mastercard Inc Class A: 57636Q104
• ·All positions reported as DFND with sole discretionary voting authority

16-04-2026

MontVue Capital Management, Inc. disclosed total holdings valued at $146,747,968 across 67 positions as of March 31, 2026, in its quarterly 13F-HR filing submitted on April 16, 2026. All positions are held with sole investment discretion and voting power, with no put/call options, shared voting authority, or other managers reported. Largest holdings include iShares Core S&P Total U.S. Stock Market ETF ($27,324,243), iShares Core MSCI Total International Stock ETF ($19,634,989), and Vanguard Total Stock Market ETF ($17,198,500), alongside individual stocks like Tesla Inc. ($984,766) and Microsoft Corp. ($699,252).

• ·Business address: 900 Main Street, Lynchburg, VA 24504
• ·Business phone: 434-455-2795
• ·State of incorporation: VA
• ·Fiscal year end: December 31
• ·SEC file number: 028-23567
• ·EIN: 541927440