S&P 500 Industrials Sector SEC Filings — April 20, 2026

20-04-2026

GTII Receivership Estate, assignee of MSC Capital Advisors LLC, converted $42,062.13 of principal and accrued interest from defaulted AURI convertible promissory notes into 841,242,529 shares of AURI common stock at $0.00005 per share (75% discount to $0.0002 market price), exhausting all 841,242,529 available authorized unissued shares and representing 8.41% of post-conversion outstanding shares. This partially reduces the $125,000 original principal but leaves $103,515.96 in remaining debt, with both notes in default. The estate demands AURI increase authorized shares to reserve 4.5x coverage for full conversion and fully disclose the notes in OTC Markets filings.

• ·AURI Note 1 maturity: Oct 18, 2025 (past due, in default); AURI Note 2 maturity: Mar 25, 2026 (past due, in default)
• ·Conversion date: April 8, 2026; Market price (April 7, 2026): $0.0002; Conversion price: $0.00005
• ·Shares must be issued within 3 business days or incur $500/day Fail to Deliver Fee
• ·Beneficial ownership post-conversion: 8.41% (under 9.99% limitation)
• ·AURI subject to OTC Markets Alternative Reporting Standard; required to disclose notes, conversion, and holder details in next filing

20-04-2026

On April 17, 2026, Sierra Bancorp terminated William J. Wade II as Executive Vice President & Chief Operations Officer as part of an organizational realignment, entitling him to severance equal to 12 months' salary and health insurance premiums subject to signing a release within 21 days. Christopher Treece, Executive Vice President & Chief Financial Officer since January 2020, assumed the COO role with an amended employment agreement increasing his base salary by $25,000 to $466,000 per year. Marc Wolfe, age 35 and Senior Vice President & Corporate Controller since January 1, 2026, was appointed Principal Accounting Officer.

• ·William J. Wade II's employment agreement dated July 7, 2025.
• ·Christopher Treece has served as EVP & CFO since January 2020.
• ·Marc Wolfe joined the company in September 2015; holds BBA and MBA from National University.
• ·No family relationships among directors/executive officers and Marc Wolfe; no related party transactions.
• ·Amendment to Treece's employment agreement effective April 17, 2026.
• ·Exhibit 10.1: Second amendment to Treece's employment agreement.

20-04-2026

Bridgecrest Auto Funding LLC (BAF) and Bridgecrest Acceptance Corporation (BAC) entered into an Underwriting Agreement on April 16, 2026, with Wells Fargo Securities, LLC for the public offering of Auto Loan Asset Backed Notes issued by Bridgecrest Lending Auto Securitization Trust 2026-2, including Class A-1 (3.971%), A-2 (4.24%), A-3 (4.27%), B (4.56%), C (4.88%), and D (5.19%), with an unregistered Class E (7.17%); closing is anticipated on April 28, 2026. On the Closing Date, multiple agreements will be executed, including Purchase Agreement for transfer of motor vehicle retail installment sales contracts (Receivables), Sale and Servicing Agreement, Indenture, and others involving entities like Wilmington Trust and Computershare Trust Company. No performance metrics or declines are reported in this filing.

• ·Trust and Grantor Trust established December 2, 2025, with amended and restated agreements on Closing Date.
• ·Registration Statement on Form SF-3 (Commission File No. 333-271899).
• ·Issuer's CIK: 0002121064; Depositor's CIK: 0001974820; Sponsor's CIK: 0001493927.

20-04-2026

On April 17, 2026, Faraday Future Intelligent Electric Inc. entered into a Note Purchase Agreement with an accredited investor, issuing a Promissory Note A-1 with $15,780,000 principal and a Secured Promissory Note B with $30,000,000 principal for an aggregate purchase price of $45 million. The notes mature in 24 months, carry 9% and 3.5% interest rates respectively, and allow investor redemptions into Class A Common Stock after 6 months, subject to share reservations and Nasdaq minimum price rules. No period-over-period financial metrics are reported, but the agreement includes dilutive equity conversion risks and strict exchange conditions requiring at least $5 million shareholders' equity and market cap.

• ·Share Reserve to be established within 10 trading days after next annual stockholder meeting, calculated as 1.5x (A Notes balance / Nasdaq Minimum Price) + 0.5x (B Note balance / Nasdaq Minimum Price).
• ·Note Exchange right upon A Notes reduction by at least $300,000, up to half of reduction amount, subject to Exchange Conditions including stockholder approval.
• ·Redemptions start 6 months after Purchase Price Date; aggregated across A Notes with cash or equity payment options if Nasdaq Minimum Price >= $0.0603.
• ·Monitoring fee after 180 days: (Outstanding Balance / 0.80) - Outstanding Balance.
• ·Trigger Events lead to potential Event of Default and Mandatory Default Amount after Cure Period.

20-04-2026

20-04-2026

Saga Communications, Inc. (SGA) filed Definitive Additional Proxy Materials (DEFA14A) on April 20, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing was made by the registrant with no fee required. No specific proposals, financial data, or other substantive details are included in the provided materials.

20-04-2026

On April 20, 2026, Stanley Black & Decker, Inc. announced via Form 8-K that it does not expect recent changes to the Section 232 tariff regime to have a material impact on its full-year guidance. The company's press release is attached as Exhibit 99.1 and incorporated by reference. Forward-looking statements are included with standard cautions about risks and uncertainties.

20-04-2026

Cabaletta Bio, Inc. posted an updated corporate presentation to the 'Investors & Media' section of its website (www.cabalettabio.com) on April 20, 2026. The presentation, dated April 2026, is attached as Exhibit 99.1 to this Form 8-K filing under Items 8.01 and 9.01.

20-04-2026

ACI Worldwide, Inc. (ACIW) has filed definitive additional proxy materials (DEFA14A) for its Annual Meeting of Stockholders on June 2, 2026, at 10:00 AM ET, held virtually via www.proxydocs.com/ACIW. Key proposals include electing nine directors to serve until the 2027 annual meeting, ratifying Deloitte & Touche LLP as the independent auditor for 2026, and an advisory vote to approve named executive officer compensation. Stockholders of record as of April 8, 2026, can access full materials online and must request paper copies by May 23, 2026.

• ·Filing date: April 20, 2026
• ·Record date: April 8, 2026
• ·Paper material request deadline: May 23, 2026
• ·Proxy voting websites: www.proxydocs.com/ACIW, www.investorelections.com/ACIW
• ·Proxy phone: 1-866-648-8133

20-04-2026

FACTORIAL MANAGEMENT Ltd, a Hong Kong-based investment manager, filed a 13F-HR report disclosing its holdings as of March 31, 2026, totaling $3,824,437 across three positions. The portfolio consists of notes from Alibaba Group Holding Ltd ($1,387,835 par value $1,000,000) and Trip.com Group Ltd ($1,036,853 par value $1,000,000), plus 56,260 shares of HDFC Bank Ltd sponsored ADS valued at $1,399,749. No prior period comparisons or changes in holdings were detailed in the filing.

• ·Filing covers period ending 03-31-2026, filed 04-20-2026.
• ·All positions held with sole investment discretion.
• ·Filer address: Unit B 12/F On Hing Building, 1 On Hing Terrace, Central, Hong Kong.

20-04-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed a Form 8-K on April 20, 2026, under Items 7.01 (Regulation FD Disclosure) and 9.01 (Exhibits), announcing the issuance of a press release titled 'AITX Shares Fiscal 2027 Revenue Targets and Market Opportunity.' The press release is furnished as Exhibit 99.1. No specific financial figures, targets, or performance metrics were detailed in the filing itself.

20-04-2026

Generation Income Properties, L.P. amended the LLC agreement for GIPIA 1220 S. Duff Avenue, LLC (Iowa SPE), simplifying JCWC Funding LLC's preferred return on its $3,080,000 investment from 8.0% annual (6.5% cash + 1.5% accrued) to 6.5% cash-only, with automatic extensions up to August 23, 2029, and IRR redemption hurdles of 9.5%-12.5%. However, Nasdaq granted only a limited extension to August 4, 2026, to regain compliance with the $2,500,000 stockholders' equity requirement, with no assurance of success. The Iowa SPE owns a 30,465 sq ft retail property fully leased to Best Buy under a triple net lease, originally funded by JCWC preferred equity and a $2,495,000 Valley National Bank loan.

• ·Iowa SPE formed to own, operate, and manage the Ames Property at 1220 South Duff Avenue, Ames, Iowa 50010.
• ·Nasdaq hearing held March 24, 2026; Panel decision April 17, 2026.
• ·Redemption notice must be delivered no later than 180 days prior to extension period end; Iowa SPE redemption election from August 23, 2026 with 180-360 days notice.
• ·JCWC protective rights include replacing managing member for uncured senior loan defaults or Preferred Return payment failures.

20-04-2026

Prelude Therapeutics Incorporated announced new preclinical data for its lead development candidate PRT13722 at the AACR Annual Meeting 2026 on April 20, 2026, highlighting its potential as a first-in-class, orally bioavailable KAT6A degrader with superior disruption of KAT6A pathways, durable complete tumor regressions in HR+/HER2- breast cancer xenograft models as monotherapy, and synergy with endocrine therapy, CDK4/6 inhibitors, and PI3Kα inhibitors in sensitive, mutated, and resistant models. PRT13722 also demonstrates an improved preclinical hematological safety profile compared to prifetrastat. The program remains on track for an IND filing in mid-2026 and Phase 1 study initiation in the second half of 2026, pending clearance.

• ·PRT13722 maintains monotherapy and combination activity across HR+ BC models, including estrogen receptor 1 mutated and acquired therapy-resistant cancer cells.

20-04-2026

OP Asset Management Ltd filed Form 13F-HR on April 20, 2026, disclosing its US equity holdings as of March 31, 2025, with all positions held on a sole discretionary basis. Top holdings include Apple Inc. at $375808863 (1,691,842 shares), Amazon.com Inc. at $213692231 (1,123,159 shares), Alphabet Inc. CAP STK CL A at $101349355 (655,389 shares), and Alphabet Inc. CAP STK CL C at $92251472 (590,485 shares). The portfolio spans hundreds of US-listed stocks across sectors like technology, financials, and consumer goods.

• ·Filing period end date: 20250331
• ·All holdings reported as SH SOLE with no other managers or voting authority
• ·Filer CIK: 0002097005
• ·Filer located at Gebhardsinaukio 1, Helsinki H9 00510, Finland

20-04-2026

Neogen Corporation announced plans to host two investor tours of its Petrifilm manufacturing facility in Lansing, Michigan on April 20 and 21, 2026, under Regulation FD Disclosure. The company has successfully completed multiple operational qualifications for certain Petrifilm single kit units (SKUs) and is proceeding with performance qualifications as part of its overall validation efforts, with details to be shared during the tours.

• ·Facility address: 620 Lesher Place, Lansing, Michigan 48912
• ·Filed under Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits)

20-04-2026

Abercrombie & Fitch Co. (ANF) filed a DEFA14A Definitive Additional Materials proxy statement on April 20, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing indicates no fee was required and is marked as soliciting material under Rule 240.14a-12. No specific financial or operational details are provided in the document header.

20-04-2026

Passage Bio announced positive interim Phase 1/2 upliFT-D trial data for PBFT02 in FTD-GRN, showing 64% reduction in whole brain atrophy and 54% in frontotemporal cortex atrophy versus natural history data (n=2), plasma NfL stabilization with -1.0 pg/mL change (n=6), and robust CSF PGRN increases to 22.8 ng/mL at 12 months. However, the FDA requires a randomized controlled registrational trial, posing ethical, logistical, and financial challenges, prompting evaluation of next steps. The company initiated a strategic alternatives review, engaging Wedbush PacGrow, with no assurance of any transaction.

• ·Dose 1 (4.5e13 total genome copies): CSF PGRN from below 3 ng/mL baseline to 24.2 ng/mL at 18 months (n=3).
• ·Dose 2 (2.2e13 total genome copies): CSF PGRN to 8.6 ng/mL at 1 month (n=2) and 22.6 ng/mL at 6 months (n=1).
• ·Safety as of March 23, 2026: No new treatment-related SAEs; no dorsal root ganglion toxicity or intra-cisterna magna complications.
• ·FTD-GRN comparisons based on global CDR score 1 patients (n=7 natural history).

20-04-2026

Neurogene Inc. (Nasdaq: NGNE) announced the appointment of Christy Shafer as Chief Commercial Officer to lead commercial strategy and launch readiness for NGN-401 gene therapy for Rett syndrome, and Christine Mikail, J.D., its President and CFO, to the Board of Directors. Ms. Shafer brings over 20 years of experience in building commercial organizations and launching therapies for rare neurological diseases, including roles at Avidity Biosciences, Marinus Pharmaceuticals, and Alexion. These additions enhance Neurogene's executive team and board expertise in commercialization and strategic transactions as it advances NGN-401 toward potential approval.

• ·Filing date: April 20, 2026
• ·Neurogene's Annual Report on Form 10-K for year ended December 31, 2025, filed March 17, 2026

20-04-2026

Inscription Capital, LLC filed its 13F-HR on April 20, 2026, disclosing U.S. equity holdings as of March 31, 2026 (Q1 2026), with top positions including Apple Inc ($33,023,023, net share reduction of 104,751 or -45% QoQ), Chevron Corporation ($13,661,228, net reduction), and Amazon.com Inc ($12,546,164, net reduction of 49,068 shares). While the firm trimmed several large technology and energy holdings, it initiated new positions such as Baxter International ($336,000 for 20,000 shares) and significantly increased others like Burford Capital (net +13,117 shares or +516% QoQ). This reflects active portfolio rebalancing with both sales from legacy positions and selective buying.

• ·Portfolio includes over 300 positions with heavy concentration in technology (e.g., Apple, Alphabet, Amazon) and energy (e.g., Chevron, Enterprise Products).
• ·Berkshire Hathaway Inc DEL CL A position: $2,154,420 for 3 shares.
• ·Firm address: 2925 Richmond Avenue, Suite 425, Houston, TX 77098.

20-04-2026

Guild Investment Management, Inc. filed its 13F-HR report disclosing 47 equity positions totaling $139950814 as of March 31, 2026. The portfolio is diversified across technology stocks (e.g., Nvidia at $8137097, Microsoft at $3281351), short-term T-Bills ($13215907), inflation-protected securities ($16577906), physical gold ($12860113), and Bitcoin-related ETFs (e.g., Grayscale Bitcoin Trust at $3568686). No period-over-period changes are available in this filing.

• ·Filing submitted on April 20, 2026, for quarter ended March 31, 2026.
• ·All positions reported as sole ownership (SH SOLE).
• ·Additional notable holdings include Dell Technologies ($5954636), Broadcom ($1499266), and VanEck Merk Gold ETF ($5537997).

20-04-2026

Golden Reserve Retirement LLC filed its 13F-HR on April 20, 2026, disclosing 104 equity positions held as of March 31, 2026, with a heavy emphasis on passive ETFs and large-cap US stocks managed on a sole discretionary basis. The portfolio features massive allocations to broad market ETFs including Vanguard Total Stock Market ETF ($127.5B), Schwab U.S. Large-Cap Growth ETF ($118.3B), Invesco QQQ ($62.4B), Schwab U.S. Dividend Equity ETF ($70.2B), and Schwab U.S. Small-Cap ETF ($43.6B). Individual stock holdings are smaller but include prominent tech names such as NVIDIA ($3.9B), Apple ($3.4B), and Microsoft ($2.5B), reflecting no performance changes as this is a quarterly snapshot disclosure.

• ·Conformed period of report: 2026-03-31
• ·Filed as of date: 2026-04-20
• ·Central Index Key (CIK): 0002066488
• ·EIN: 843459219
• ·Business address: 270 Bradenton Ave, Dublin, OH 43017
• ·All positions reported as SH SOLE with no puts, calls, or shared discretion

20-04-2026

Emprise Bank filed its 13F-HR report on April 20, 2026, for the period ended March 31, 2026, disclosing total managed assets of $249122835 across 107 positions held with sole voting authority. The portfolio is diversified with significant allocations to equities such as Apple Inc ($5523232), Broadcom Inc ($6624133), and NVIDIA Corporation ($6485936), alongside fixed income holdings including VANGUARD INTERMEDIATE-TERM ($35042436). No period-over-period changes are provided in the filing.

• ·All 107 positions held with sole voting authority and no shared authority indicated.
• ·Includes fixed income positions such as HEMPSTEAD TOWN 5.000 10/01/27 ($50074) and MODESTO CALIF 5.000 09/01/27 ($50089).
• ·Diversified across ETFs from Vanguard, iShares, Dimensional, Avantis, and Schwab.

20-04-2026

Cottage Street Advisors LLC filed its 13F-HR on April 20, 2026, disclosing total portfolio holdings of $231,147,262 as of March 31, 2026, across 138 positions all held with sole voting power. Top holdings by value include PIMCO Enhanced Short MINT ($13,317,924), Apple Inc. (AAPL, $10,220,890), Alphabet Inc. Class C (GOOG, $9,227,738), Microsoft Corp. (MSFT, $8,272,611), and JPMorgan Ultra-Short Income ETF (JPST, $8,695,226). No period-over-period changes are detailed in the filing.

• ·All 138 positions held with sole voting power (SH SOLE) and no shared or other voting power indicated.
• ·Firm address: 9 Cottage Street, PO Box 249, Marion, MA 02738.

20-04-2026

Barton Investment Management filed its 13F-HR on April 20, 2026, disclosing holdings as of March 31, 2026, totaling $797326082 across 54 positions, all with sole voting power and no other reported rights. Top holdings include Netflix Inc. COM ($225275797, 2342962 shares), Shopify Inc. CL A SUB VTG SHS ($190142997, 1602959 shares), and Amazon.com Inc. COM ($103559759, 497238 shares). No performance metrics, changes, or comparisons to prior periods are provided in the filing.

• ·All 54 holdings reported with sole voting power (SH SOLE) and zero shares for other managers, put, or call options.
• ·Berkshire Hathaway Inc DEL CL A: 10 shares valued at 7181400 ($7.2M).
• ·NVIDIA Corporation COM: 3666 shares valued at 639351 ($0.6M).

20-04-2026

20-04-2026

20-04-2026

Factor Wealth Management LTD filed its 13F-HR on April 20, 2026, disclosing 162 equity positions held as of March 31, 2026, consisting primarily of ETFs from Dimensional, iShares, Vanguard, and American Century, alongside individual stocks such as Apple Inc. (33,591 shares) and Nvidia Corporation (23,885 shares). All positions are held with sole voting and sole investment discretion power, with no other powers reported or options held. No prior period comparisons or market values are provided in the filing.

• ·Firm address: 980 N Michigan Ave, Suite 1320, Chicago, IL 60611
• ·Former name: Clune & Associates, LTD. (name change date: February 10, 2025)
• ·No shared voting/disposition power, put options, or call options reported across all holdings

20-04-2026

Balance Wealth, LLC filed its 13F-HR on April 20, 2026, reporting total holdings of $322,075,545 across 149 positions as of March 31, 2026. The portfolio is diversified with significant allocations to ETFs such as Vanguard S&P 500 ETF ($24,124,517), J P Morgan Exchange Traded F Equity Focus ETF ($19,277,170), and Schwab Strategic Tr US Lrg Cap ETF ($9,800,995), alongside individual stocks like McDonalds Corp ($439,918) and Polaris Inc ($245,250). All reported positions are held with sole voting power.

• ·Filing period end date: March 31, 2026
• ·All holdings reported with sole shared discretionary voting power (SH SOLE)

20-04-2026

Aegis Wealth Management, Inc. filed its 13F-HR report disclosing 162 equity holdings totaling $127,258,948 as of March 31, 2026. The portfolio is diversified across ETFs (e.g., AllianzIM, BlackRock iShares, SPDR, Vanguard) and individual stocks including Alphabet, Amazon, Apple, Nvidia, and Tesla. No changes from prior periods or performance metrics are detailed in the filing.

• ·Filing signed in Guthrie Center, IA on April 20, 2026
• ·Central Index Key: 0002096565
• ·SEC File Number: 028-26099

20-04-2026

Contravisory Investment Management, Inc. filed its quarterly 13F-HR on April 20, 2026, reporting 366 equity positions totaling $488,063,857 as of March 31, 2026, with all holdings under sole discretion and no shared or other voting authority. Top holdings by value include APA Corporation ($14,706,479), Taiwan Semiconductor Manufacturing Sponsored ADS ($13,975,922), Alphabet Inc. Cap Stk Cl C ($11,340,723), Goldman Sachs Group Inc. ($10,414,137), and Barclays PLC ADR ($8,542,398). No period-over-period changes are disclosed in this filing.

• ·Report period end date: March 31, 2026
• ·Filer CIK: 0001365707
• ·State of incorporation: MA

20-04-2026

Barrett Business Services, Inc. (BBSI) seeks shareholder approval for the Second Amended and Restated 2020 Stock Incentive Plan, increasing authorized shares from 2,900,000 to 4,100,000 (adding 1,200,000 shares, or 4.9% of outstanding shares as of April 6, 2026), with only 456,443 shares currently available for future grants. The plan maintains the ISO limit at 1,500,000 shares and includes features like no liberal share counting and minimum vesting requirements. All directors and executives comply with stock ownership guidelines, Section 16 reporting for 2025, and no insiders hold pledged shares.

• ·Non-employee directors expected to own shares worth at least 3x annual retainer ($70,000) within 3 years of election.
• ·Executive officers expected to own shares/RSUs worth at least 3x annual base salary by July 1, 2021 or 5 years after appointment.
• ·Plan terminates May 27, 2030; awards include ISOs, nonqualified options, SARs, RSUs, PSUs (no SARs or Restricted Shares granted to date).
• ·No repricing, minimum 1-year vesting (5% carve-out up to 205,000 shares), no dividends on unvested awards, 10-year max term.

20-04-2026

San Juan Basin Royalty Trust declared no cash distribution for April 2026 due to excess production costs of $6,631,825 gross ($4,973,869 net to the Trust), which increased by $445,006 gross ($333,755 net) from the prior month amid low natural gas prices and production costs exceeding revenues. For February 2026, Hilcorp reported $5,237,354 in total revenue from Subject Interests but $5,682,360 in production costs, with gas volumes declining 10.1% MoM to 1,891,801 Mcf and average gas prices falling 8.8% MoM to $2.70 per Mcf. The Trust drew $121,741 from its Line of Credit to cover administrative expenses, increasing the balance to $872,254, with cash reserves now at $9,367.

• ·Interest income of $117 for the month.
• ·Cash reserves utilized $4,890 to pay Line of Credit interest in April 2026.
• ·No distributions until excess costs repaid, $2M reserve replenished, and Line of Credit principal/interest repaid.

20-04-2026

BTC Capital Management, Inc. filed its 13F-HR report on April 20, 2026, disclosing equity holdings as of March 31, 2026, with a total portfolio market value of $1,477,385,383 across approximately 530 positions. Top holdings include Apple Inc. (total value $60,977,530 across discretion categories), Alphabet Inc. Cap Stk Cl A (total $57,035,237), Broadcom Inc. (total $37,871,014), and Amazon.com Inc. (total $33,127,639). The portfolio spans technology, financials, healthcare, and ETFs with no period-over-period data provided in the filing.

• ·Filer CIK: 0001611848
• ·Business address: 453 7th Street, Des Moines, IA 50309
• ·Phone: 515-245-2447
• ·SEC file number: 028-16343
• ·Adviser ID: 801-62140

20-04-2026

Boyd Wealth Management, LLC filed its 13F-HR report on April 20, 2026, for the quarter ended March 31, 2026, disclosing 48 equity holdings with a total market value of $236,498,955. The portfolio is diversified across individual stocks like Apple Inc. (4,726 shares, $1,199,520), Amazon.com Inc. (2,233 shares, $465,067), and ETFs such as Vanguard S&P 500 ETF (83,846 shares, $50,102,029) and Schwab Strategic TR Intl Eqty ETF (815,401 shares, $20,181,180). No prior period comparison data is available in the filing.

• ·Filing CIK: 0001846114
• ·SEC File Number: 028-21625
• ·Business Address: 1545 River Park Drive Ste 202, Sacramento, CA 95815
• ·Period End Date: March 31, 2026
• ·All holdings reported as sole discretionary with zero shared, other manager, or voting authority

20-04-2026

Eagle Capital Management, LLC filed its 13F-HR on April 20, 2026, disclosing 49 sole discretionary equity holdings as of March 31, 2026, with a total portfolio value of $253.681 million. Top positions include Schwab Strategic Tr US Dividend Eq ETF at $28.509 million, SPDR S&P 500 ETF at $24.866 million, Invesco QQQ Tr Unit Ser 1 at $20.234 million, Vanguard Bd Index Fds Vanguard Ultra at $19.411 million, and Broadcom Inc at $16.894 million. Other notable holdings feature Apple Inc ($12.722 million), Alphabet Inc ($12.509 million), Microsoft Corp ($7.916 million), and Chevron Corporation ($6.856 million).

• ·All 49 holdings reported as SH SOLE with 0 other managers
• ·No put or call options reported (0 0 for all positions)
• ·Firm address: 1417 West Causeway Approach, Mandeville, LA 70471

20-04-2026

First PREMIER Bank filed its 13F-HR on April 20, 2026, disclosing a portfolio of 581 equity positions valued at $433,209,000 as of March 31, 2026. Holdings are diversified across common stocks and ETFs, with significant allocations to Apple Inc. (multiple tranches totaling values including $10,478,000 and $11,183,000), Amazon.com Inc., and Alphabet Inc. No period-over-period changes are detailed in this snapshot filing.

• ·SEC file number: 028-17067
• ·Business address: Wealth Management, 500 S Minnesota Ave, Sioux Falls, SD 57104
• ·Filer CIK: 0001653926
• ·Alerus Financial Corp: 17036 shares sole

20-04-2026

C2C Wealth Management, LLC filed its 13F-HR on April 20, 2026, for the quarter ended March 31, 2026, reporting 92 holdings with a total market value of $118,227,219. Top positions include Apple Inc. ($9,940,437), iShares Core S&P 500 ETF ($8,529,217), Chevron Corporation ($7,389,636), Cohen & Steers Infrastructure ($7,178,336), and Microsoft Corp. ($6,101,980). The filing discloses sole voting authority for all positions with no other managers reported.

• ·Business address: 32531 N SCOTTSDALE RD STE 105-121, SCOTTSDALE, AZ 85266
• ·Phone: (480) 287-2130
• ·SEC file number: 028-22314
• ·All positions held with sole voting authority (SH SOLE)

20-04-2026

Lilly Endowment Inc. filed its 13F-HR on April 20, 2026, reporting holdings as of March 31, 2026. The filing discloses a single position of 91,896,978 shares of common stock (CUSIP 532457108) valued at $84,524,083,455, held with sole investment discretion and voting authority. No changes, additions, or reductions in holdings are indicated in this quarterly snapshot.

• ·Central Index Key (CIK): 0000316011
• ·SEC File Number: 028-00889
• ·Business Address: 2801 North Meridian Street, Indianapolis, IN 46208

20-04-2026

Shepherd's Finance, LLC filed an S-1/A registration statement on April 20, 2026, outlining material federal income tax consequences for its Notes, including ordinary income treatment for interest (unless OID applies), capital gains/losses on disposition, exemptions for non-U.S. holders as portfolio interest, and 30% FATCA withholding risks. The filing also covers ERISA prohibited transaction risks for Plans investing in the Notes and introduces management team, led by CEO Daniel M. Wallach (age 58), with managers' staggered terms expiring in 2026-2028. It incorporates by reference the Form 10-K for the year ended December 31, 2025, filed April 6, 2026.

• ·Annual Report on Form 10-K for year ended December 31, 2025, filed with SEC on April 6, 2026
• ·Manager term expirations: Wallach (March 2028), Summers (March 2026), Rauscher (March 2027), Sheldon (March 2028)
• ·Non-U.S. holders exempt from 30% withholding on portfolio interest with IRS Form certification
• ·ERISA Plans must represent no prohibited transactions or plan assets involvement

20-04-2026

Pyrophyte Acquisition Corp., a blank check company, filed a supplement to its proxy statement for the extraordinary general meeting (EGM) on April 28, 2026, to approve extending the initial business combination deadline from April 29, 2026, to April 29, 2027. The supplement modifies sponsor loan terms, with Pyrophyte Acquisition LLC providing monthly contributions of the greater of $0.05 per public share post-redemptions or $75,000, up to a maximum of $908,372.40, repayable upon business combination or forgiven otherwise. As of the record date March 27, 2026, 6,545,204 ordinary shares were outstanding.

• ·Shareholders who have voted or submitted redemption requests can change or revoke them by contacting the transfer agent.
• ·Fourth Extension Contributions are conditioned on Extension Proposal approval and will be evidenced by a promissory note.
• ·If no contribution within 45 days of due date, Company will commence Trust Account liquidation unless business combination consummated or wind-up announced.

20-04-2026

Hoxton Planning & Management, LLC filed its 13F-HR on April 20, 2026, disclosing equity holdings as of March 31, 2026, totaling $333,212,209 across 216 positions held solely. Largest holdings include iShares Core S&P 500 ETF ($50,023,741), NVIDIA Corporation ($10,947,133), and Apple Inc. ($6,928,997), with significant allocations to ETFs, technology, and broad market indices. No prior period comparisons or changes are detailed in the filing.

• ·Filing period end date: March 31, 2026
• ·Business address: 8530 Shepherdstown Pike, Shepherdstown, WV 25443
• ·Portfolio includes 62,770 shares of NVIDIA Corporation and 27,302 shares of Apple Inc.

20-04-2026

First American Bank filed its 13F-HR on April 20, 2026, reporting holdings as of March 31, 2026, with a total portfolio market value of $1593767958 across 282 positions. Top holdings include Apple Inc. ($160954875), Broadcom Inc. ($98694082), Alphabet Inc. Class A ($81697224), Microsoft Corp. ($71870727), and NVIDIA Corporation ($66758917). The filing discloses detailed share counts and voting authority (SOLE, DFND, OTR) for each position, with no period-over-period changes provided in this report.

• ·Filing covers period ending 2026-03-31
• ·Business address: 218 W. Main Street, Dundee, IL 60118
• ·SEC file number: 028-11265

20-04-2026

Tower View Wealth Management LLC reported total equity holdings of $194,797,374 across 204 positions as of March 31, 2026, all held with sole voting power and no other reported changes. Top positions include SPDR S&P 500 ETF Trust ($9,494,923), NVIDIA Corporation ($8,969,883), Eli Lilly & Co ($8,894,101), Alphabet Inc Class C ($7,388,989), and Vanguard Growth ETF ($7,791,246). The portfolio reflects a diversified mix of individual stocks and ETFs, with heavy weighting in technology and broad market indices.

• ·All 204 positions held with sole voting power (SH SOLE 0 0).
• ·Filing covers period ending March 31, 2026, filed April 20, 2026.
• ·Portfolio includes significant ETF exposure (e.g., various iShares, Vanguard, SPDR funds) alongside individual stocks.

20-04-2026

Peirce Capital Management, LLC filed Form 13F-HR on April 20, 2026, disclosing its equity holdings as of March 31, 2026, totaling exactly $255650957 across 43 positions with no other performance metrics or comparisons provided. The portfolio is heavily weighted toward Dimensional ETF Trust products, including US Core Equity 2 ETF at $31069126, and includes individual stocks such as Microsoft Corp ($1068005, 2885 shares), NVIDIA Corp ($646501, 3707 shares), and energy names like Chevron Corp ($435938, 2107 shares). This is a routine quarterly snapshot with no indications of changes, growth, or declines.

• ·Holdings consist entirely of sole voting power shares (SH SOLE) with no shared or other discretion.
• ·Other notable positions: Dimensional ETF Trust Emerging Mkts Core Equity ($16481454), EA Series Trust EA Bridgeway Omni ($46110406), Vanguard Scottsdale Fds Inter Term Treas ($15852218).

20-04-2026

KFG Wealth Management, LLC disclosed its 13F-HR holdings as of March 31, 2026, reporting a total portfolio value of $773700492 across 216 positions, all held with sole voting power except minor shared or put positions. The portfolio is dominated by ETFs such as Fidelity Covington Trust Enhanced Large ($119838026, 3304054 shares) and ETF Ser Solutions Aptus Defined ($51787823, 1894908 shares), alongside individual stocks like Apple Inc. ($6297824, 24815 shares) and Microsoft Corp. ($2256418, 6096 shares). No period-over-period changes are detailed in the filing.

• ·Filing date: April 20, 2026
• ·Report period end: March 31, 2026
• ·Firm address: 6910 N MAIN ST BLDG 16, UNIT 41, GRANGER, IN 46530
• ·SEC file number: 028-22733
• ·One minor put position in NVIDIA (1600 shares)

20-04-2026

Macro Bank Inc. (BMA) filed its Form 20-F annual report on April 20, 2026, providing standard disclosures including table of contents for items such as risk factors, market risk, controls and procedures, corporate governance, and regulatory details on capital, dividends, and debt instruments. The filing includes regulatory thresholds like 100% inclusion of certain net earnings or losses, deductions for items exceeding 10% of Tier 1 capital, and requirements for debt replacement exceeding 20% of minimum capital needs. No financial performance metrics, period-over-period comparisons, or material events such as defaults or modifications to security holder rights were highlighted in the provided content.

• ·Financial entities may cancel dividends/interest coupons at sole discretion without constituting default or triggering conversion rights.
• ·Provisions gradually increasing remuneration or incentives for anticipated amortization are not allowed in certain contracts.
• ·Income from securitization transactions and portfolio sales with recourse deductible under Minimum Capital Regulations Sections 3.1.4., 3.1.5.1., and 3.1.5.2.

20-04-2026

This DEF 14A proxy statement solicits votes for the Joint Annual Meeting of Shareholders of nine Virtus closed-end funds, including Virtus Artificial Intelligence & Technology Opportunities Fund (AIO), held virtually on June 1, 2026 at 3:30 p.m. ET. Proposals include electing multiple Class I, II, and III trustees/directors specific to each fund (e.g., Donald C. Burke, R. Keith Walton, and Brian T. Zino for AIO) and ratifying PricewaterhouseCoopers LLP as independent auditor for each fund. The Boards, including independent trustees, unanimously recommend voting 'FOR' all nominees and the ratification.

• ·Record date for shareholders entitled to vote: close of business on March 31, 2026
• ·Virtual meeting access: www.meetnow.global/MN6WL79 (control number from proxy card required)
• ·Proxy materials first mailed: on or about April 20, 2026
• ·Advance registration deadline for beneficial owners: 5:00 p.m. ET on May 27, 2026 (email legal proxy to shareholdermeetings@computershare.com)

20-04-2026

Triangle Securities Wealth Management, a Raleigh, NC-based investment manager, filed its 13F-HR report on April 20, 2026, for the quarter ended March 31, 2026, disclosing discretionary holdings across 206 equity positions with a total market value of $440,614,632. All reported positions are held with sole voting power and no other powers indicated. No period-over-period changes are detailed in the filing.

• ·Business address: 1301 Annapolis Drive, Raleigh, NC 27608
• ·Phone: 919-838-3224
• ·SEC file number: 028-14685
• ·Fiscal year end: December 31
• ·Top holding by value: Schwab Strategic Tr US Mid-Cap ETF ($16,471,924 market value, 532,039 shares)