US Activist Hedge Fund Institutional SEC 13D 13G — September 17, 2026

17-09-2026

Philotimo Fund, LP and related entities (Kanen Wealth Management, PHLOX, and David L. Kanen) disclosed a 5.1% aggregate beneficial ownership stake in Fossil Group, Inc. as of September 11, 2026, totaling 3,022,258 shares. The filing is a Schedule 13G, indicating passive investment intent, not an acquisition or control-seeking move. The stake is spread across Philotimo (1,700,699 shares), PHLOX (1,000,746 shares), and KWM managed accounts (320,813 shares), with Kanen as the ultimate beneficial owner.

• · The filing is a Schedule 13G under Rule 13d-1(c), indicating passive investment intent.
• · The reporting persons disclaim beneficial ownership of shares not directly owned.
• · The percentage ownership is based on 59,138,052 shares outstanding as of August 5, 2026.
• · Philotimo is organized under Delaware law; KWM is organized under Florida law.
• · The group may be deemed to beneficially own the shares for Section 13(d)(3) purposes.

17-09-2026

Morgan Stanley and its wholly-owned subsidiary Morgan Stanley & Co. LLC filed a Schedule 13G/A with the SEC on September 17, 2026, reporting that as of September 15, 2026, they have ceased to be beneficial owners of more than 5% of the Auction Preferred Stock of Eaton Vance Senior Income Trust (EVF). The filing indicates zero shares beneficially owned by both entities, reflecting a complete exit from their previous significant stake.

• · The filing is an amendment (SCHEDULE 13G/A) to a previous Schedule 13G.
• · The securities reported are multiple series of auction rate preferred securities treated as one class per SEC no-action letter dated September 22, 2008.
• · Morgan Stanley is classified as a parent holding company (HC) and Morgan Stanley & Co. LLC as a broker-dealer (BD).
• · Both entities certify that the securities were acquired and held in the ordinary course of business, not for changing or influencing control of the issuer.

17-09-2026

Invus Global Management, LLC and related entities filed a Schedule 13G with the SEC on September 17, 2026, disclosing a 6.3% beneficial ownership stake in Yarrow Bioscience, Inc. (formerly VYNE Therapeutics Inc.). The filing, made under Rule 13d-1(c), covers 591,472 shares held directly by Invus Public Equities, L.P. and 83,528 shares held by Avicenna Life Sci Master Fund LP, with Raymond Debbane deemed to beneficially own 675,000 shares (7.2%) in aggregate. The filing certifies the securities were not acquired to change or influence control of the issuer.

• · The filing was made under Rule 13d-1(c), indicating passive investment intent.
• · The issuer changed its name from VYNE Therapeutics Inc. to Yarrow Bioscience, Inc. on September 4, 2020.
• · The filing includes a joint filing agreement among all reporting persons.
• · Raymond Debbane is a citizen of Panama.

17-09-2026

Uber Technologies, Inc. sold 29,369,611 Class A shares of Aurora Innovation, Inc. in a block sale on September 15, 2026, at $6.2050 per share, reducing its stake to 9.2% of Class A common stock. Post-sale, Uber beneficially owns 157,103,800 Class A shares, down from the prior level, reflecting a significant disposition of its holding.

• · The block sale was executed on September 15, 2026, and the filing was made on September 17, 2026.
• · The sale price per share was $6.2050.
• · Uber's beneficial ownership percentage decreased to 9.2% from an unspecified prior level.
• · The percentage was calculated based on 1,708,146,085 Class A shares outstanding as of July 22, 2026.
• · The filing is Amendment No. 7 to the Schedule 13D, originally filed on February 14, 2022.
• · No other transactions were effected by the Reporting Person since the most recent amendment.

17-09-2026

SGF FANG Holdings, LP, an entity associated with Lyndal Greth, sold 9,079,675 shares of Diamondback Energy common stock on September 16, 2026, at $205.26 per share, generating gross proceeds of approximately $1.86 billion. Following the sale, SGF FANG retains 64,957,047 shares, representing 23.2% of Diamondback's outstanding common stock, and is subject to a 30-day lock-up period. The sale was executed pursuant to Rule 144, and the filing is an amendment to the Schedule 13D.

• · The sale was executed pursuant to Rule 144 under the Securities Act of 1933.
• · The lock-up period runs from September 16, 2026 through 30 days after that date, during which SGF FANG may not sell shares without mutual agreement with Morgan Stanley & Co. LLC.
• · The Schedule 13D was originally filed on September 13, 2024, with prior amendments on September 24, 2024, August 15, 2025, December 2, 2025, February 5, 2026, March 16, 2026, and June 5, 2026.
• · The percentage ownership calculation is based on 280,024,353 shares outstanding as of July 31, 2026, as disclosed in the Company's Form 10-Q filed on August 5, 2026.

17-09-2026

Bing Zhang, Chairman and CEO of Cheer Holding, sold all 500,000 Class B shares (representing ~96.44% of voting power) to Lioness Limited for $500 on September 16, 2026. Following the sale, Zhang retains only 13,143 Class A shares (0.7% of Class A shares) and has ceased to be a >5% beneficial owner. Zhang will continue as Chairman, CEO, and interim CFO.

• · Zhang sold all 500,000 Class B shares for only $500 total consideration.
• · Class B shares carried 100 votes per share vs. 1 vote per Class A share, giving them ~96.44% voting power.
• · Zhang's beneficial ownership of Class A shares dropped to 0.7% (13,143 shares) after the sale.
• · Zhang cited personal reasons including health considerations for the sale.
• · The sale was to Lioness Limited, a Hong Kong company.
• · Zhang will remain Chairman, CEO, and interim CFO despite the sale.
• · This is an exit filing as both Reporting Persons (Zhang and HSL) are no longer >5% beneficial owners of Class A shares.

17-09-2026

Sunil Jagwani and Key Group Long Term Investments LP filed an amended Schedule 13G with the SEC on September 17, 2026, disclosing beneficial ownership of 6,435,000 common shares of Methanex Corp, representing 8.3% of the outstanding shares. The filing includes 3,500,000 common shares issuable upon exercise of call options and amends a prior filing from August 14, 2026.

• · Filing is Amendment No. 3, amending and restating holdings reported in Amendment No. 1 filed August 14, 2026.
• · Both reporting persons disclaim beneficial ownership except for pecuniary interest.
• · Sunil Jagwani is identified as a control person of Key Group Long Term Investments LP.
• · Reporting persons certify securities were not acquired to change or influence control of the issuer.

17-09-2026

Philip Wagenheim, a director of Swarmer, Inc and managing member of Theseus Capital Partners, filed an amended Schedule 13D disclosing beneficial ownership of 835,840 shares (4.99% of common stock) as of September 15, 2026. The filing reports a distribution of 1,124,981 shares by Theseus to its members on September 15, 2026, which reduced Wagenheim's beneficial ownership. Additionally, Wagenheim entered into a 180-day lockup agreement on September 17, 2026, restricting the sale of shares issued upon exercise of warrants held by Theseus.

• · The lockup agreement applies to shares issued upon cashless exercise of a Stock Purchase Warrant dated September 22, 2025 between Swarmer and Theseus Capital Partners.
• · The lockup period runs from September 17, 2026 for 180 days.
• · The company may consent to early release from the lockup if market conditions are not adversely impacted and in cases of financial emergency.
• · The lockup agreement includes standard exceptions for gifts, transfers to immediate family, trusts, affiliates, and by will or operation of law.
• · Wagenheim holds sole voting and dispositive power over shares held by Theseus.
• · The 4.99% beneficial ownership blocker prevents exercise of warrants beyond that threshold.

17-09-2026

Abrams Bison Partners, L.P. and related entities filed a Schedule 13G with the SEC, disclosing beneficial ownership of 2,728,000 shares of Bright Horizons Family Solutions Inc. common stock, representing 5.6% of the outstanding shares as of September 10, 2026. The filing indicates a passive investment intent, as the filers certify that the securities were not acquired for the purpose of changing or influencing control of the issuer.

• · The filing was made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · Reporting entities include Abrams Bison Investments, L.L.C., Abrams Bison Partners, L.P., and Gavin Abrams, each reporting the same 2,728,000 shares.
• · No securities are held with the purpose of changing or influencing control of Bright Horizons Family Solutions Inc.

17-09-2026

Situational Awareness LP and related entities, including Leopold Aschenbrenner and Carl Shulman, filed a Schedule 13D/A disclosing beneficial ownership of 8,070,950 shares of SharonAI Holdings Inc. Class A Common Stock, representing 21.1% of the outstanding shares. The stake was acquired for $523,883,130.66, with the most recent transaction being the exercise of pre-funded warrants for 2,674,823 shares on September 15, 2026. The filing states the investment was made for passive purposes and not to influence control, though the reporting persons reserve the right to engage in future transactions or communications with management.

• · The reporting persons disclaim membership in a group and state the filing is made jointly but not as a group.
• · The Fund (Situational Awareness Partners LP) exercised the remaining 2,674,823 shares of the pre-funded warrant on September 15, 2026, terminating the warrant.
• · A Registration Rights Agreement was entered on June 17, 2026, requiring the Issuer to file a registration statement for resale of the shares, with potential liquidated damages of 1.0% per month (up to 5.0% of subscription amount) for delays.
• · All reporting persons share voting and dispositive power over the 8,070,950 shares; none has sole power.
• · The filing was triggered because the Fund's beneficial ownership exceeded 20% as of August 27, 2026.

17-09-2026

Par Chadha and affiliated entities (Exela Technologies, XCV-STS, GP 3XCV) filed Amendment No. 1 to Schedule 13D, disclosing beneficial ownership of 25.93% of XBP Global Holdings common stock as of September 15, 2026. The stake consists of 3,843,631 shares (including 663,241 warrant shares) held primarily through Exela, with Exela owning 22.72% and GP 3XCV owning 18.69%. The filing also includes a joint filing agreement among the parties.

• · The filing is an amendment to Schedule 13D, indicating a change in beneficial ownership disclosure.
• · Exela's ownership includes 2,703,756 shares of XBP Common Stock and 663,241 XBP Warrant Shares.
• · GP 3XCV's ownership is based on 14,156,584 shares outstanding as of September 15, 2026, giving effect to 534,384 warrant shares.
• · XCV-STS holds 492,652 shares and 128,857 warrants, representing 4.35% of XBP Common Stock.
• · The filing includes a Joint Filing Agreement dated September 17, 2026, among Exela, Par Chadha, XCV-STS, and GP 3XCV.
• · Par Chadha's direct holdings include 271,687 shares, of which 5,376 are restricted stock units vesting within 60 days.
• · The beneficial ownership calculation gives effect to 663,241 XBP Warrant Shares held by Exela.
• · No prior period data is provided in this filing, so no period-over-period comparison is possible.

17-09-2026

SJC Lending, LLC and Steven J. Caspi filed a Schedule 13G disclosing beneficial ownership of 10,389,404 shares of Hyperscale Data, Inc. Class A Common Stock, representing 5.5% of outstanding shares as of September 14, 2026. The stake includes 389,404 shares issuable upon conversion of Class B shares, which carry 10 votes per share. The filing states the shares were not acquired for control purposes.

• · Class B shares carry 10 votes per share, giving SJC/Caspi significant voting power relative to economic ownership.
• · The filing is a Schedule 13G under Rule 13d-1(c), indicating passive investment intent.
• · SJC Lending, LLC is a Delaware LLC; Steven J. Caspi is the Sole Member and may be deemed to beneficially own the shares.
• · The beneficial ownership percentage is based on 187,077,596 shares outstanding as of September 14, 2026.

17-09-2026

Carlos Slim Helu and his family, through Control Empresarial de Capitales, disclosed a 23.4% beneficial ownership stake in Talos Energy Inc. as of September 17, 2026, representing 39,079,036 common shares. However, on September 15, 2026, Control Empresarial sold a total of 1,381,000 shares at weighted average prices of approximately $18.52 and $18.61, reducing their position from a prior higher level. The filing is an amendment to the original Schedule 13D filed in June 2024, indicating ongoing active management of the stake.

• · The Slim family are beneficiaries of a Mexican trust that owns all voting equity of Control Empresarial.
• · The filing is Amendment No. 5 to the original Schedule 13D filed June 3, 2024.
• · The sale on September 15, 2026 was executed in multiple transactions at prices ranging from $18.49 to $18.655 per share.
• · The reporting persons have filed powers of attorney incorporated by reference from a prior PBF Energy filing.

17-09-2026

Islet Management, LP and affiliated entities, including YA II PN, Ltd. and Yorkville entities, filed a Schedule 13D with the SEC on September 17, 2026, disclosing beneficial ownership of 490,000 shares of OraSure Technologies, Inc., representing approximately 0.7% of shares outstanding. The group, which entered into a Group Agreement on September 11, 2026, intends to engage with the Board to enhance stockholder value, potentially nominating directors at the 2027 annual meeting. The filing also reveals cash-settled total return swaps providing economic exposure to an additional 500,000 notional shares, and the group may increase or decrease its position depending on market conditions.

• · The Group Agreement requires advance notice and pre-clearance for certain securities transactions and approval of both Yorkville and Islet for SEC filings and communications.
• · The Reporting Persons disclaim beneficial ownership of shares not directly owned.
• · No Reporting Person has been convicted in a criminal proceeding or subject to securities-related judgments in the last five years.
• · The group may engage in additional communications with management and the Board, and may purchase or sell shares in the open market or private transactions.
• · The cash-settled swaps do not provide voting power or the power to dispose of the underlying shares.

17-09-2026

On September 16, 2026, a consortium including co-founders Gang Yu and Junling Liu, Sunny Bay Global Limited, and Huadeng Tech BioArray Ventures Ltd submitted a non-binding proposal to acquire all Class A ordinary shares of 111, Inc. not owned by the consortium at $0.226 per share ($4.52 per ADS), in a going-private transaction. The consortium collectively holds approximately 42.1% of total share capital and 91.4% of voting power. The proposal is non-binding and subject to negotiation of definitive documents; no financing condition is expected.

• · The consortium agreement includes a six-month exclusivity period during which members must vote against competing transactions.
• · The proposal is non-binding; completion requires execution of definitive documents.
• · If completed, the ADSs would be delisted from Nasdaq and deregistered under Section 12(g)(4) of the Exchange Act.
• · The consortium holds 72,000,000 Class B ordinary shares and 2,266,328 Class A ordinary shares.
• · No transactions in shares by reporting persons during the past 60 days.

17-09-2026

George Ted Rogers III, a director of Vulcan Infrastructure & Power Inc. (formerly Greenidge Generation Holdings Inc.), filed a Schedule 13D disclosing beneficial ownership of 3,017,216 shares of Class A common stock, representing an 8.5% stake. The filing details a $5 million purchase of 2,923,976 shares at $1.71 per share via a July 19, 2026 subscription agreement, along with restricted stock unit grants and a voluntary conversion of Class B shares. While the investment signals insider confidence, the per-share price was set at the market close, and the filing includes no operational performance data, making the overall sentiment neutral.

• · Mr. Rogers was appointed to the Issuer's Compensation Committee effective September 10, 2026.
• · The subscription agreement grants Mr. Rogers a right of first offer to purchase his pro rata share of certain future equity issuances until the earlier of three years from closing, ownership falling below 3% of purchased shares, or a change of control.
• · The Issuer must file a shelf registration statement for resale of purchased shares, with effectiveness required no later than January 8, 2027.
• · Mr. Rogers has been a director since September 13, 2021.

17-09-2026

On September 15, 2026, Waddle Limited, as trustee of the Chivers Trust, distributed 4,273,535 ordinary shares of Super Group (SGHC) Ltd to Atla Trustees Limited as trustee of the Hoddle Trust, reducing Chivers Ltd's direct holdings. Post-transfer, Chivers Ltd, the Chivers Trust, and Waddle Limited collectively beneficially own 90,174,578 shares (17.7% of outstanding), while Hoddle Trust and Atla Trustees Limited beneficially own 4,273,535 shares (0.8%). The filing reflects an internal restructuring of beneficial ownership among related Isle of Man entities, with no change in aggregate ownership by the reporting group.

• · The transfer was executed via a Deed of Appointment of Beneficiary dated September 15, 2026, making Hoddle a beneficiary of the Chivers Trust.
• · The 4,273,535 shares transferred were originally received by Chivers as a dividend in specie.
• · Chivers Ltd, Chivers Trust, and Waddle Limited have shared dispositive power over 82,476,349 shares and shared voting power over 90,174,578 shares (until settlement).
• · Hoddle Trust and Atla Trustees Limited have shared voting and dispositive power over 4,273,535 shares.
• · No Reporting Person has sole voting or dispositive power over any Ordinary Shares.
• · No transactions in the Issuer's Ordinary Shares were effected by the Reporting Persons during the last 60 days other than the transfer described.

17-09-2026

Paradigm BioCapital Advisors LP and related entities filed a Schedule 13G disclosing beneficial ownership of 3,473,453 shares of Tyra Biosciences, Inc. common stock, representing 5.8% of the 59,676,939 shares outstanding as of July 31, 2026. The filing, made under Rule 13d-1(c), indicates the shares were acquired in the ordinary course of business and not with the purpose of changing or influencing control of the issuer.

• · The filing is a Schedule 13G (passive investment) under Rule 13d-1(c), not a 13D (activist).
• · Paradigm BioCapital International Fund Ltd. directly owns 3,060,595 shares (5.1%).
• · The Adviser, Adviser GP, and Senai Asefaw disclaim beneficial ownership except for shares directly owned.
• · Date of event requiring filing: September 10, 2026.
• · The Fund is organized in the Cayman Islands (E9); the Adviser and GP are Delaware entities.

17-09-2026

Mayers Ventures LLC and its owner Ram Naim filed a Schedule 13D disclosing beneficial ownership of 130,000 shares of Tessera Defense & Homeland Security Inc. (formerly BiomX Inc.), representing 4.86% of the outstanding common stock. The shares were acquired as consideration for the sale of 15% of M.E.A. Testing Systems Ltd. to the issuer, with an additional 65,000 shares to be issued upon NYSE authorization. The filing also notes a convertible loan facility of up to $475,000 at 12% interest made available to the LLC.

• · The shares were acquired as consideration for the sale of 15% of M.E.A. Testing Systems Ltd. to the issuer.
• · An additional 5% of MEA was purchased for 65,000 shares, pending NYSE authorization.
• · No cash was used by any Reporting Person to acquire the shares.
• · The Reporting Persons have sole voting and dispositive power over all 130,000 shares.
• · No transactions in the common stock were effected by the Reporting Persons during the past sixty days other than the acquisition described.

17-09-2026

Hamid Khoja, Chief Scientific Officer of FibroBiologics, Inc., filed a Schedule 13D disclosing beneficial ownership of 630,009 shares (7.5% of outstanding common stock) as of September 15, 2026. The stake includes 298,508 shares acquired via a private placement at $1.675 per share with accompanying warrants, along with previously held shares and vested options. The filing reflects insider support for the company's business plan, though the warrants have a dilutive potential and Khoja may acquire or dispose of additional shares in the future.

• · Khoja's total beneficial ownership comprises 301,571 directly held shares, 298,508 shares issuable upon exercise of warrants, and 29,930 shares issuable upon exercise of vested stock options.
• · The warrants have a five-year term and include anti-dilution adjustments for stock splits, stock dividends, rights offerings, and pro rata distributions.
• · Khoja holds an additional 73,035 unvested stock options under the company's 2022 Stock Plan.
• · Khoja's employment agreement provides for nine months' base salary severance if terminated without cause.
• · No other contracts, arrangements, or pledges of securities were disclosed.

17-09-2026

A Schedule 13G filing reveals that Marc Bistricer, the David Bistricer Trust of 2014, and the Moric Bistricer Trust of 2013 collectively own 879,762 shares of Clipper Realty Inc. (CLPR), representing 5.4% of the outstanding common stock as of September 10, 2026. The filing is a passive investment disclosure under Rule 13d-1(c), indicating no intent to change or influence control of the company. The David Bistricer Trust of 2014 holds 793,537 shares (4.9%), and the Moric Bistricer Trust of 2013 holds 86,225 shares (0.5%), with Marc Bistricer serving as sole trustee for both trusts.

• · The filing is made pursuant to Rule 13d-1(c), confirming a passive investment intent.
• · Marc Bistricer individually reports 0 shares directly owned.
• · The David Bistricer Trust of 2014 is organized under the laws of the State of New York.
• · The Moric Bistricer Trust of 2013 is organized under the laws of the State of New York.
• · The filing date is September 17, 2026, with the event date of beneficial ownership as September 10, 2026.

17-09-2026

Beretta Holding S.A. filed Amendment No. 7 to its Schedule 13D, disclosing the commencement of a tender offer to acquire up to 2,400,184 shares of Sturm Ruger & Co. common stock at $44.80 per share. If fully subscribed, Beretta's beneficial ownership would increase from 9.93% (1,587,000 shares) to approximately 24.95% (3,987,184 shares). The tender offer expires on October 15, 2026, is not subject to financing or minimum tender conditions, and is stated to be for investment purposes, not to acquire control.

• · The tender offer is not subject to any financing condition or minimum number of shares tendered.
• · Beretta has not effected any transactions in Ruger common stock during the past 60 days.
• · The tender offer and withdrawal rights expire at 11:59 p.m. New York City time on October 15, 2026.
• · The offer is being made pursuant to a cooperation agreement entered into on May 2, 2026.

17-09-2026

Hafnia Ltd filed an amended Schedule 13D with the SEC on September 17, 2026, disclosing that it acquired 4,500,000 Class A shares of TORM plc on September 15, 2026, at $32.25 per share for a total of $145,125,000. The purchase was funded by a loan from its major shareholder, BW Group Limited. Following the transaction, Hafnia beneficially owns 18,656,061 Class A shares, representing 18.22% of TORM's outstanding shares, up from its prior stake (not disclosed in this filing).

• · The acquisition was structured as a secondary bought transaction by J.P. Morgan Securities LLC.
• · The purchase price per share was $32.25.
• · Hafnia has sole voting and dispositive power over all 18,656,061 shares.
• · The filing does not disclose Hafnia's prior ownership percentage, so the exact increase cannot be calculated from this filing alone.
• · No other transactions in TORM shares were effected by Hafnia in the past 60 days.

17-09-2026

Equinox Partners Investment Management LLC and related entities filed a Schedule 13G/A disclosing aggregate beneficial ownership of 1,533,793 shares of Gran Tierra Energy Inc., representing 4.3% of outstanding shares as of September 11, 2026. The filing is an amendment to a prior 13G and includes ownership by EPIM, Equinox Partners, Kuroto Fund, Mason Hill Partners, and Sean M. Fieler. The reporting persons disclaim beneficial ownership for certain purposes and state the shares were not acquired to influence control.

• · Filing date: September 17, 2026; event date: September 11, 2026
• · EPIM's ownership: 1,533,793 shares (4.3%)
• · Equinox Partners' ownership: 611,231 shares (1.7%)
• · Kuroto Fund's ownership: 156,116 shares (0.4%)
• · Mason Hill Partners' ownership: 155,102 shares (0.4%)
• · Sean M. Fieler's ownership: 1,533,793 shares (4.3%)
• · Reporting persons disclaim beneficial ownership for certain purposes
• · Shares held in client accounts over which EPIM has shared voting and dispositive power
• · Total outstanding shares: 35,380,429 as of July 31, 2026

17-09-2026

Paslay Family, LLC, Michael R. Paslay, the Robert H. Paslay Family Trust, and Ottie K. Paslay filed a Schedule 13G with the SEC on September 17, 2026, disclosing their aggregate beneficial ownership of Marine Petroleum Trust (MARPS) units. The filing shows that the Paslay group collectively holds approximately 7.2% to 8.1% of the trust's 2,000,000 outstanding units, with Ottie K. Paslay being the largest individual holder at 8.1%. The filing is a routine beneficial ownership disclosure and does not indicate any change in control intent.

• · The filing is made under Rule 13d-1(c) of the Securities Exchange Act of 1934.
• · All reporting persons disclaim beneficial ownership of securities they do not directly own.
• · The principal business address for all reporting persons is 9201 Heritage Dr, Brentwood, TN 37027.
• · Paslay Family, LLC is organized under Tennessee law; Michael R. Paslay and Ottie K. Paslay are U.S. citizens.
• · The Robert H. Paslay Family Trust is a Tennessee trust.

17-09-2026

The Jeremy L. Smollar Irrevocable Trust and its sole trustee, Jeremy L. Smollar, filed a Schedule 13G disclosing beneficial ownership of 1,113,140 shares of QHSLab, Inc. common stock, representing approximately 7.4% of the 15,032,788 shares outstanding as of August 12, 2026. The shares were acquired on August 26, 2026 via a distribution from the Marvin Smollar Family Trust with no consideration paid. The filing was submitted late, and the reporting persons certify the shares were not acquired to influence control of the issuer.

• · The Schedule 13G was filed late, acknowledging it was not filed within the period specified by Rule 13d-1(c).
• · The Trust acquired the shares on August 26, 2026 via distribution from the Marvin Smollar Family Trust with no consideration paid.
• · Jeremy L. Smollar exercises sole voting and sole dispositive power over the shares as sole trustee.
• · The filing is a joint filing by the Trust and Jeremy L. Smollar, with a Joint Filing Agreement attached as Exhibit 99.1.

17-09-2026

Bank of America Corporation and its affiliate Banc of America Preferred Funding Corp filed an amended Schedule 13D with the SEC on September 17, 2026, reporting a change in their beneficial ownership of Remarketable Variable Rate Munifund Term Preferred Shares (RVMTP Shares) of PIMCO California Municipal Income Fund (PCQ). The amendment was triggered solely by a decrease in the total outstanding shares of the preferred class to 2,419 shares as reported by the issuer on September 10, 2026, which increased the Reporting Persons' percentage ownership to 79.4% from a prior level, though their absolute holding of 1,920 shares remained unchanged.

• · This is Amendment No. 4 to the original Schedule 13D filed on April 17, 2024.
• · The increase in percentage ownership from 79.4% is due to a reduction in total outstanding shares, not additional purchases.
• · The filing updates Schedules I and II and replaces exhibits 99.1 and 99.2.

17-09-2026

Baselake Partners, LP, along with its investment manager Baselake Management, LLC and managing member David Paolella, filed a Schedule 13G disclosing beneficial ownership of 257,500 shares of Kiora Pharmaceuticals, Inc. common stock, representing a 5.8% stake as of September 10, 2026. The filing is a passive investment disclosure under Rule 13d-1(c), indicating the shares were not acquired to influence control of the issuer. The percentage is based on 4,424,387 shares outstanding per the issuer's August 5, 2026 10-Q.

• · The filing is made pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934, indicating a passive investment.
• · Each reporting person disclaims beneficial ownership except to the extent of their pecuniary interest.
• · The filing includes a joint filing statement under Rule 13d-1(k)(1).