US Activist Hedge Fund Institutional SEC 13D 13G — October 01, 2026

01-10-2026

Karpus Management, Inc. filed Amendment No. 7 to its Schedule 13D, disclosing beneficial ownership of 8,894,690.39 common shares of Western Asset Inflation-Linked Income Fund, representing approximately 38.14% of the 23,322,256 shares outstanding. The aggregate purchase price was approximately $83.37 million. During the 60-day period ending September 29, 2026, Karpus engaged in frequent open-market purchases and a few sales, with most activity in August and September 2026 at prices ranging from $7.60 to $8.00 per share.

• · Amendment No. 7 amends the Schedule 13D originally filed December 13, 2023, with prior amendments filed May 20, 2024, September 18, 2024, April 9, 2025, January 7, 2026, April 30, 2026, and June 11, 2026.
• · Karpus holds shares through accounts under limited powers of attorney.
• · Transactions during the 60-day period included purchases and sales of common stock, with the largest purchase of 32,898 shares on 9/15/2026 at $7.84 and a sale of 2,375 shares on 8/7/2026 at $7.98.
• · The most recent transaction listed was a purchase of 30,486 shares on 9/28/2026 at $7.60 per share.
• · Karpus's address is 183 Sully's Trail, Pittsford, New York 14534.

01-10-2026

Kangping Chen and his wholly-owned vehicle Zhuoling International filed an amended Schedule 13D with the SEC, disclosing that Zhuoling International sold 2,020,000 ADSs (representing Ordinary Shares) in the open market between September 22 and September 29, 2026. Following the sale, Zhuoling International holds 10,780,000 Ordinary Shares (5.1% of the company), while Kangping Chen's total beneficial ownership is 27,796,100 Ordinary Shares (13.1%). The filing reflects a reduction in the insider's stake, which may signal reduced confidence, though the overall ownership remains significant.

• · Zhuoling International purchased 12,800,000 Ordinary Shares in ADS form between December 13-20, 2022.
• · The disposal of 2,020,000 shares represents a 15.8% reduction in Zhuoling International's stake.
• · Kangping Chen's ownership includes 17,016,100 Ordinary Shares held through Yale Pride Limited, which is wholly owned by Charming Grade Limited.
• · The ownership percentages are based on 212,396,617 Ordinary Shares outstanding as of June 30, 2026.
• · The filing is an amendment to the original Schedule 13D filed on December 23, 2022.

01-10-2026

Milton C. Ault III and his company Ault & Company, Inc. filed an amended Schedule 13D disclosing a combined beneficial ownership of 364,083,258 Class A shares (64.1% of outstanding Class A shares) in Hyperscale Data, Inc. as of September 30, 2026. The filing details a significant stock purchase by Ault & Company from SJC Lending, LLC on September 30, 2026, acquiring 10,389,404 Class A shares for $5,194,702 via a promissory note. However, the filing also reveals that the conversion price for the preferred stock holdings is based on a price of $0.165 per share, and the total voting power controlled by Ault & Company and Mr. Ault is 36.75% and 37.02%, respectively, which is substantially lower than the 63.9%-64.1% ownership on a fully-converted basis due to the super-voting rights of Class B shares.

• · The conversion price for Series C, G, and H Convertible Preferred Stock is the greater of $0.10 per share and 105% of the VWAP over the prior 10 trading days; for this filing, a conversion price of $0.165 was used.
• · Class B shares carry 10 votes per share, compared to 1 vote per Class A share, significantly reducing the voting power of the preferred stock holdings.
• · Stock options for officers (400,000 for Ault, 400,000 for Horne, 300,000 for Nisser, 200,000 for Cragun) have a strike price of $3.60 per share and expire on July 30, 2035; 50% vested on May 6, 2026, with the remainder vesting monthly over 24 months.
• · Ault & Company issued a promissory note to SJC Lending, LLC for the $5,194,702 purchase of shares on September 30, 2026.

01-10-2026

Allen Kronstadt filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 213,750 shares of Brightline Interactive, Inc. (formerly Glimpse Group, Inc.) common stock, representing a 7.9% stake. The filing indicates sole voting and dispositive power over all shares, with no shared or derivative holdings.

• · Filer is Allen Kronstadt, with address at 5515 Security Lane, #1115, Rockville, MD 20852.
• · Issuer address: 21745 Red Run Drive, Ashburn, VA 20147.
• · Filing is made under Rule 13d-1(d) (passive investor exemption).
• · No derivative securities or shared voting power reported.
• · Former company name: Glimpse Group, Inc. (name change effective March 31, 2021).

01-10-2026

Wolf Hill Capital Management, LP disclosed beneficial ownership of 4,859,400 shares of Camping World Holdings, Inc. Class A Common Stock, representing a 7.7% stake as of June 30, 2026. The filing, made under Rule 13d-1(b), indicates the shares were acquired and are held in the ordinary course of business without intent to change or influence control of the company. Gary Lehrman is also listed as a beneficial owner of the same 4,859,400 shares (7.7%), while Wolf Hill General Partner, LLC holds 4,391,600 shares (6.9%) as a controlling entity.

• · The filing is a Schedule 13G, indicating a passive investment intent (no control intent).
• · Wolf Hill Capital Management, LP is the Investment Manager; Wolf Hill Partners, LP is the Fund.
• · The filing date is October 1, 2026, with an 'as of' date of June 30, 2026.
• · Camping World Holdings, Inc. was formerly known as CWGS, Inc. (name change effective March 17, 2016).
• · The company's SIC code is 5500 (Retail-Auto Dealers & Gasoline Stations).

01-10-2026

JPMorgan Chase & Co. and DNT Asset Trust filed Amendment No. 3 to their Schedule 13D for BlackRock MuniHoldings Fund, Inc., disclosing that on June 2, 2026, JPMC deposited 7,178 Variable Rate Muni Term Preferred Shares (CUSIP 09253N609) into a tender option bond trust (JPM PD Series 5114 Trust). JPMC retains indirect beneficial ownership and voting rights over the shares, which remain subject to a Voting Trust. The amendment also updates Schedules A and B and attaches amendments to the Purchase and Exchange Agreement and Registration Rights Agreement, both dated September 28, 2026.

• · Amendment No. 3 to Schedule 13D filed on October 1, 2026.
• · Original Schedule 13D dated December 20, 2023; Amendment No. 1 dated February 9, 2026; Amendment No. 2 dated June 2, 2026.
• · Amendments to the Amended and Restated Variable Rate Muni Term Preferred Shares Purchase and Exchange Agreement and Registration Rights Agreement both dated September 28, 2026.
• · JPMC retains indirect beneficial ownership and voting rights over the 7,178 Preferred Shares deposited into the TOB Trust.

01-10-2026

Sit Investment Associates Inc and its subsidiary Sit Fixed Income Advisors II LLC filed a Schedule 13G/A with the SEC on October 1, 2026, disclosing beneficial ownership of 8,935,779 shares (7.7%) of Eaton Vance Ltd Duration Income Fund (EVV) common stock as of September 29, 2026. The filing represents a transition back from a Schedule 13D to a Schedule 13G, indicating the reporting persons no longer hold the securities with a purpose of changing or influencing control of the issuer. The ownership percentage is based on 116,206,460 shares outstanding as of March 31, 2026.

• · The reporting persons initially filed a Schedule 13G on July 7, 2025, then filed a Schedule 13D on October 20, 2025 after a change in investment intent, and are now transitioning back to Schedule 13G as of September 29, 2026.
• · Sit Investment Associates Inc and Sit Fixed Income Advisors II LLC disclaim beneficial ownership of the securities pursuant to Rule 13d-4.
• · The shares are held in client accounts managed by the investment advisers, and not more than 5% of the class is owned by any single account.

01-10-2026

Sit Investment Associates Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed an amended Schedule 13G on October 1, 2026, reporting a 5.8% beneficial ownership stake in Eaton Vance Short Duration Diversified Income Fund (EVG) as of September 29, 2026. The filing represents a transition back from a Schedule 13D (filed October 2025) to a Schedule 13G, indicating the reporting persons no longer hold the securities with the purpose of changing or influencing control of the issuer. The stake of 784,238 shares is unchanged from the prior 13D filing, and the filing is purely a reclassification of investment intent.

• · The reporting persons initially filed a Schedule 13G on February 12, 2015, and subsequently filed a Schedule 13D on October 20, 2025, before transitioning back to a Schedule 13G.
• · The filing is Amendment No. 16 and serves as the exit Schedule 13D.
• · The ownership percentage is based on 13,456,906 shares outstanding as of April 30, 2026, as reported in the issuer's Form N-CSRS.
• · Sit Fixed Income Advisors II, LLC is a subsidiary of Sit Investment Associates Inc.

01-10-2026

SIT Investment Associates Inc. and its subsidiary Sit Fixed Income Advisors II LLC filed Amendment No. 12 to Schedule 13G, reporting a 48.2% beneficial ownership stake in Franklin Master Intermediate Income Trust (formerly Putnam Master Intermediate Income Trust) as of September 29, 2026. The filing marks a transition back from Schedule 13D to Schedule 13G, indicating the filers no longer hold the securities with the purpose of changing or influencing control of the issuer. The reported ownership is based on 48,184,341 shares outstanding as of March 31, 2026.

• · The reporting persons initially filed Schedule 13G on January 27, 2014, and subsequently filed Schedule 13D on October 2, 2023, due to a change in investment intent.
• · This Amendment No. 12 serves as the exit Schedule 13D, transitioning back to Schedule 13G under Rule 13d-1(c) and Rule 13d-1(h).
• · The filing is made pursuant to Rule 13d-1(b) (passive investor status).
• · SIT Investment Associates Inc. is a Minnesota-based investment adviser; Sit Fixed Income Advisors II LLC is a Delaware-based subsidiary.
• · The reporting persons disclaim beneficial ownership under Rule 13d-4.

01-10-2026

SIT Investment Associates Inc. and its subsidiary SIT Fixed Income Advisors II LLC filed a Schedule 13G/A on October 1, 2026, reporting a 31.1% beneficial ownership stake in Aberdeen Intermediate Income Fund (formerly MFS Intermediate Income Trust). The filing indicates the reporting persons have transitioned back from a Schedule 13D (filed February 24, 2026) to a Schedule 13G, certifying that the securities are held in the ordinary course of business without the purpose of changing or influencing control of the issuer.

• · The filing is Amendment No. 12 and serves as the exit Schedule 13D for the reporting persons.
• · The reporting persons initially filed a Schedule 13G on February 10, 2016, and later filed a Schedule 13D on February 24, 2026, due to a change in investment intent.
• · As of September 29, 2026, the reporting persons no longer hold securities with the purpose or effect of changing or influencing control.
• · SIT Fixed Income Advisors II LLC is a subsidiary of SIT Investment Associates Inc.
• · The ownership percentage is based on 113,798,238 shares outstanding as of April 30, 2026, per the issuer's Form N-CSRS.

01-10-2026

SIT Investment Associates Inc. and its subsidiary SIT Fixed Income Advisors II LLC filed an amended Schedule 13G for DWS Municipal Income Trust (KTF), reporting beneficial ownership of 8,984,416 shares of common stock, representing 22.9% of the 39,183,709 shares outstanding as of May 31, 2026. The filing reflects a transition back from a Schedule 13D (previously filed on October 6, 2023) to a Schedule 13G, as the reporting persons state they no longer hold the securities with a purpose or effect of changing or influencing control of the issuer.

• · The reporting persons initially filed a Schedule 13G on February 10, 2022, then filed a Schedule 13D on October 6, 2023, and are now transitioning back to Schedule 13G under Rule 13d-1(c).
• · The filing serves as the exit Schedule 13D for the reporting persons.
• · SIT Fixed Income Advisors II LLC is a subsidiary of SIT Investment Associates Inc.
• · Both entities disclaim beneficial ownership of the securities under Rule 13d-4.

01-10-2026

SIT Investment Associates Inc. and its subsidiary SIT Fixed Income Advisors II LLC filed an amended Schedule 13G on October 1, 2026, disclosing they beneficially own 12,145,653 shares (37.3%) of the Aberdeen Government Markets Income Fund (formerly MFS Government Markets Income Trust). The filing indicates the reporting persons are transitioning back from a Schedule 13D (control intent) to a Schedule 13G (passive investment) as of September 29, 2026, certifying the securities are now held in the ordinary course of business without control intent. The ownership percentage is based on 32,590,193 common shares outstanding as of May 31, 2026.

• · The reporting persons initially filed Schedule 13G on 2/1/2018, then switched to Schedule 13D on 2/24/2026 due to changed investment intent, and are now reverting to 13G status as of 9/29/2026.
• · The filing serves as the exit Schedule 13D (Amendment No. 10).
• · SIT Investment Associates Inc. is a Minnesota corporation; SIT Fixed Income Advisors II LLC is a Delaware LLC and a subsidiary of SIA.
• · Both entities are registered investment advisers under section 203 of the Investment Advisers Act of 1940.
• · All reported securities are owned by client accounts, and the advisers disclaim beneficial ownership under Rule 13d-4.
• · No single account subject to their advice owns more than 5% of the class of securities.

01-10-2026

SIT Investment Associates Inc. and its subsidiary SIT Fixed Income Advisors II LLC filed an amended Schedule 13G on October 1, 2026, reporting a 55.1% beneficial ownership stake in First Trust Mortgage Income Fund (FMY) as of September 29, 2026. The filing transitions the reporting persons back from a Schedule 13D to a Schedule 13G, indicating they no longer hold the securities with the purpose of changing or influencing control of the issuer. The ownership percentage is based on 4,221,3115 shares of common stock outstanding as of October 31, 2025.

• · The filing is Amendment No. 15 and serves as the exit Schedule 13D for the reporting persons.
• · The reporting persons initially filed a Schedule 13G on January 25, 2007, and later filed a Schedule 13D on March 18, 2015.
• · The transition back to Schedule 13G is made pursuant to Rule 13d-1(c) and Rule 13d-1(h) of the Securities Exchange Act of 1934.
• · SIT Fixed Income Advisors II LLC is a subsidiary of SIT Investment Associates Inc.
• · The reporting persons disclaim beneficial ownership of the securities pursuant to Rule 13d-4.

01-10-2026

Larry M. Walther filed a Schedule 13G/A with the SEC on October 1, 2026, disclosing beneficial ownership of 512,000 shares of Arts Way Manufacturing Co Inc (ARTW) common stock, representing 9.83% of the outstanding shares. The filing indicates the shares were acquired in the ordinary course of business and not with the intent to change or influence control of the company.

• · The filing is an amendment (SCHEDULE 13G/A) to a previous Schedule 13G.
• · The shares are held directly by Larry M. Walther.
• · The filing was made pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934.
• · The filer certifies the securities were not acquired or held for the purpose of changing or influencing control of the issuer.

01-10-2026

Charles Thomas Whitman and Katherine Handwerker Whitman collectively own 1,073,502 shares (36.6%) of the HCM Large-Cap Growth ETF, a class of beneficial interest in ETF Opportunities Trust, as of June 30, 2026. Charles owns 683,281 shares (23.3%) with sole voting and dispositive power, while Katherine owns 390,221 shares (13.3%) with sole power. The filing is a routine Schedule 13G disclosure of beneficial ownership and does not indicate any transaction or change in control.

• · Filing is a Schedule 13G (beneficial ownership report) filed under Rule 13d-1(d) of the Securities Exchange Act of 1934.
• · The filing was submitted by Christopher T Whitman, the elder son and Power of Attorney for both Charles and Katherine Whitman.
• · Katherine Handwerker Whitman's EDGAR Filer application was still in process as of the filing date.
• · The filing date is October 1, 2026, with the ownership data as of June 30, 2026.
• · No changes in ownership (0.00 shares sold or acquired) are reported for either individual since the last filing.

01-10-2026

Iridian Asset Management LLC filed a Schedule 13G/A with the SEC on October 1, 2026, disclosing beneficial ownership of 919,498 shares (1.08%) of Katapult Holdings, Inc. The filing is an amendment to a previous 13G and confirms the shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of the issuer.

• · The filing is an amendment (SC 13G/A) to a prior Schedule 13G.
• · Iridian Asset Management LLC is based in Darien, CT, with a mailing address in Westport, CT.
• · The filing certifies that the securities were not acquired to influence or change control of Katapult Holdings.
• · Katapult Holdings was formerly known as FinServ Acquisition Corp. (name change date: August 14, 2019).

01-10-2026

AMG New York Holdings Corp. filed Amendment No. 3 to its Schedule 13D, disclosing that on September 29, 2026, it purchased 280,701.754 Class S Units of AMG BBH Asset-Backed Credit Fund, LLC for $3,200,000 ($11.40 per unit). Following this transaction, AMG New York Holdings Corp. owns 10,000 Class I Units (100%), 10,000 Class M Units (100%), and 1,822,463.816 Class S Units (35.25% of Class S Units outstanding). No other transactions in the Units were effected since the prior amendment on July 31, 2026.

• · The Issuer was formerly named AMG BBH Asset-Backed Fund, LLC and changed its name on November 19, 2025.
• · The filing is an amendment to the initial Schedule 13D filed July 14, 2026, with prior amendments on July 24 and July 31, 2026.
• · The purchase was funded using working capital of the Reporting Person (AMG New York Holdings Corp.).
• · No transactions in Class I, M, or S Units were effected since Amendment No. 2 on July 31, 2026, other than the disclosed purchase.

01-10-2026

SIT Investment Associates, Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed Amendment No. 4 to Schedule 13G, disclosing a 30.9% beneficial ownership stake in Franklin Premier Income Trust (formerly Putnam Premier Income Trust) as of September 29, 2026. The filing marks a transition back from Schedule 13D to Schedule 13G, indicating the reporting persons no longer hold the shares with the purpose of changing or influencing control of the issuer. The ownership percentage is based on 95,567,537 shares outstanding as of July 31, 2026.

• · The reporting persons initially filed Schedule 13G on 11/9/2020, then filed Schedule 13D on 10/2/2023, and are now transitioning back to Schedule 13G under Rule 13d-1(c).
• · The filing serves as the exit Schedule 13D, indicating a change in investment intent.
• · The reporting persons disclaim beneficial ownership under Rule 13d-4.
• · No single account subject to SIA or SFI advice owns more than 5% of the class, except for joint filings with registered investment companies.

01-10-2026

Mei Kanayama, Representative Director of Tokyo Lifestyle Co., Ltd. (TKLF), filed a Schedule 13D/A disclosing that his beneficial ownership increased to 38,687,808 ordinary shares, representing 69.3% of the company's issued shares as of September 29, 2026. The increase was driven by a personal cash subscription of ¥58,838,000 for 1,396,755 shares and a debt-to-equity swap by his entity Tokushin G.K., which converted a ¥510,000,000 loan principal into 12,106,893 shares. While the transactions strengthened TKLF's capital structure by eliminating a related-party loan and adding cash, they also concentrated voting control further under Kanayama, who now holds or controls over two-thirds of the company.

• · Kanayama's personal holdings include 8,613,191 ordinary shares and 1,720,160 ordinary shares in ADS form.
• · Tokushin G.K., owned by Kanayama and his family, holds 25,681,997 shares with shared voting/dispositive control.
• · Grand Elec-Tech Limited holds 2,672,460 ADSs; Kanayama has shared voting power but no dispositive power over these shares.
• · Kanayama and Grand Elec-Tech Limited may be deemed a 'group' under Section 13(d)(3) of the Securities Exchange Act of 1934.
• · The debt-to-equity swap extinguished the ¥510,000,000 loan principal receivable in full; no cash was paid for Tokushin's shares.
• · The subordinated loan was originally ¥300,000,000 (dated Nov 27, 2025) and was amended on Sep 10, 2026 to increase principal and change repayment terms.
• · Kanayama has not been convicted of any criminal proceeding or been party to securities-related civil proceedings in the last five years.

01-10-2026

ForGrowth III PA B.V. and related Forbion entities filed a Schedule 13G disclosing beneficial ownership of 5,248,841 shares of Aura Biosciences, Inc. common stock, representing approximately 5.1% of shares outstanding as of September 25, 2026. The filing is a routine passive-investment disclosure and does not indicate any change in control or intent to influence management.

• · The filing is a joint filing by ForGrowth III PA B.V., Forbion Growth Opportunities Fund III Cooperatief U.A., and Forbion Growth III Management B.V.
• · The Reporting Persons disclaim membership in a group under Section 13(d)(3) of the Exchange Act.
• · The shares were acquired and are held for investment purposes, not with the intent to change or influence control of the issuer.

01-10-2026

Paradigm BioCapital Advisors LP and related entities filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 4,457,450 shares of Spyre Therapeutics, Inc. common stock, representing a 5.1% stake as of September 24, 2026. The filing indicates passive investment intent, with the group disclaiming any purpose of changing or influencing control of the issuer.

• · The filing is made under Rule 13d-1(c), indicating passive investment status.
• · Paradigm BioCapital International Fund Ltd. directly owns 3,928,646 shares (4.5%), while the Adviser manages additional shares through separately managed accounts.
• · The reporting persons disclaim beneficial ownership of shares beyond those directly owned.
• · The issuer's total outstanding shares are 88,173,762 as of July 28, 2026.

01-10-2026

Gate City Capital Management, LLC and its managing member Michael Melby disclosed a 9.35% beneficial ownership stake in Canterbury Park Holding Corp (CPHC) via a Schedule 13D filing on October 1, 2026. The group acquired 484,749 common shares for approximately $8.6 million, citing a belief that the stock was undervalued. The filing indicates the group may engage in further purchases, sales, or hedging, and may communicate with management or the board about potential changes, but currently has no specific plans for major corporate actions.

• · The filing includes a detailed schedule of open-market purchases made between August 7 and September 29, 2026, with prices ranging from $15.30 to $15.60 per share.
• · The Reporting Persons have sole voting and dispositive power over all 484,749 shares, with no shared power.
• · The group may engage in short selling, hedging, or similar transactions in the future.
• · No contracts, arrangements, or understandings with other persons regarding the issuer's securities were disclosed.

01-10-2026

Pale Fire Capital SE and affiliated entities (Pale Fire Capital SICAV a.s., Pale Fire Capital investicni spolecnost a.s., Dusan Senkypl, and Jan Barta) filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 6,654,851 subordinate voting shares of Lightspeed Commerce Inc., representing approximately 5.1% of the 129,299,592 shares outstanding as of July 28, 2026. The filing is a passive investment disclosure under Rule 13d-1(c), with the group explicitly stating the shares were not acquired to change or influence control of the issuer.

• · The filing is made under Rule 13d-1(c), indicating a passive investment intent.
• · The group explicitly disclaims beneficial ownership of shares not directly owned by each reporting person.
• · The filing includes a Joint Filing Agreement dated October 1, 2026, among all reporting persons.

01-10-2026

BCLS Fund III Investments, LP filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 6,728,970 shares of ADARx Pharmaceuticals, Inc. common stock, representing approximately 6.3% of the 106,801,325 outstanding shares. The filing is a passive investment disclosure under Rule 13d-1(c), with Bain Capital Life Sciences Investors, LLC deemed to share voting and dispositive power over the shares.

• · The filing is made under Rule 13d-1(c), indicating the shares were not acquired with the purpose of changing or influencing control of ADARx.
• · Bain Capital Life Sciences Investors, LLC is the manager of the general partner chain and may be deemed to share voting and dispositive power over the 6,728,970 shares.
• · The total outstanding shares figure of 106,801,325 is based on ADARx's prospectus filed with the SEC on September 28, 2026.

01-10-2026

Nokia Corporation, through its subsidiary Nokia Solutions & Networks Oy, acquired a 14.2% beneficial ownership stake in Inseego Corp. on October 1, 2026. The stake was acquired via an asset purchase agreement for Inseego's fixed wireless access business (1,163,693 shares + 521,139 warrants) and a $10M cash investment (775,795 shares + 260,569 warrants). The shares are subject to a staggered lock-up (50% for 1 year, 50% for 2 years), and Nokia has no current plans to change Inseego's board or operations.

• · The Asset Purchase Agreement and Subscription Agreement were both entered into on April 30, 2026, with the closing occurring on October 1, 2026.
• · PA Warrants are exercisable for cash only; SA Warrants are exercisable for cash or on a cashless basis.
• · Both warrant types have a 19.9% beneficial ownership cap on exercise, which the holder can increase or decrease with 61 days' notice.
• · PA Warrants are exercisable for 4 years from October 1, 2026.
• · Nokia entered into a Lock-Up Agreement and a Registration Rights Agreement on October 1, 2026.
• · The Registration Rights Agreement requires Inseego to file a resale registration statement within one year of closing.
• · Nokia has no current plans to change Inseego's board or operations but reserves the right to evaluate strategic alternatives.

01-10-2026

L1 Capital Global Opportunities Master Fund, Ltd. filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 3,551,868 ordinary shares of Baird Medical Investment Holdings Ltd (BDMDW), representing 9.99% of the outstanding shares. This stake includes 110,070 ordinary shares and 3,441,798 shares issuable upon conversion of a Senior 8% Original Issue Discount Convertible Promissory Note, subject to a 9.99% beneficial ownership limitation. An additional 2,475,826 shares are issuable upon conversion of the same note but are not included due to the ownership limitation.

• · The filing is made under Rule 13d-1(c), indicating the securities were not acquired to change or influence control of the issuer.
• · The beneficial ownership is subject to a 9.99% limitation, preventing conversion of additional shares beyond that threshold.
• · The filing date is October 1, 2026, with the date of change being September 24, 2026.

01-10-2026

Frasers Group plc, controlled by Michael Ashley, disclosed a 8.8% beneficial ownership stake in Under Armour, Inc. Class A Common Stock as of September 24, 2026. The filing is a Schedule 13G, indicating passive investment intent, and the stake is held directly by Frasers Group plc with indirect ownership through a chain of entities including MASH Beta Limited, MASH Holdings Limited, MASH Holdings Topco Limited, and Michael Ashley. The filing does not indicate any change in ownership from a prior period, so no period-over-period comparison is available.

• · Frasers Group plc directly holds 16,576,500 shares of Class A Common Stock.
• · MASH Beta Limited is deemed to beneficially own the shares due to its 68.20% controlling interest in Frasers Group plc.
• · MASH Holdings Limited controls 100% of MASH Beta Limited (74% directly, 26% indirectly through MASH Alpha Limited).
• · MASH Holdings Topco Limited owns 100% of MASH Holdings Limited.
• · Michael Ashley owns 100% of MASH Holdings Topco Limited.
• · The filing is made under Rule 13d-1(c), indicating passive investment intent.
• · The filing date is October 1, 2026, with the event date of September 24, 2026.

01-10-2026

Perceptive Advisors LLC and related entities filed an amended Schedule 13D with the SEC on October 1, 2026, disclosing an aggregate beneficial ownership of 8,254,144 shares (8.8%) of Kardigan, Inc. common stock. The filing notes that Douglas Giordano, a Managing Director at Perceptive Advisors, resigned from Kardigan's board on September 29, 2026. The reporting persons state they may acquire additional shares, hedge their exposure, or dispose of shares depending on market conditions, indicating potential future changes in their stake.

• · Douglas Giordano resigned from Kardigan's board on September 29, 2026.
• · The reporting persons may acquire additional shares, hedge their exposure, or dispose of shares depending on market conditions.
• · No transactions in the common stock were effected by the reporting persons during the past 60 days.
• · The filing is an amendment to Schedule 13D, indicating ongoing monitoring of the investment.

01-10-2026

Ching-Dong Wang, CEO and Chairman of SL Science Holding Ltd (SLBT), filed an amended Schedule 13D disclosing beneficial ownership of 333,832,129 ordinary shares, representing approximately 59.53% of the outstanding shares. The filing details a share transfer on September 29, 2026, where SL Link Co., Ltd. sold 4,545,306 ordinary shares to Wang for $2,272,653, with no change in his aggregate beneficial ownership. The filing also notes the completion of a business combination between SL Bio and Horizon Space Acquisition II Corp. on June 12, 2026, which resulted in the current share structure.

• · The business combination between SL Bio and Horizon Space Acquisition II Corp. closed on June 12, 2026.
• · 260,000 ordinary shares are convertible from 780,000 preferred shares on December 12, 2026.
• · Ching-Dong Wang's equity interest in SL Link Co., Ltd. increased from 50.63% to 50.73% after the business combination.
• · No transactions in ordinary shares were effected by the Reporting Persons during the past 60 days other than the disclosed share transfer.
• · The Reporting Persons have no current plans for extraordinary corporate transactions, changes in board or management, or delisting.

01-10-2026

Timothy Warbington, CEO of Creative Medical Technology Holdings, Inc. (CELZ), filed a Schedule 13D disclosing beneficial ownership of 1,040,762 shares (13.7% of outstanding common stock) as of September 24, 2026. The filing also reveals that the company issued 1,000,000 restricted shares to Creative Acquisition Corp. (CAC) as part of a stock purchase agreement for BioDefense, Inc. shares, giving CAC a 13.2% stake. The reporting persons state they acquired the securities for investment purposes and may consider various actions to maximize value, but have no present plans for major corporate changes.

• · Warbington's direct holdings: 12,209 shares directly, 22,696 via CMH, 5,858 via vested options at $16.90/share.
• · The 1,000,000 shares issued to CAC are restricted under the Securities Act of 1933.
• · No other transactions by reporting persons in CELZ stock during the past 60 days.
• · Warbington has sole voting/disposition power over 18,067 shares (direct + options) and shared power over 1,022,696 shares (CAC + CMH).

01-10-2026

Commodore Capital LP and related entities disclosed beneficial ownership of 885,000 shares of Surrozen, Inc. common stock, representing 7.5% of shares outstanding as of September 24, 2026, in a Schedule 13G filing. The filing is a routine beneficial ownership disclosure and does not indicate any change in control or acquisition intent. No financial performance data is included in this filing.

• · Filing date: October 1, 2026; beneficial ownership determined as of September 24, 2026
• · Filers include Commodore Capital LP, Commodore Capital Master LP, Michael Kramarz, and Robert Egen Atkinson
• · Shares based on 11,753,558 shares outstanding as of August 4, 2026 per the issuer's Form 10-Q
• · Joint Filing Agreement executed among the filers

01-10-2026

Sculptor Capital LP and related entities disclosed a 5.43% beneficial ownership stake in Live Oak Acquisition Corp. VI, holding 1,250,000 Class A ordinary shares as of September 24, 2026. The filing is a routine Schedule 13G by an investment manager, indicating passive investment intent. No material change in business operations or control is implied.

• · The filing is made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · Sculptor Capital LP serves as principal investment manager to private funds and discretionary accounts that hold the shares.
• · The issuer is a blank check company (SPAC) incorporated in the Cayman Islands (E9).
• · The filing date is October 1, 2026, with ownership measured as of September 24, 2026.

01-10-2026

Liberty Mutual Holding Company Inc. and its subsidiaries filed a Schedule 13G/A disclosing beneficial ownership of 4,166,887 shares of Willow Tree Capital Corp common stock, representing 15.1% of the 27,615,211 shares outstanding as of July 27, 2026. The shares are held indirectly through Willow Tree Capital Rated Notes Feeder LLC under a Note Purchase Agreement, with Liberty Mutual Insurance Company owning 1,666,618 shares (6.0%), Peerless Insurance Company owning 1,249,793 shares (4.5%), and Safeco Insurance Company of America and The Ohio Casualty Insurance Company each owning 625,238 shares (2.3%). The filing is an amendment to a prior Schedule 13G and reflects a passive investment intent, with no purpose of changing or influencing control.

• · The filing is an amendment (Schedule 13G/A) filed on October 1, 2026, with an event date of September 30, 2026.
• · The shares are held indirectly through Willow Tree Capital Rated Notes Feeder LLC under a Note Purchase Agreement dated April 11, 2024.
• · Liberty Mutual Holding Company Inc. disclaims beneficial ownership of the securities.
• · The filing is made under Rule 13d-1(b), indicating passive investment intent.
• · A Joint Filing Agreement dated November 15, 2024, is incorporated by reference.

01-10-2026

Liberty Mutual Holding Company Inc. and its subsidiaries filed a Schedule 13G/A disclosing aggregate beneficial ownership of 4,182,050 shares (23.8%) of 5C Lending Partners Corp. common stock as of September 30, 2026. The filing follows a capital call completed on September 17, 2026 that increased total outstanding shares to 17,559,679. Liberty Mutual disclaims beneficial ownership and states the shares were acquired in the ordinary course of business without intent to influence control.

• · The beneficial ownership is held indirectly through 5C Lending Partners Structured Feeder LP pursuant to a Limited Partnership Agreement and Note Purchase Agreement dated December 19, 2025.
• · Liberty Mutual Holding Company Inc. disclaims beneficial ownership of the securities held by its subsidiaries.
• · The filing is an amendment (Schedule 13G/A) to the original filing made November 25, 2024.
• · All reporting persons certify the shares were acquired and are held in the ordinary course of business without intent to change or influence control of the issuer.

01-10-2026

Warren B. Kanders filed Amendment No. 18 to his Schedule 13D, reporting beneficial ownership of 8,124,220 shares of Clarus Corp common stock, representing 20.2% of outstanding shares as of September 28, 2026. The filing also discloses that Kanders and his entity Kanders GMP Holdings, LLC entered into pledge amendments with Bank of America, N.A. on September 25, 2026, providing additional margin borrowing capacity against 1,679,147 pledged shares. No period-over-period comparison is available as this is a snapshot filing.

• · Kanders' beneficial ownership includes 100,444 shares held by his spouse, over which he shares voting and dispositive power.
• · Kanders disclaims beneficial ownership of the shares held by his spouse.
• · The filing is Amendment No. 18, with prior amendments dating back to April 12, 2002.
• · Pledge amendments dated September 25, 2026, provide Kanders with previously unavailable margin borrowing capacity on 1,679,147 pledged shares.

01-10-2026

Hyperscale Data, Inc. and related entities filed Amendment No. 20 to their Schedule 13D, disclosing aggregate beneficial ownership of 1,188,796 shares (39.3%) of Universal Safety Products, Inc. Milton C. Ault III individually beneficially owns 1,255,796 shares (approximately 40.8%), including options. Since the prior filing, Ault Lending and Mr. Ault have made additional open-market purchases totaling approximately 34,934 shares at prices between $4.86 and $5.65 per share, indicating continued accumulation.

• · Since Amendment No. 19, Ault Lending purchased 33,334 shares in four open-market transactions between September 8 and September 30, 2026, at prices ranging from $5.02 to $5.65 per share.
• · Milton C. Ault III purchased 1,700 shares in six open-market transactions between September 1 and September 23, 2026, at prices ranging from $4.86 to $5.49 per share.
• · No transactions were reported by any other reporting person since the prior filing.
• · The filing is an amendment to the original Schedule 13D filed on December 23, 2024.

01-10-2026

Mudrick Capital Management, L.P. and affiliated funds disclosed beneficial ownership of 3,982,846 shares of Vroom, Inc. common stock, representing 76.1% of the outstanding shares as of September 30, 2026. The filing also details the acquisition of the remaining approximately $6.5 million in Senior Secured Delayed Draw Convertible Notes from Vroom on August 13, 2026, and a voting agreement with SPE Holdings 2026-1 related to Vroom Automotive preferred units. This represents a highly concentrated ownership position, with Mudrick controlling over three-quarters of the company's equity.

• · The filing is Amendment No. 4 to the original Schedule 13D filed on January 22, 2025.
• · Mudrick entered into a letter agreement with Vroom, Vroom Automotive, and SPE Holdings 2026-1 on September 30, 2026, agreeing to vote its shares in favor of proposals related to the redemption of Vroom Automotive Preferred Units held by SPE Holdings.
• · The Senior Secured Delayed Draw Convertible Notes acquired on August 13, 2026 become convertible on April 1, 2032, and in connection with certain specified corporate events.
• · No transactions in Vroom common stock were effected by the Reporting Persons during the past 60 days (other than the note acquisition).
• · Individual fund ownership percentages range from 0.9% (Mudrick Distressed Opportunity Drawdown Fund III, L.P.) to 20.2% (Mudrick Distressed Opportunity Fund Global, L.P.).

01-10-2026

Chien-Fu Chen Chen filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 2,243,733 ordinary shares of Ticketplus Ltd., representing 17.6% of the company's outstanding shares. The filing indicates sole voting and dispositive power over all shares, with no dispositive or voting power held by others. This is a passive ownership disclosure under Rule 13d-1(d), with no change in control or acquisition activity.

• · Chien-Fu Chen Chen is a citizen of Chile and his principal business office is located at Alonso de Cordova 5320, Piso 16, Las Condes, Region Metropolitana, Santiago, Chile.
• · The filing is made under Rule 13d-1(d), indicating passive investment intent.
• · The Reporting Person has sole voting and dispositive power over all 2,243,733 shares, with no shared power.
• · The subject company, Ticketplus Ltd., is incorporated in an unspecified jurisdiction (E9) and is classified under SIC 7990 (Services-Miscellaneous Amusement & Recreation).

01-10-2026

Advent International, L.P. filed an amendment to its Schedule 13D disclosing that it entered into a confidentiality agreement with Definitive Healthcare Corp. on September 29, 2026. The NDA includes a 12-month standstill provision and a 12-month non-solicitation clause, while Advent intends to continue engaging with the Special Committee and third parties, including Jason Krantz, regarding a potential transaction. Advent beneficially owns 62,493,676 shares of Class A Common Stock, representing 58.54% of the 106,744,713 shares outstanding as of August 6, 2026, and has not effected any transactions in Common Stock since the original filing.

• · The NDA includes a 12-month standstill provision restricting Advent from acquiring additional securities, joining a group, or seeking board representation without the Issuer's consent.
• · Advent International GPE IX Limited Partnership holds 16,955,510 shares (15.88%) and Advent International GPE IX-H Limited Partnership holds 5,428,915 shares (5.09%).
• · The confidentiality agreement permits Advent to contact Jason Krantz regarding a potential rollover of his existing equity interests in connection with a transaction.
• · No transactions in Common Stock have been effected by the Reporting Persons since the original Schedule 13D filing on September 2, 2026.

01-10-2026

Russell Paul Newton disclosed beneficial ownership of 15,275,251 ordinary shares of CoinShares PLC (formerly Odysseus Holdings Ltd), representing an 11.59% stake as of March 31, 2026. The filing was made under Rule 13d-1(c) on Schedule 13G, indicating passive investment intent. Shares are held directly (494,223), via Vitruvius Holdings Limited (14,691,667), and via GABI Ventures Limited (89,361).

• · The filing is a Schedule 13G (passive investment), not a 13D (activist).
• · The issuer changed its name from Odysseus Holdings Ltd to CoinShares PLC on September 22, 2025.
• · The filing date is October 1, 2026, with the date of change as of October 1, 2026.
• · The reporting person certifies the securities were not acquired to change or influence control of the issuer.

01-10-2026

American Express Company filed Amendment No. 4 to its Schedule 13D, reporting that following the consummation of the Merger on September 29, 2026, it ceased to be the beneficial owner of more than five percent of Global Business Travel Group, Inc. (GBTG) common stock. At the effective time of the Merger, 157,786,199 shares held by Amex HoldCo. were cancelled and converted into the right to receive $9.50 per share in cash, and American Express no longer beneficially owns any shares. This is the final amendment and constitutes an 'exit filing' for the Reporting Person.

• · The Merger closed on September 29, 2026, and GBTG became a wholly owned subsidiary of Parent.
• · The Voting and Support Agreement terminated at the Effective Time, except for surviving provisions.
• · The Shareholders Agreement was terminated effective upon the Closing, except for surviving provisions.
• · The Reporting Person ceased to be beneficial owner of more than five percent of Common Stock as of September 29, 2026.
• · No transactions in Common Stock were effected by the Reporting Person during the past sixty days, except as described in Item 4.

01-10-2026

Mink Brook Asset Management LLC and related entities filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of 773,395 shares of Legacy Education Inc. (LGCY) common stock, representing 6.0% of the 12,813,238 shares outstanding as of September 24, 2026. The filing indicates that all securities are held for advisory clients and were not acquired with the purpose of changing or influencing control of the issuer.

• · The filing is made under Rule 13d-1(c), indicating the filer is a passive investor.
• · Mink Brook Asset Management LLC is an investment adviser (IA) and Mink Brook Partners LP is a private equity fund (PN).
• · William Mueller, as managing member of Mink Brook Capital GP LLC, is deemed to beneficially own the same 773,395 shares (6.0%) as the asset manager.
• · No securities are held with sole or shared voting power; all 773,395 shares represent sole dispositive power.
• · The filing certifies that the securities were not acquired to change or influence control of the issuer.

01-10-2026

Linden Capital L.P. and related entities filed a Schedule 13G with the SEC on October 1, 2026, disclosing beneficial ownership of Class A Ordinary Shares in Bluerock Acquisition Corp. II. As of September 29, 2026, Linden Advisors LP and Siu Min Wong each beneficially own 1,000,000 Shares (5.8% of outstanding), while Linden Capital L.P. and Linden GP LLC each beneficially own 964,549 Shares (5.6% of outstanding). The filing indicates passive investment intent under Rule 13d-1(c).

• · The filing is made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · Linden Capital L.P. is a Bermuda limited partnership; Linden GP LLC and Linden Advisors LP are Delaware entities; Mr. Wong is a citizen of China (Hong Kong) and the United States.
• · The Issuer (Bluerock Acquisition Corp. II) is a blank check company (SIC 6770) incorporated in E9 (likely Cayman Islands) with fiscal year end December 31.
• · The Issuer changed its name from 'Bluerock Crunch Investment Corp.' on November 28, 2025, and from 'Crunch AI Investment Corp.' on November 26, 2025.
• · Linden Capital's principal business address is in Hamilton, Bermuda; Linden Advisors, Linden GP, and Mr. Wong are based at 590 Madison Avenue, New York, NY.

01-10-2026

Manulife (International) Ltd filed a Schedule 13G with the SEC disclosing beneficial ownership of 1,421,743 Class I Common Shares (5%) in John Hancock Comvest Private Income Fund as of September 30, 2026. The filing certifies the shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of the issuer. The fund, formerly known as AMG Comvest Senior Lending Fund and Comvest Credit Partners BDC Fund, L.P., is a Delaware corporation with its principal place of business in West Palm Beach, Florida.

• · The fund changed its name from AMG Comvest Senior Lending Fund on October 24, 2023, and from Comvest Credit Partners BDC Fund, L.P. on July 25, 2023.
• · Manulife (International) Ltd is based in Kwun Tong, Kowloon, Hong Kong.
• · The filing certifies that the foreign regulatory scheme applicable to Manulife (International) Ltd is substantially comparable to the U.S. regulatory scheme for functionally equivalent institutions.
• · The filer certifies the securities were not acquired to influence control of the issuer.

01-10-2026

Alpine Fox Capital LLC and Alpine Fox, LP disclosed a 21.5% beneficial ownership stake in Sono Group N.V., acquired through open market purchases of 315,295 shares at a weighted average price of $1.1756 per share for a total of approximately $370,691. The filing states the investment is for passive purposes with no current plans to change or influence control of the company.

• · Shares were purchased between September 22, 2026 and September 30, 2026.
• · Weighted average purchase price per share was $1.1756.
• · Alpine Fox Capital LLC is the general partner of Alpine Fox, LP and shares voting and dispositive power over the shares.
• · No part of the purchase price was borrowed; funds came from working capital of Alpine Fox, LP.
• · The Reporting Persons have no present plans or proposals to change or influence control of the Issuer.