US Activist Hedge Fund Institutional SEC 13D 13G — October 02, 2026

02-10-2026

Sam Levinson and related entities filed a Schedule 13D/A disclosing aggregate beneficial ownership of approximately 46.6% of Clipper Realty Inc. common stock (on a fully diluted basis including convertible units). The filing details recent open-market purchases by Starburst 2016 II LLC totaling over 256,000 shares between August and September 2026 at prices ranging from $3.08 to $3.39 per share, reflecting continued accumulation by the Levinson group. No corresponding sales or dispositions by the group were reported, indicating a sustained bullish stance.

• · Sam Levinson's direct beneficial ownership includes 764,001 vested LTIP Units, 270,557 shares of Common Stock, and 57,099 shares through the Samuel D. Levinson Profit Sharing Plan.
• · Trapeze Inc. owns 1,253,016 shares of Common Stock and 4,464,692 Class B LLC Units.
• · Starburst 2016 II LLC purchased shares in 12 separate open-market transactions from August 18 to September 24, 2026, with the largest single purchase being 110,710 shares on September 9 at an average price of $3.3054.
• · The filing states that none of the Reporting Persons have been convicted in a criminal proceeding or been subject to securities-related judgments in the last five years.
• · The Reporting Persons disclaim forming a 'group' under Section 13(d)(3) and each disclaims beneficial ownership of shares held by others except Mr. Levinson.

02-10-2026

Realty Advisors, Inc. (RAI) filed an amended Schedule 13D disclosing its acquisition of 2,000,000 newly issued shares of New Concept Energy, Inc. (GBR) at $1.00 per share, for a total cash consideration of $2,000,000. The transaction closed on September 29, 2026, after stockholder and NYSE American approval. Following the issuance, RAI beneficially owns 2,400,000 shares, representing 33.65% of the outstanding common stock, up from its prior stake.

• · RAI used its own working capital to fund the acquisition.
• · The transaction was originally conditioned on approval by GBR's stockholders and the NYSE American Exchange; the last approval occurred on August 21, 2026.
• · RAI has sole voting and dispositive power over all 2,400,000 shares it owns.
• · RAI stated it has no present plans or proposals that would result in any of the actions listed in Items (b) through (j) of Schedule 13D, but is available to consider any proposal to dispose of shares at attractive prices.
• · May Realty Holdings, Inc. is the 100% owner of RAI, and is in turn owned by a trust for the children of Gene E. Phillips (the 'May Trust').

02-10-2026

Oregon Community Foundation (OCF) filed an amended Schedule 13D disclosing it entered into a Purchase and Sale Agreement with Kotarba Partners Fund I, LP to sell up to 738,534 shares (100% of its beneficial ownership) of Jewett Cameron Trading Co Ltd. The initial purchase of 176,006 shares at $1.85/share closed on September 30, 2026, and OCF retains 562,528 shares (16.0% of outstanding) pending the Purchaser's option to buy the remainder by March 31, 2028. The filing reflects a planned exit by a charitable foundation, with no other present plans or proposals for the company.

• · The Purchase and Sale Agreement was entered into on August 6, 2026.
• · The Purchaser has an option to purchase the remaining shares by no later than March 31, 2028.
• · For the remaining shares, 176,006 will have a purchase price of $1.85/share; the balance will be priced at 85% of the 30-day VWAP, subject to a floor of $1.85 and a cap of $4.00 per share.
• · OCF has no power to dispose of the remaining 562,528 shares other than pursuant to the Agreement.
• · OCF may receive additional shares as charitable gifts in the future and may sell shares from time to time for charitable purposes.
• · OCF has not effected any transactions in the issuer's common stock during the past 60 days except as described in Item 4.

02-10-2026

Howard S. Jonas, through Chartwell Holding LLC, acquired 2,218,430 shares of Zedge, Inc. Class B Common Stock and warrants for 1,996,587 additional shares for $6.5M in a private placement on September 25, 2026, increasing his beneficial ownership to 2,344,805 shares (15.6% of Class B Common Stock, 7.6% of combined voting power). The proceeds are intended to accelerate the DataSeeds.AI business, and Morris Berger was appointed CEO effective October 1, 2026. However, the warrants are not exercisable until at least March 25, 2027, and Chartwell agreed not to vote its shares on the stockholder approval proposal for the warrants.

• · Mr. Jonas disclaims beneficial ownership of 57,251 shares held by Howard S. and Deborah Jonas Foundation, Inc. and 53,333 shares held by 2012 Jonas Family, LLC.
• · The warrants expire on the fifth anniversary of the Initial Exercise Date (at least March 25, 2027).
• · Chartwell agreed not to vote its shares on the stockholder approval proposal for the warrants.
• · Mr. Jonas has shared voting and dispositive power over all 2,344,805 shares he beneficially owns; he has no sole voting or dispositive power.
• · The purchase price of $2.93 per share equaled the closing price on NYSE American on the trading day before the Purchase Agreement was signed.

02-10-2026

Private Capital Management, LLC disclosed a 5.59% beneficial ownership stake in Matthews International Corp (MATW) as of September 30, 2026, holding 1,743,494 shares of common stock. The filing was made under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not with the intent to change or influence control of the issuer.

• · Private Capital Management disclaims beneficial ownership of shares over which it has dispositive power and disclaims the existence of a group.
• · PCM exercises shared voting authority with respect to shares held by PCM clients that have delegated proxy voting authority, which may be granted or revoked at any time at the client's discretion.
• · The filing is a Schedule 13G (passive investment), not a 13D (activist filing).

02-10-2026

Private Capital Management, LLC filed an amended Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 1,068,018 shares of Barrett Business Services, Inc. (BBSI) common stock, representing 4.41% of the outstanding shares. The filing indicates a net decrease in reported holdings compared to the prior filing, as the firm now holds 340,388 shares with sole voting power and 727,630 shares with shared voting power. The filing is made pursuant to Rule 13d-1(b) and certifies that the securities were acquired in the ordinary course of business, not for changing or influencing control.

• · The filing is an amendment (Schedule 13G/A) filed on October 2, 2026, with an event date of September 30, 2026.
• · Private Capital Management, LLC is based in Naples, FL, and is an investment adviser (IA).
• · The firm disclaims beneficial ownership of shares over which it has dispositive power and disclaims the existence of a group.
• · The filing certifies that the securities were not acquired for the purpose of changing or influencing control of the issuer.

02-10-2026

Brave Warrior Advisors, LLC disclosed a 5.83% passive stake in AutoNation, Inc. as of September 30, 2026, holding 1,926,427 shares of Class A common stock. The filing indicates the shares were acquired in the ordinary course of business and not for the purpose of changing or influencing control.

• · The filing is a Schedule 13G (passive investment) under Rule 13d-1(b), indicating the holder does not intend to influence control.
• · Brave Warrior Advisors, LLC is based in New York, NY, and AutoNation, Inc. is headquartered in Fort Lauderdale, FL.
• · The filing date is October 2, 2026, with the ownership date as of September 30, 2026.

02-10-2026

Karpus Management, Inc. filed a Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 3,899,325 common shares of AllianceBernstein National Municipal Income Fund (AFB), representing 13.57% of the outstanding shares. The filing indicates Karpus holds the shares on behalf of managed accounts and disclaims any intent to change or influence control of the issuer.

• · Karpus Management is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940.
• · Karpus is controlled by City of London Investment Group plc, which is listed on the London Stock Exchange.
• · Informational barriers exist between Karpus and CLIG, so beneficial ownership is not attributed between them.
• · The shares are held directly by accounts managed by Karpus.
• · Karpus disclaims beneficial ownership of the shares except to the extent of its pecuniary interest.
• · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.

02-10-2026

Marco Nuzzo and other reporting persons filed Amendment No. 1 to Schedule 13D for Genenta Science S.p.A., reporting a decrease in their beneficial ownership percentage due to the Issuer's allotment of 24,625,838 Ordinary Shares on May 29, 2026, and changes in voting power from the special register. Fin Posillipo S.p.A. acquired 110,000 ADSs in open-market transactions between August 7 and August 19, 2026, for approximately US$143,000, increasing its holdings. The amendment also details ownership stakes for Luigi Naldini (2.9% of shares, 6.3% voting power), Bernhard Gentner (1.4% of shares, 3.2% voting power), and others, with a mix of increases and decreases in voting power.

• · The Court of Milan granted interim relief on June 12, 2026, suspending the resolution to amend the Issuer's corporate purpose, but revoked that relief on July 9, 2026.
• · Fin Posillipo S.p.A. acquired 110,000 ADSs between August 7 and August 19, 2026, for approximately US$143,000, using its working capital.
• · The purchases by Posillipo were not planned, directed, or coordinated by any other Reporting Person, and the other Reporting Persons were not aware until September 28, 2026.
• · The decrease in beneficial ownership percentage is due to the Issuer's allotment of 24,625,838 Ordinary Shares on May 29, 2026.
• · Voting power changes were driven by the special register as of June 23, 2026 (decrease) and September 29, 2026 (increase from additional year of ownership).

02-10-2026

Pacifica Capital Investments, LLC disclosed a 10.23% beneficial ownership stake in Build-A-Bear Workshop Inc. as of October 1, 2026, holding 1,261,481 shares. The filing is a routine Schedule 13G, indicating passive investment intent, and does not reflect any change in control or activist activity.

• · Pacifica Capital Investments holds 355,875 shares with sole voting power and 905,606 shares with shared voting power.
• · The filing is made under Rule 13d-1(b), confirming passive investment intent.
• · No prior period comparison is available as this is an initial filing.

02-10-2026

Dauntless Investment Group, LLC filed a Schedule 13G/A disclosing beneficial ownership of 842,340 American Depository Shares of Kazia Therapeutics Ltd, representing a 5.42% stake as of September 25, 2026. The filing indicates passive investment intent with no aim to change or influence control of the issuer.

• · Filing type is Schedule 13G/A (amendment) filed under Rule 13d-1(c) by a passive investor.
• · Dauntless Investment Group, LLC is a Delaware limited liability company classified as a Single Family Office/Passive Investor.
• · The filing date is October 2, 2026, with the ownership date as of September 25, 2026.
• · No shares are held with shared voting or dispositive power; all 842,340 shares are solely owned by the filer.

02-10-2026

This Schedule 13D/A filing for Enterprise Products Partners L.P. (EPD) discloses that Randa Duncan Williams and related entities (the Reporting Persons) beneficially own 702,584,914 common units, representing 32.6% of the outstanding units as of September 30, 2026. The filing details the complex ownership structure involving voting trusts, EPCO Holdings, and Enterprise Products Company, with EPCO Holdings directly owning 604,549,004 units (28.0%) and Enterprise Products Company owning 679,303,707 units (31.5%). The filing also updates the status of previously disclosed phantom unit awards granted to Ms. Williams, all of which have now vested and been settled.

• · The filing is Amendment No. 27 to the original Schedule 13D filed in 2003 and Amendment No. 16 to the Duncan Trustee Schedule 13D filed in 2010.
• · The Reporting Persons include Randa Duncan Williams, the voting trustees of the Dan Duncan LLC Voting Trust and the Enterprise Products Company Voting Trust, EPCO Holdings, Enterprise Products Company, and Dan Duncan LLC.
• · Ms. Williams is a voting trustee of both the DD LLC Voting Trust and the EPCO Voting Trust.
• · The DD LLC Trustees collectively hold record ownership of the sole membership interest in DD LLC, which owns 100% of the membership interests in EPD GP (the general partner).
• · The EPCO Trustees collectively hold record ownership of all outstanding shares of Class A Common Stock (the only voting class) in EPCO, on behalf of family trusts for descendants of Dan L Duncan.
• · EPCO Holdings is a wholly owned subsidiary of EPCO with no independent operations, acting as a financing subsidiary.
• · DD LLC has no independent operations, its principal function is to hold the membership interests in EPD GP.
• · All phantom unit awards to Ms. Williams from 2017 through 2021 have vested and been settled in common units, with shares surrendered for tax withholding.
• · The 2022 Phantom Unit Award of 482,000 units has not yet vested.

02-10-2026

Lin Yi-Chien filed a Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 145,393 shares of Beyond Air, Inc. common stock, representing a 14.8% stake. The filing indicates sole voting and dispositive power over all shares, and certifies the shares were not acquired to influence control.

• · Lin Yi-Chien has sole voting and dispositive power over all 145,393 shares.
• · The Schedule 13G/A was filed under Rule 13d-1(c) as a passive investment.
• · The filing was made on October 2, 2026, with a date of event of September 28, 2026.

02-10-2026

Blue Finn Group LLC filed a Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 622,485 shares of Dominari Holdings Inc. common stock, representing a 2.57% stake as of September 30, 2026. The filing indicates no change in the nature of the holding (passive investment under Rule 13d-1(c)), and the ownership percentage is based on 24,243,646 shares outstanding as of August 7, 2026.

• · The filing is an amendment (13G/A) to a previously filed Schedule 13G.
• · Blue Finn Group LLC is organized under the laws of Nevada.
• · The reporting person certifies the securities were not acquired to change or influence control of the issuer.

02-10-2026

Kopion Asset Management, LLC disclosed a 9.7% beneficial ownership stake in SoundThinking, Inc. (SSTI) as of September 30, 2026, holding 1,280,901 shares. Terry Ledbetter, Jr. separately reported a 6.0% stake (795,187 shares), and both filers certified passive investment intent under Rule 13d-1(c). The filing is an amendment (SC 13G/A) reflecting increased holdings from a prior filing.

• · Filing is an amendment to Schedule 13G (SC 13G/A), filed on October 2, 2026.
• · Kopion Asset Management is a Texas LLC; Terry Ledbetter, Jr. is a U.S. citizen.
• · Both filers certify passive investment intent under Rule 13d-1(c) and disclaim control intent.
• · No dividends or proceeds from the shares are directed to any person with a 5%+ interest other than Terry Ledbetter, Jr.

02-10-2026

Adam H. Stedham, President of Precision Logistics of OpenWorld, Inc. (formerly VerifyMe, Inc.), filed Amendment No. 2 to his Schedule 13D, which serves as an exit filing as he ceased to be a beneficial owner of more than 5% of the issuer's shares effective September 30, 2026, following the closing of the Merger on that date. Mr. Stedham now beneficially owns 83,361 shares (0.6% of the 13,407,360 shares outstanding), down from his prior stake, and the filing reflects the issuer's 1-for-10 reverse stock split and name change to OpenWorld, Inc. The decrease in ownership is primarily due to the Merger's dilutive effect and the vesting of 55,000 RSUs, of which 18,590 shares were withheld for tax obligations at $8.14 per share.

• · The Merger closed on September 30, 2026, and the issuer changed its name from VerifyMe, Inc. to OpenWorld, Inc. effective October 1, 2026.
• · The issuer effected a 1-for-10 reverse stock split on September 29, 2026.
• · Mr. Stedham's employment agreement was amended and restated on February 11, 2026, effective upon the Merger closing.
• · Mr. Stedham has sole voting and sole dispositive power over all 83,361 shares, with no shared power.
• · The exit filing was required because Mr. Stedham's ownership fell below the 5% threshold.

02-10-2026

Bank of America Corporation and its affiliate Banc of America Preferred Funding Corp filed Amendment No. 5 to their Schedule 13D, reporting beneficial ownership of 2,050 MuniFund Preferred Shares of Nuveen Municipal Credit Opportunities Fund, representing 50.7% of the class. The amendment reflects a covenant modification to the MFP Purchase Agreement effective September 30, 2026. No change in ownership percentage was reported.

• · Amendment No. 5 to Schedule 13D filed October 2, 2026
• · Original Schedule 13D filed December 26, 2019
• · Covenant modification to MFP Purchase Agreement effective September 30, 2026
• · No change in share count or percentage from prior filing

02-10-2026

Roshen Pujari and affiliated entities filed Amendment No. 6 to Schedule 13D, disclosing that they have ceased to be beneficial owners of more than 5% of Stardust Power Inc.'s common stock. As of September 28, 2026, the Reporting Persons collectively hold 1,669,174 shares (approximately 3.64% of the 53,468,409 shares outstanding as of October 2, 2026). This is the final amendment to the Schedule 13D, and no transactions were effected in the past 60 days.

• · This is Amendment No. 6 and constitutes the final amendment to the Schedule 13D.
• · The Reporting Persons ceased to be beneficial owners of more than 5% of the Company's outstanding shares.
• · No transactions in the Common Stock were effected by the Reporting Persons in the past 60 days.
• · Mr. Pujari has sole voting and dispositive power over 537,721 shares and shares voting/dispositive power over the shares held by the entities he controls.
• · The Reporting Persons are filing jointly but do not admit to forming a 'group'.
• · None of the Reporting Persons have been convicted in a criminal proceeding or subject to securities-related civil judgments in the last five years.

02-10-2026

Weil Company, Inc. filed a Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 680,200 shares of BlackRock ETF Trust II's iShares Total Return Active ETF, representing 4.1705% of the outstanding shares. The shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer. The filing reflects a routine ownership disclosure with no change in control or corporate action.

• · Filing type: Schedule 13G/A (Amendment)
• · Filing date: October 2, 2026
• · Issuer: BlackRock ETF Trust II (CIK 0001804196), incorporated in Delaware
• · Reporting person: Weil Company, Inc. (CIK 0001318011), incorporated in California
• · Sole voting power: 680,200 shares
• · Shared voting power: 0 shares
• · Sole dispositive power: 680,200 shares
• · Shared dispositive power: 0 shares
• · Ownership type: IA (Investment Adviser)
• · Certification: Shares held in ordinary course of business, not for control purposes

02-10-2026

Weil Company, Inc. filed a Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 29,647 shares of J.P. Morgan Active China ETF (a series of J.P. Morgan Exchange-Traded Fund Trust), representing a 10.81% stake. The filing indicates the shares were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

• · The filing is made under Rule 13d-1(b) of the Securities Exchange Act of 1934.
• · Weil Company, Inc. is a California corporation with its business address in San Diego, CA.
• · The filing certifies that the securities were not acquired for the purpose of changing or influencing control of the issuer.
• · The filing date is October 2, 2026, and the event date is September 30, 2026.

02-10-2026

Ryan Cohen, GameStop's largest individual shareholder, filed an amended Schedule 13D on October 2, 2026, disclosing the purchase of an additional 700,000 Class A Shares at a weighted average price of $24.4061 per share, for a total cost of approximately $17.08 million. This brings his direct beneficial ownership to 45,383,306 Shares (including 3,734,784 Shares underlying warrants), representing approximately 8.9% of the 504,500,990 Shares outstanding as of September 3, 2026. The filing reflects continued insider accumulation, though the percentage ownership remains unchanged from the prior disclosure level.

• · Purchase price range for the October 2, 2026 transactions was $24.3600 to $24.4400 per share
• · The 3,734,784 Warrants were received for no consideration pursuant to a warrant dividend distribution
• · Ownership percentage is based on 504,500,990 Shares outstanding as of September 3, 2026, plus Shares underlying the Warrants
• · No other transactions have occurred since Amendment No. 19 to the Schedule 13D

02-10-2026

Sit Investment Associates, Inc. and its subsidiary Sit Fixed Income Advisors II, LLC disclosed beneficial ownership of 1,875,334 shares of LMP Capital & Income Fund Inc. common stock, representing 8.2% of the 22,836,701 shares outstanding as of September 30, 2026. The filing is an amendment to Schedule 13G, indicating the shares are held in the ordinary course of business without intent to control the issuer. No negative or declining metrics are present in this ownership disclosure.

• · Sit Fixed Income Advisors II, LLC is a subsidiary of Sit Investment Associates, Inc.
• · Sit Investment Associates, Inc. is registered under Section 203 of the Investment Advisers Act of 1940.
• · Sit Fixed Income Advisors II, LLC is registered under Section 203 of the Investment Advisers Act of 1940.
• · 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 accounts managed by Sit Investment Associates, Inc. and Sit Fixed Income Advisors II, LLC.
• · The filing was made pursuant to Rule 13d-1(b) of the Securities Exchange Act of 1934.
• · The issuer was formerly known as Salomon Brothers Capital & Income Fund Inc. and Salomon Brothers Equity & Income Fund Inc.

02-10-2026

SIT INVESTMENT ASSOCIATES INC and its subsidiary Sit Fixed Income Advisors II, LLC disclosed a 4.6% beneficial ownership stake in WESTERN ASSET GLOBAL HIGH INCOME FUND INC. (EHI), holding 1,407,618 common shares as of September 30, 2026. The filing is an amendment to Schedule 13G, indicating the shares are held in the ordinary course of business for client accounts, with no intent to influence control.

• · The filing is an amendment to Schedule 13G, filed under Rule 13d-1(b).
• · Sit Investment Associates, Inc. is registered as an investment adviser under the Investment Advisers Act of 1940.
• · Sit Fixed Income Advisors II, LLC is a subsidiary of SIA and also registered as an investment adviser.
• · The shares are held in client accounts managed by SIA and SFI, and both entities disclaim beneficial ownership under Rule 13d-4.
• · The ownership percentage is based on 30,299,742 shares outstanding as of 8/28/2026, per the issuer's Schedule 14A filed on 9/14/2026.
• · The filing was made on October 2, 2026, with the ownership date as of September 30, 2026.

02-10-2026

Weil Company, Inc. filed an amended Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 25,513 shares of Tidal Trust I's Unlimited HFGM Global Macro ETF common stock, representing 0.53% of the outstanding shares. The filing indicates the shares are held in the ordinary course of business and not for control purposes, with Weil Company acting as an investment adviser.

• · Filing is an amendment (13G/A) to a prior Schedule 13G, indicating a change in ownership or disclosure.
• · Weil Company, Inc. is based in San Diego, California, and acts as an investment adviser.
• · The filing was made under Rule 13d-1(b), indicating the shares are held in the ordinary course of business and not for control purposes.
• · The beneficial ownership is reported as sole voting and dispositive power over all 25,513 shares.

02-10-2026

Weil Company, Inc. filed a Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 430,821 shares of NYLIM Active ETF Trust common stock, representing 10.3% of the outstanding shares. The filing indicates that Weil Company acquired the shares in the ordinary course of business and not with the intent to change or influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) to a prior Schedule 13G.
• · Weil Company, Inc. is an investment adviser (IA) based in San Diego, California.
• · The filing certifies that the securities were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
• · The issuer, NYLIM Active ETF Trust, is a Delaware corporation with its principal executive offices in New York, New York.

02-10-2026

Sit Investment Associates Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G disclosing beneficial ownership of 1,215,721 shares (6.6%) of BNY Mellon Municipal Bond Infrastructure Fund, Inc. (DMB) as of September 30, 2026. The shares are held in client accounts, and the filers disclaim beneficial ownership under Rule 13d-4. The ownership percentage is based on 18,405,973 shares outstanding as of February 28, 2006.

• · The filing is a Schedule 13G (passive investor disclosure) under Rule 13d-1(b).
• · Both filers are registered investment advisers and disclaim beneficial ownership of the reported shares.
• · The ownership percentage is based on an older share count from February 28, 2006, not current as of the filing date.

02-10-2026

Chang Woei Jiann filed a Schedule 13D disclosing beneficial ownership of 26,121,180 shares of Aterian, Inc. common stock, representing approximately 10.00% of the outstanding shares. The stake was acquired through a private purchase of 193,347 shares of Series AAA Preferred Stock for $1,296,000, which were subsequently converted into common stock. The filing also notes that William H. Crampton was appointed to the board of directors in connection with the transaction.

• · The purchase was made via a Securities Purchase Agreement dated September 1, 2026, with closing on September 25, 2026.
• · The Series AAA Preferred Stock was purchased at $2.00 per share, with each share convertible into 135.1 shares of common stock.
• · The Reporting Person is a citizen of Malaysia and has no plans or proposals for extraordinary corporate transactions, changes in capitalization, or delisting at this time.
• · No other transactions in common stock were effected by the Reporting Person in the past 60 days.

02-10-2026

SIT Investment Associates, Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 2,986,949 shares of BNY Mellon Strategic Municipal Bond Fund, Inc. (DSM), representing approximately 6.0% of the 49,428,691 shares outstanding as of November 30, 2025. The filing is a routine passive investment disclosure under Rule 13d-1(b), with the filers disclaiming beneficial ownership and stating the shares were acquired in the ordinary course of business without intent to influence control.

• · The filing is a Schedule 13G under Rule 13d-1(b), indicating passive investment intent.
• · SIT Investment Associates, Inc. is registered as an investment adviser under Section 203 of the Investment Advisers Act of 1940.
• · Sit Fixed Income Advisors II, LLC is a subsidiary of SIT Investment Associates, Inc. and also registered as an investment adviser.
• · The securities are held in client accounts managed by SIT Investment Associates, Inc. and Sit Fixed Income Advisors II, LLC.
• · The filers disclaim beneficial ownership of the securities pursuant to Rule 13d-4 of the Securities Exchange Act of 1934.
• · The ownership percentage is based on 49,428,691 shares outstanding as of November 30, 2025, as reported in the Issuer's Form N-CSR.

02-10-2026

Sit Investment Associates, Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G disclosing beneficial ownership of 693,895 shares of Blackstone Long-Short Credit Income Fund (BGX) common stock, representing 5.5% of the 12,708,275 shares outstanding as of June 30, 2026. The filing indicates passive investment intent, with the shares held across client accounts managed by the advisers.

• · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934, indicating passive investment intent.
• · 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.
• · No single client account beneficially owns more than 5% of the class of securities.

02-10-2026

Sit Investment Associates Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 3,165,541 shares of BNY Mellon Strategic Municipals, Inc. common stock, representing 5.1% of the 62,290,584 shares outstanding as of September 30, 2025. The filing indicates the shares are held in client accounts managed by the investment advisers, who disclaim beneficial ownership under Rule 13d-4.

• · The filing is a Schedule 13G (passive ownership) under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not to change or influence control.
• · Sit Investment Associates Inc. is an investment adviser registered under the Investment Advisers Act of 1940; Sit Fixed Income Advisors II, LLC is a subsidiary and also a registered investment adviser.
• · Both entities disclaim beneficial ownership of the reported shares pursuant to Rule 13d-4 of the Exchange Act.
• · No single client account subject to the investment advice of either firm owns more than 5% of the class of securities.

02-10-2026

SIT Investment Associates Inc and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G/A disclosing beneficial ownership of 2,050,353 shares of Neuberger Berman Real Estate Securities Income Fund Inc (NRO), representing 3.2% of outstanding shares as of September 30, 2026. The filing is an amendment to a previous Schedule 13G and reflects no change in the ownership level from the prior filing, indicating a stable position.

• · The filing is an amendment (Schedule 13G/A) filed on October 2, 2026, with an event date of September 30, 2026.
• · SIT Investment Associates Inc is an investment adviser registered under the Investment Advisers Act of 1940, based in Minnesota.
• · Sit Fixed Income Advisors II, LLC is a subsidiary of SIT Investment Associates Inc and also a registered investment adviser.
• · Both entities disclaim beneficial ownership of the securities under Rule 13d-4 of the Exchange Act.
• · The securities are held in client accounts in the ordinary course of business, not for control purposes.

02-10-2026

SIT Investment Associates, Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G with the SEC on October 2, 2026, disclosing beneficial ownership of 7,135,290 shares of BlackRock MuniAssets Fund, Inc. (MUA) common stock, representing 10.6% of the 67,139,761 outstanding shares as of September 30, 2026. The filing is a routine passive ownership disclosure under Rule 13d-1(b), with the filers disclaiming beneficial ownership and stating the shares were acquired in the ordinary course of business without intent to influence control.

• · The filing is a Schedule 13G (passive ownership), not a 13D (activist intent).
• · Both SIT Investment Associates and its subsidiary Sit Fixed Income Advisors II are registered investment advisers under the Investment Advisers Act of 1940.
• · The filers disclaim beneficial ownership of the shares under Rule 13d-4.
• · No single client account holds more than 5% of the class of securities.

02-10-2026

SIT Investment Associates Inc. and its subsidiary Sit Fixed Income Advisors II, LLC filed a Schedule 13G disclosing beneficial ownership of 2,785,976 shares of UBS Asset Management Income Fund, Inc. (formerly Credit Suisse Asset Management Income Fund, Inc.), representing 5.1% of the 54,859,559 shares outstanding as of June 30, 2026. The filing indicates passive investment intent, with the shares held across client accounts managed by the filers.

• · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
• · SIT Investment Associates Inc. and Sit Fixed Income Advisors II, LLC disclaim beneficial ownership of the securities under Rule 13d-4.
• · The shares are held in client accounts managed by the investment advisers, and no single account owns more than 5% of the class.
• · The issuer changed its name from Credit Suisse Asset Management Income Fund, Inc. to UBS Asset Management Income Fund, Inc. on August 29, 2024.

02-10-2026

OrbiMed Advisors LLC and affiliated entities disclosed beneficial ownership of 14,913,764 shares of ADARx Pharmaceuticals, Inc. common stock, representing approximately 14.0% of the outstanding shares, as of September 28, 2026. The filing details the acquisition of shares through preferred stock conversions and IPO purchases, with the largest holder being OrbiMed Private Investments VII, LP at 13.4%.

• · The shares were acquired through conversion of Series A, B, B-1, and C Preferred Stock on a 1-for-1.1717 reverse stock split basis upon completion of ADARx's IPO.
• · OPI VII purchased 300,249 shares in the IPO, OIP II purchased 61,516 shares, and Genesis purchased 588,235 shares, all at $17.00 per share.
• · The Reporting Persons have no current plans for extraordinary corporate transactions, changes in board/management, or other material changes to the issuer.
• · OrbiMed Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, W. Carter Neild, and Geoffrey C. Hsu.

02-10-2026

Divisadero Street Capital Management, LP and related entities filed a Schedule 13G disclosing beneficial ownership of 3,983,783 shares of Axogen, Inc. common stock, representing 6.8% of the outstanding shares. The filing indicates that the securities are held for investment purposes and not to influence control of the issuer. Divisadero Street Partners, L.P. separately owns 3,436,008 shares (5.9%), while William Zolezzi and Divisadero Street Capital, LLC also report 6.8% ownership each.

• · The filing is made under Rule 13d-1(c), indicating the securities were not acquired to change or influence control.
• · Each reporting person disclaims beneficial ownership except to the extent of pecuniary interest.
• · Divisadero Street Capital Management, LP is the investment adviser; the shares are held by its advisory clients.
• · No single advisory client other than Divisadero Street Partners, L.P. is deemed to own more than 5% of the class.

02-10-2026

A group of entities associated with Mario Gabelli, including GAMCO Investors, Inc., Gabelli Funds LLC, and others, filed a Schedule 13D/A with the SEC on October 2, 2026, disclosing a combined beneficial ownership of 83,654 shares (7.11%) of Beasley Broadcast Group Inc. Class A Common Stock. The amendment shows an ownership decrease from a prior percentage due solely to an increase in the total outstanding shares of the issuer, as no transactions were reported in the past 30 days.

• · The decrease in ownership percentage is due solely to an increase in the issuer's total shares outstanding as of September 30, 2026, not from any share sales.
• · No transactions in the securities (purchases or sales) were effected in the past 60 days by any of the reporting persons.
• · The filing ensures compliance with SEC rules regarding communications with the issuer's management under a Schedule 13D rather than a short-form Schedule 13G.
• · GAMCO Asset Management Inc. holds 62,869 shares (5.15%), Gabelli Funds LLC holds 18,800 shares (1.54%), Gabelli Foundation, Inc. holds 4,000 shares (0.33%), and Teton Advisors, LLC holds 1,000 shares (0.08%).
• · Several affiliated entities (GGCP, Inc., Associated Capital Group, Inc., Mario J. Gabelli) report 0 shares but are included due to control relationships.
• · Gabelli Funds has limited voting authority; its proxy voting committee can vote shares under special circumstances, and voting is capped at 25% of total voting interest across joint filers.

02-10-2026

Hegro Well Pte. Ltd., Xi'an Gewei Petroleum Equipment Co., Ltd., Xi Zhang, and Wenhua Liu filed a Schedule 13D disclosing beneficial ownership of 28,571,430 ordinary shares of GOWell Energy Technology, representing approximately 74.0% of the outstanding ordinary shares. The shares were acquired as consideration in a business combination with Maywood Acquisition Corp. (now Inflection Point Acquisition Corp. V). The reporting persons have shared voting and dispositive power over the shares, and Hegro has the right to appoint 50% of the board as long as it holds at least 40% of the outstanding shares.

• · The shares were acquired in connection with a business combination that closed on September 25, 2026.
• · Hegro has the right to appoint 50% of the board as long as it holds at least 40% of outstanding shares.
• · Up to 20,000,000 additional ordinary shares may be issued to Hegro and Inflection Point Fund I LP upon achieving specified EBITDA targets for fiscal years 2026, 2027, and 2028.
• · No funds were used by the reporting persons to acquire the shares; they were received as consideration in the business combination.
• · No transactions in the ordinary shares were effected by the reporting persons during the past 60 days.

02-10-2026

Wang Anquan, founder and controlling shareholder of Webull Corp, filed an amended Schedule 13G disclosing beneficial ownership of 97,916,398 Class A ordinary shares (18.1% of the class) as of September 30, 2026. The filing reflects a conversion of 25,000,000 Class B shares into Class A shares on September 30, 2026, and includes shares held through entities such as Water Castle Az Inc. and Webull Partners Limited, as well as shares subject to a proxy agreement. The disclosure shows a significant concentrated ownership position, but no change in overall control dynamics.

• · The filing is an amendment (SC 13G/A) filed on October 2, 2026, with a date of change of October 2, 2026.
• · Wang Anquan's beneficial ownership includes shares held through multiple entities: Water Castle Az Inc. (25,200,000 shares), Webull Partners Limited (2,136,394 shares), and shares issuable upon conversion of Class B shares (58,859,005) and vested RSUs (1,660,156).
• · The Proxy Agreement dated August 15, 2025, gives Wang Anquan voting control over 10,060,843 Class A shares, limited to avoid exceeding the 2% threshold under Section 13(d)(6)(B).
• · The filing explicitly states it shall not be deemed an admission of beneficial ownership for purposes of Section 13(d) or 13(g).
• · No period-over-period comparisons are available as this is a snapshot disclosure.

02-10-2026

GordonMD Global Investments LP and related entities disclosed beneficial ownership of 27,988,714 shares of Pyxis Oncology, Inc. (PYXS) common stock, representing a 17.5% stake as of October 1, 2026. The filing is an amendment to Schedule 13G, indicating the group holds the shares for investment purposes and not to influence control. The stake includes 12,446,805 shares issuable upon exercise of warrants, which are subject to a 17.50% blocker provision limiting exercisability.

• · The filing is an amendment to Schedule 13G, filed under Rule 13d-1(c).
• · GordonMD Global Investments LP is an investment adviser; the securities are directly owned by its advisory clients.
• · Craig D. Gordon is identified as a control person of GordonMD Global Investments LP.
• · The 17.50% blocker prevents exercise of warrants if it would cause beneficial ownership to exceed 17.5% of outstanding common stock.
• · No single advisory client other than GordonMD Long Biased Master Fund LP is deemed to beneficially own more than 5% of the class.

02-10-2026

Towerview LLC filed an amended Schedule 13G with the SEC on October 2, 2026, disclosing a 0.0% beneficial ownership stake in C3is Inc. as of August 19, 2026. The filing indicates that Towerview LLC no longer holds any shares of C3is common stock, having previously reported a larger position. The filing was made under Rule 13d-1(c) and certifies that the securities were not acquired to influence control of the issuer.

• · Towerview LLC's beneficial ownership in C3is Inc. dropped to 0.0% as of August 19, 2026.
• · The filing is an amendment to a prior Schedule 13G, indicating a reduction from a previously reported position.
• · The filing was made pursuant to Rule 13d-1(c), which is used by passive investors.
• · The certifying individual is Daniel R Tisch, a Member of Towerview LLC.

02-10-2026

Franklin Templeton, Inc. (FTI) filed a Schedule 13D/A disclosing beneficial ownership of 93,329 Class S shares (66.6% of the outstanding shares) of Clarion Partners Real Estate Income Fund Inc. as of October 1, 2026. The filing notes that on April 16, 2026, FTI acquired 88,106 shares at $11.35 per share for a total of $1,051,085, using working capital, to maintain capitalization and liquidity after an investor rebalancing. The principal stockholders, Charles B. Johnson and Rupert H. Johnson, Jr., disclaim any pecuniary interest in the shares and are not deemed beneficial owners.

• · Franklin Templeton, Inc. was renamed from Franklin Resources, Inc. effective August 17, 2026.
• · The 93,329 shares are held in a Franklin Templeton, Inc. corporate account.
• · Charles B. Johnson and Rupert H. Johnson, Jr. do not own any shares directly and disclaim beneficial ownership of the shares held by FTI.
• · The Reporting Persons may increase or decrease their position based on market conditions and other factors.

02-10-2026

North Shore Trust & Savings Employee Stock Ownership Plan Trust filed an amended Schedule 13G with the SEC on October 2, 2026, reporting beneficial ownership of 0 shares of NSTS Bancorp, Inc. common stock as of October 1, 2026. The filing indicates the trust holds no voting or dispositive power over any shares, representing a 0.0% ownership stake.

• · The filing is an amendment (SCHEDULE 13G/A) filed on October 2, 2026, with an event date of October 1, 2026.
• · The trust is organized under the laws of Illinois and its principal business office is c/o Pentegra Services, Inc., 2 Enterprise Drive, Suite 408, Shelton, CT 06484.
• · The filing certifies that the securities were acquired and held in the ordinary course of business and not for changing or influencing control of the issuer.

02-10-2026

Brookstone Capital Management, LLC filed a Schedule 13G/A with the SEC on October 2, 2026, disclosing beneficial ownership of 78,439 shares of Innovator U.S. Equity Buffer ETF - February, representing 2.05% of the outstanding shares. The filing indicates that Brookstone holds the shares in the ordinary course of business as an investment adviser, with no intention to change or influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) to a previous beneficial ownership report.
• · Brookstone Capital Management is an investment adviser (IA) filing under Rule 13d-1(b).
• · The shares are held in accounts where the account holders have the right to receive dividends or proceeds from sales; Brookstone disclaims beneficial ownership of all such securities.
• · The filing certifies that the securities were acquired and are held in the ordinary course of business, not for changing or influencing control.

02-10-2026

Abu Dhabi Investment Authority (ADIA) and its wholly owned subsidiary Platinum Falcon B 2018 RSC Limited filed an amended Schedule 13G disclosing beneficial ownership of 1,147,138 shares of Eikon Therapeutics common stock as of September 30, 2026. This represents a 2.1% stake based on 54,165,030 shares outstanding as of August 3, 2026. The filing is a routine passive ownership disclosure with no change in control intent.

• · ADIA is a public institution established by the Government of the Emirate of Abu Dhabi in 1976.
• · Platinum Falcon B 2018 RSC Limited is a restricted scope company organized under Abu Dhabi Global Market laws.
• · The filing is made under Rule 13d-1(c) (passive investor exemption).
• · Both reporting persons certify the shares were not acquired to change or influence control of the issuer.