US Activist Hedge Fund Institutional SEC 13D 13G — October 06, 2026

06-10-2026

Wellington Management Group LLP and its affiliates filed an amended Schedule 13G with the SEC, disclosing beneficial ownership of 21,343,055 shares of Redwood Trust Inc. common stock as of September 30, 2026, representing 17.0% of the outstanding shares. This represents an increase from a prior position, though the exact prior figures are not provided in this filing. The shares are held on behalf of client accounts managed by Wellington's investment advisory subsidiaries, and the filing certifies the shares were acquired and held in the ordinary course of business, not for changing or influencing control.

• · The filing is an amendment (Schedule 13G/A) filed on October 6, 2026, with an as-of date of change of October 6, 2026.
• · Wellington Management Group LLP is a parent holding company based in Massachusetts; its key holding subsidiaries are organized in Delaware.
• · No single client of Wellington is known to have the right to receive dividends or proceeds from more than five percent of the class, except Bay Pond Partners, L.P. and Bay Pond Investors (Bermuda) L.P.
• · The joint filing agreement was signed by Matthew Revell on behalf of all four reporting entities on October 7, 2026.

06-10-2026

Sun Life Financial Inc. and its subsidiary Sun Life Assurance Company of Canada disclosed beneficial ownership of 780,000 Mandatory Redeemable Preferred Stock shares in Ares Dynamic Credit Allocation Fund, Inc. (ARDC), representing a 19.5% stake collectively as of September 14, 2026. The filing is an amended Schedule 13G (SC 13G/A) filed on October 6, 2026, indicating passive investment status with no intent to influence control. The disclosure highlights a significant minority holding by a major financial institution.

• · The filing is an amendment to a prior Schedule 13G, though prior filing date is not disclosed.
• · Sun Life Assurance Company of Canada holds sole voting power over 780,000 shares and sole dispositive power over 780,000 shares; Sun Life Financial Inc. has shared voting and dispositive power over 780,000 shares but no sole power.
• · The filing certifies that the securities were acquired in the ordinary course of business and not for the purpose of changing or influencing control.
• · The issuer, Ares Dynamic Credit Allocation Fund, Inc., has a fiscal year end of December 31 and is incorporated in New York.
• · The fund was formerly known as Ares Senior Credit Strategies Fund, Inc. (name changed March 14, 2011).

06-10-2026

Whitebox Advisors LLC filed a Schedule 13D disclosing beneficial ownership of 13,055,633 shares of KLX Energy Services Holdings, Inc. (KLXE), representing approximately 12.4% of the outstanding common stock. The stake was acquired primarily through a backstop exchange in connection with KLXE's $125.0 million rights offering, where Whitebox exchanged $19,070,917 principal amount of 2030 Notes plus accrued interest for 12,876,575 shares. As a holder of over 10%, Whitebox has the right to designate a director to the board and has nominated an independent candidate, while also signaling potential engagement on capital structure, governance, and strategic alternatives.

• · Whitebox's beneficial ownership is based on 105,677,168 shares outstanding after the Rights Offering and Backstop Exchange, per the Company's Form 8-K filed September 30, 2026.
• · Whitebox has the right to designate one director to the board as long as it holds at least 7.5% of outstanding common stock; it has nominated an independent candidate.
• · On September 24, 2026, Whitebox funds sold a total of 465,698 shares at the Subscription Price due to assignments on short positions in subscription rights.
• · The backstop commitment was reduced from $94.0M to $87.8M because $6.2M of 2030 Notes were redeemed with Rights Offering proceeds.
• · Whitebox may engage in discussions regarding capital structure, corporate governance, board composition, strategic alternatives, and may purchase or sell additional securities.

06-10-2026

Rui Zhang, through her wholly owned entity Vastway Technology Co., Ltd., acquired 17,446,471 Class A shares of AGM Group Holdings, Inc. for $11.0 million on October 5, 2026, giving her 81.48% of the Class A shares (77.15% of total shares including Class B). The transaction makes Zhang the controlling shareholder and triggered board changes, including the resignation of an existing director and nomination of two new director candidates. The filing also notes a separate share repurchase agreement with former CEO Bo Zhu for 1,200,000 Class B shares at $8.0 million, which remains subject to closing conditions including shareholder approval.

• · The Share Purchase Agreement was dated September 17, 2026, and closed on October 5, 2026.
• · Source of funds for the acquisition was Vastway's working capital.
• · Vastway was granted 'piggyback registration rights' allowing it to include its shares in future Company registration statements.
• · The Company announced board changes via a Form 6-K on October 5, 2026.
• · The repurchase of Class B shares from Bo Zhu is subject to closing conditions including shareholder approval.

06-10-2026

Wellington Management Group LLP and its affiliates filed a Schedule 13G/A disclosing beneficial ownership of 12,030,278 shares of Latham Group, Inc. common stock (10.2% of shares outstanding) as of September 30, 2026. The filing reflects an increase from the prior period, with 9,955,872 shares held on dated earlier, bringing the total to 12,030,278 shares. The securities are held in the ordinary course of business for investment purposes only, not with the intent to change or influence control of the company.

• · The filing is an amendment (A) to the original Schedule 13G, indicating a change in ownership or disclosure.
• · Wellington Management Group LLP acts as the parent holding company of the other filing entities, all of which are wholly-owned subsidiaries.
• · No single client of the investment advisers owns more than 5% of Latham Group common stock, based on available information.
• · The securities were acquired and are held in the ordinary course of business, not for control purposes.

06-10-2026

Wellington Management Group LLP and its affiliates filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing a 3.98% beneficial ownership stake in Hub Group, Inc.'s Class A Common Stock as of September 30, 2026. The filing indicates that Wellington manages 2,413,747 shares on behalf of its clients, but no single client holds more than 5% of the class. The filing was made under Rule 13d-1(b), confirming the shares were acquired in the ordinary course of business and not to influence control.

06-10-2026

Bar Israel filed an amended Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 2,711,401 Ordinary Shares of Maris Tech Ltd., representing 20.64% of the 12,974,862 shares outstanding as of October 1, 2026. The stake consists of 2,546,401 shares held directly and 165,000 shares issuable upon exercise of options exercisable within 60 days. This represents a significant ownership position, though no change in ownership from the prior filing was indicated in the provided text.

• · The filing is an amendment (SC 13G/A) to a Schedule 13G, indicating a possible change in ownership or updated information.
• · The beneficial ownership percentage is 20.64%, which is above the 10% threshold, making this a material ownership disclosure.
• · The options are exercisable within 60 days of October 1, 2026, meaning they are currently exercisable.
• · The company is incorporated in Israel (L3) and its principal business address is in Rehovot, Israel.

06-10-2026

Helikon Investments Limited and Federico Riggio disclosed a 11.44% beneficial ownership stake in People Incorporated (formerly IAC Inc.) as of September 30, 2026, holding 7,857,290 common shares. The filing is a Schedule 13G/A amendment under Rule 13d-1(b), indicating passive investment intent. The stake is held through the Helikon Long Short Equity Fund Master ICAV, with Helikon UK as investment manager.

• · The filing is an amendment to Schedule 13G, filed under Rule 13d-1(b), indicating passive investment intent.
• · The stake is held through the Helikon Long Short Equity Fund Master ICAV, managed by Helikon UK.
• · Helikon UK is authorized and regulated by the UK Financial Conduct Authority.
• · The percentage is based on 68,674,426 shares outstanding as of September 30, 2026, per the issuer's Form 10-Q for the period ended June 30, 2026.
• · The reporting persons disclaim control intent, stating the securities were not acquired to change or influence control of the issuer.

06-10-2026

Wolverine Asset Management LLC and related entities disclosed a 4.74% beneficial ownership stake in Blueport Acquisition Ltd, holding 281,722 Class A Ordinary Shares as of September 30, 2026. The filing is an amendment (SC 13G/A) and certifies the shares were acquired in the ordinary course of business, not to influence control. The stake is unchanged from the prior filing, indicating no material change in ownership.

• · The filing is an amendment (SC 13G/A) filed on October 6, 2026, with an event date of September 30, 2026.
• · Wolverine Asset Management LLC is an investment adviser; Wolverine Holdings LLC is the sole member and manager of WAM.
• · Each reporting person has shared voting and dispositive power over the 281,722 shares.
• · The filing certifies that the securities were acquired in the ordinary course of business and not to influence control.

06-10-2026

Wolverine Asset Management LLC and related entities filed a Schedule 13G/A disclosing beneficial ownership of 2,333,261 Class A ordinary shares of EQV Ventures Acquisition Corp. II, representing 4.97% of outstanding shares as of September 30, 2026. The filing indicates the shares were acquired in the ordinary course of business and not for control purposes, with shared voting and dispositive power held by Wolverine Asset Management, Wolverine Holdings, and individuals Christopher L. Gust and Robert R. Bellick.

• · The filing is an amendment (Schedule 13G/A) filed on October 6, 2026, with an event date of September 30, 2026.
• · The shares are Class A ordinary shares with a par value of $0.0001 per share.
• · Wolverine Asset Management is an investment adviser filing under Rule 13d-1(b).
• · Each reporting person disclaims beneficial ownership except to the extent of their pecuniary interest.

06-10-2026

Wolverine Asset Management LLC and related entities filed a Schedule 13G/A disclosing beneficial ownership of 159,914 Class A ordinary shares of Westin Acquisition Corp, representing 2.65% of the outstanding shares as of September 30, 2026. The filing is a routine update under Rule 13d-1(b) and indicates no change in control intent. The stake is relatively small and passive in nature.

• · The filing is an amendment (13G/A) to a previous Schedule 13G.
• · All reporting persons share voting and dispositive power over the same 159,914 shares.
• · The percentage was calculated based on 6,042,500 Class A ordinary shares outstanding as of June 30, 2026, per the issuer's 10-K filed September 29, 2026.
• · The filers certify the shares were acquired in the ordinary course of business and not to change or influence control of the issuer.

06-10-2026

Wolverine Asset Management, LLC (WAM) and related entities disclosed beneficial ownership of 697,695 ordinary shares of XFLH Capital Corp, representing 5.02% of outstanding shares, in a Schedule 13G filed October 6, 2026. The filing indicates shared voting and dispositive power among WAM, Wolverine Holdings, Christopher L. Gust, and Robert R. Bellick. The shares are held in the ordinary course of business without intent to control the issuer.

• · Filing date: October 6, 2026; date of change: October 6, 2026
• · Issuer's fiscal year end: August 31
• · Issuer's SIC code: 6770 (Blank Checks)
• · Issuer's state of incorporation: E9 (likely Delaware)
• · Ordinary shares par value: $0.0001 per share
• · Wolverine Flagship Fund Trading Limited has the right to receive dividends or proceeds from the sale of the shares
• · Certification that shares were not acquired for the purpose of changing or influencing control of the issuer

06-10-2026

Wolverine Asset Management LLC and related entities filed an amended Schedule 13G disclosing beneficial ownership of 365,482 Class A Ordinary Shares of AA Mission Acquisition Corp. II, representing 3.08% of the outstanding shares as of September 30, 2026. The filing indicates no change in ownership from the prior filing, with the same number of shares and percentage held. The reporting persons certify the shares were acquired in the ordinary course of business and not to influence control.

• · The filing is an amendment (SCHEDULE 13G/A) filed on October 6, 2026, with a date of change of October 6, 2026.
• · The subject company is a blank check company (SIC 6770) incorporated in the Cayman Islands (E9).
• · Wolverine Asset Management LLC is an investment adviser (IA) and holds shared voting and dispositive power over all 365,482 shares.
• · Wolverine Holdings LLC is the sole member and manager of Wolverine Asset Management LLC and is deemed to have shared voting and dispositive power over the same shares.
• · Christopher L. Gust and Robert R. Bellick are managers of Wolverine Holdings LLC and are deemed to have shared voting and dispositive power over the same shares.
• · The percentage calculation is based on 11,860,250 shares outstanding as of August 7, 2026, per the issuer's 10-Q.
• · The filing includes a certification that the securities were acquired in the ordinary course of business and not to influence control.

06-10-2026

Wolverine Asset Management LLC and related entities disclosed beneficial ownership of 383,172 ordinary shares of Starry Sea Acquisition Corp, representing 5.02% of the outstanding shares as of September 30, 2026. The filing is an amendment to Schedule 13G, indicating the stake was acquired in the ordinary course of business and not for control purposes.

• · The filing is an amendment to Schedule 13G (SC 13G/A), filed on October 6, 2026.
• · The stake was acquired in the ordinary course of business and not for the purpose of changing or influencing control.
• · Wolverine Flagship Fund Trading Limited has the right to receive dividends or proceeds from the sale of the shares.

06-10-2026

Wolverine Asset Management LLC and related entities (Wolverine Holdings LLC, Christopher L. Gust, and Robert R. Bellick) filed an amended Schedule 13G disclosing beneficial ownership of 119,188 ordinary shares of Cayson Acquisition Corp, representing 3.09% of outstanding shares as of September 30, 2026. The filing confirms the shares were acquired and are held in the ordinary course of business without any intent to change or influence control of the issuer.

• · The filing is an amendment (SC 13G/A) filed on October 6, 2026, with a date of change of October 6, 2026.
• · The subject company, Cayson Acquisition Corp, is classified under SIC 6770 (Blank Checks) and is incorporated in the state of E9 (likely a foreign or special jurisdiction).
• · Wolverine Asset Management LLC is an investment adviser based in Chicago, Illinois.
• · The filing includes a certification that the securities were not acquired to change or influence control of the issuer.

06-10-2026

Wolverine Asset Management LLC and related entities filed an amended Schedule 13G/A with the SEC, disclosing beneficial ownership of 15,023 Class A ordinary shares of Newbury Street II Acquisition Corp, representing 0.08% of the outstanding shares. The filing indicates the shares are held in the ordinary course of business and not for control purposes. This is a routine disclosure with minimal change in ownership.

• · The filing is an amendment (13G/A) filed on October 6, 2026, with a signature date of October 5, 2026.
• · The shares are held with shared voting and dispositive power by Wolverine Asset Management, Wolverine Holdings, Christopher L. Gust, and Robert R. Bellick.
• · The filing certifies that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
• · The percentage ownership is calculated based on 17,998,375 Class A ordinary shares outstanding as of August 12, 2026.

06-10-2026

Wolverine Asset Management LLC and related entities (Wolverine Holdings LLC, Christopher L. Gust, and Robert R. Bellick) filed an amended Schedule 13G disclosing beneficial ownership of 518,199 Class A ordinary shares of Maywood Acquisition Corp. 2, representing 4.94% of the outstanding shares. The filing confirms the shares are held in the ordinary course of business and not with the intent to influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) filed on October 6, 2026, with a date of change also on October 6, 2026.
• · Wolverine Asset Management LLC is an investment adviser based in Chicago, Illinois.
• · The shares are held in the ordinary course of business and not with the purpose of changing or influencing control of the issuer.
• · The filing includes a certification that the securities were not acquired in connection with any transaction having the purpose or effect of changing control.

06-10-2026

Wolverine Asset Management, LLC and related entities filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 335,957 ordinary shares of Quantumsphere Acquisition Corp, representing 2.95% of the outstanding shares. The filing indicates 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 is an amendment (13G/A) to a previously filed Schedule 13G.
• · The shares are held with shared voting and dispositive power by Wolverine Asset Management, Wolverine Holdings, Christopher L. Gust, and Robert R. Bellick.
• · The filing certifies that the securities were acquired and are held in the ordinary course of business and not to change or influence control of the issuer.

06-10-2026

Wolverine Asset Management LLC and related parties disclosed beneficial ownership of 148,402 ordinary shares of Wintergreen Acquisition Corp., representing 2.03% of outstanding shares as of September 30, 2026. The filing is an amendment to Schedule 13G, indicating the shares were acquired in the ordinary course of business and not for changing or influencing control. The percentage was calculated based on 7,303,575 shares outstanding as of June 30, 2026.

• · The filing is an amendment to Schedule 13G (SC 13G/A), filed on October 6, 2026.
• · The subject company is Wintergreen Acquisition Corp., incorporated in E9 (likely Cayman Islands) with business address in Beijing, China.
• · Wolverine Asset Management LLC is an investment adviser based in Chicago, Illinois.
• · The shares are ordinary shares with par value $0.0001 per share.
• · Each reporting person has shared voting and dispositive power over the 148,402 shares.
• · The filing certifies that the securities were acquired in the ordinary course of business and not to change or influence control.

06-10-2026

Starboard Value LP filed an amended Schedule 13D disclosing that as a result of the acquisition of Qorvo, Inc. by Skyworks Solutions, Inc., which closed on October 5, 2026, Starboard and its affiliated funds no longer beneficially own any shares of Qorvo. In the merger, each Qorvo share held by Starboard was converted into 0.960 shares of Skyworks common stock and $32.50 in cash. Additionally, Peter A. Feld, a Starboard principal, ceased to serve as a director of Qorvo following the merger.

• · The merger was structured as a two-step transaction: first, Merger Sub I merged into Qorvo, making Qorvo a wholly owned subsidiary of Skyworks; second, the surviving corporation merged into Merger Sub II, with Merger Sub II as the surviving entity.
• · Starboard's beneficial ownership in Qorvo fell to 0% as of October 5, 2026.
• · The only transaction by Starboard in Qorvo securities in the past 60 days was the grant of 2,327 shares to Peter A. Feld on August 12, 2026.
• · All Qorvo directors resigned at the effective time of the merger.

06-10-2026

CSS LLC/IL filed a Schedule 13G with the SEC on October 6, 2026, disclosing beneficial ownership of 1,038,610 Class A Ordinary Shares of Oceanhawk Acquisition Corp., representing a 5.49% stake. 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 issuer.

• · The filing is made under Rule 13d-1(c), indicating the filer is a passive investor.
• · CSS LLC/IL is an Illinois limited liability company with its principal office in Chicago.
• · The filing certifies that the securities were not acquired to change or influence control of the issuer.

06-10-2026

L.I.A. Pure Capital Ltd. and Invest Pro Shukai Hon Ltd. (collectively owning ~16.94% of Evogene Ltd.) entered into a Cooperation Agreement with Evogene on October 6, 2026, resolving a proxy contest. Under the agreement, two departing directors resigned and were replaced by two nominees of the shareholders, with plans to elect two additional nominees at a general meeting, giving the shareholder group four of seven board seats. The shareholders withdrew their intention to commence a special tender offer and agreed to a 60-day standstill on such an offer, while the company agreed not to issue new shares (except employee grants) during that period.

• · The Cooperation Agreement resolves all prior claims and allegations between the parties without admission of liability.
• · The continuing directors (Nir Nimrodi, Ofer Haviv, Leon Y. Recanati) will remain on the board for a transition period of up to six months to facilitate orderly transition.
• · The shareholders withdrew their previously announced intention to commence a special tender offer.
• · The company agreed not to issue any ordinary shares or convertible securities (except employee grants consistent with past practice) during the 60-day standstill period.
• · The shareholders are not restricted from acquiring additional shares of the company.

06-10-2026

Neuberger Berman Group LLC filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 2,289,196 shares of Xperi Inc. common stock, representing 4.7% of the company's outstanding shares. The filing reflects a decrease from the prior reported position, indicating reduced ownership. Neuberger Berman disclaims beneficial ownership of the securities, noting they are held in the ordinary course of business and not for the purpose of changing or influencing control of Xperi.

• · The filing is made pursuant to Rule 13d-1(b) under the Exchange Act, indicating passive investment intent.
• · Neuberger Berman Group LLC disclaims beneficial ownership of the securities under Exchange Act Rule 13d-4.
• · The filing includes a certification that the securities were not acquired with the purpose of changing or influencing control of Xperi Inc.
• · Securities beneficially owned by NB Alternatives Advisers LLC and other subsidiaries separated by an information barrier are not reflected in this filing.

06-10-2026

Neuberger Berman Group LLC filed a Schedule 13G/A with the SEC on October 6, 2026, reporting beneficial ownership of approximately 4.9% of American States Water Co's common stock as of September 30, 2026. The filing, which includes shares held through various subsidiaries, is not an admission of beneficial ownership and was made in the ordinary course of business without intent to influence control.

• · The 4.9% stake is below the 5% threshold that would trigger additional disclosure requirements.
• · Neuberger Berman Group LLC disclaims beneficial ownership of the reported securities under Exchange Act Rule 13d-4.
• · Shares held by NB Alternatives Advisers LLC and other subsidiaries are excluded from this filing due to information barriers.

06-10-2026

Neuberger Berman Group LLC filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 7,367,454 common shares of TETRA TECHNOLOGIES INC, representing 4.9% of the outstanding shares. The filing indicates a decrease from a prior position, as the reporting persons hold 6,231,784 shares with sole voting power and 7,367,454 shares with sole dispositive power. The filing is made under 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) to a previous 13G filing.
• · Neuberger Berman Group LLC disclaims beneficial ownership for certain subsidiaries separated by an information barrier per SEC Release No. 34-39538.
• · The filing certifies that the securities were not acquired to change or influence control of the issuer.

06-10-2026

Joel Block, CEO and director of DarkHorse Technologies Inc. (formerly Sphere 3D Corp.), filed a Schedule 13D disclosing beneficial ownership of 821,142 common shares (7.6% of the company), including shares, warrants, and restricted stock units. On September 11, 2026, Block acquired 166,666 units in a private placement for approximately $499,998, each unit consisting of one common share and a warrant to purchase one common share at $3.50 per share. The filing indicates insider confidence through a personal investment, but the shares are subject to a six-month lock-up until March 11, 2027.

• · The private placement units were priced at $3.00 per unit.
• · Warrants have an exercise price of $3.50 per share, are immediately exercisable, and expire five years after the closing date (September 11, 2031).
• · Warrants are subject to a 19.99% beneficial ownership limitation.
• · Securities acquired in the private placement are subject to a six-month lock-up expiring March 11, 2027.
• · The Issuer (DarkHorse Technologies) is a digital infrastructure company focused on high-performance computing, AI workloads, and digital asset infrastructure.
• · Block's other securities (529,476 common shares, 125,000 RSUs) were acquired through equity awards from Cathedra Bitcoin Inc. and the Issuer, assumed in connection with the acquisition of Cathedra.

06-10-2026

Neuberger Berman Group LLC disclosed in a Schedule 13G/A filing that it beneficially owns 11,276,836 shares of Hagerty, Inc. (HGTY) Class A common stock, representing 11.1% of the outstanding shares as of September 30, 2026. The filing is a routine update of beneficial ownership by an institutional investment manager and does not indicate any change in control or acquisition activity.

• · The filing is an amendment to Schedule 13G, filed under Rule 13d-1(b) by an institutional investment manager.
• · Neuberger Berman Group LLC disclaims beneficial ownership of securities covered by the report for certain affiliates under Exchange Act Rule 13d-4.
• · No single client of Neuberger Berman has an interest of more than 5% of the issuer, other than those named in the filing.

06-10-2026

GoldenTree Asset Management LP, along with its general partner GoldenTree Asset Management LLC and managing member Steven A. Tananbaum, filed an amended Schedule 13D with the SEC on October 6, 2026, disclosing beneficial ownership of 8,389,212 ordinary shares of Keenova Therapeutics plc, representing 21.2% of the outstanding shares. Steven A. Tananbaum individually holds an additional 53,615 ordinary shares, bringing his total beneficial ownership to 8,442,827 shares or 21.3%. No transactions in the ordinary shares were effected during the past 60 days prior to the filing.

• · GoldenTree Asset Management LP is the investment manager to certain funds and a separately managed account.
• · GoldenTree Asset Management LLC is the general partner of GoldenTree Asset Management LP.
• · No transactions in ordinary shares were effected during the 60 days prior to the filing date.
• · The Schedule 13D was originally filed on August 11, 2026.

06-10-2026

Nippon Life Insurance Company filed an amended Schedule 13D with the SEC, disclosing that it now beneficially owns 126,604,050 shares of Corebridge Financial, Inc. common stock, representing 28.4% of the 445,772,522 shares outstanding. From September 9 to October 2, 2026, Nippon Life purchased an additional 4,614,523 shares in open-market transactions for approximately $158.2 million, funded by working capital. The filing also notes that 33,271 shares are held by a wholly owned subsidiary, Nissay Asset Management Corporation.

• · The 10b5-1 Trading Plan was previously disclosed and used for the recent purchases.
• · Nippon Life obtained funds for the acquisitions through working capital.
• · The filing includes an Annex A with detailed transaction data (number of shares, weighted average price, high and low prices) by date.

06-10-2026

Jack Heilbron, a major shareholder of Presidio Property Trust, Inc., filed an amended Schedule 13D disclosing a beneficial ownership of 337,379 shares of Class A Common Stock, representing 14.17% of the outstanding shares as of October 6, 2026. The filing details a non-cash exchange on October 2, 2026, where Heilbron disposed of 18,163 shares of Series D Preferred Stock in exchange for 99,897 shares of common stock. The ownership includes shares held through entities like Puppy Toes, Inc., shares held by his spouse and grandchildren, and unvested stock.

• · The exchange of Series D Preferred Stock for common stock was a non-cash transaction with no consideration used.
• · The filing is Amendment No. 3 to the original Schedule 13D filed on March 3, 2024.
• · Heilbron's indirect ownership includes 86,077 shares via Puppy Toes, Inc. and its subsidiaries, 1,000 shares held by his spouse, 60 shares for grandchildren, and 29,670 unvested shares.
• · The total outstanding shares of Class A Common Stock as of October 6, 2026, is 2,380,430.

06-10-2026

Glazer Capital, LLC and its managing member Paul J. Glazer disclosed a 5.2% beneficial ownership stake in Bowhead Specialty Holdings Inc., holding 1,697,694 shares of common stock as of September 29, 2026. The filing is a Schedule 13G submitted under Rule 13d-1(c), indicating a passive investment intent with no aim to change or influence control of the issuer.

• · The filing was made pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934, indicating a passive investment.
• · Glazer Capital, LLC serves as investment manager for the Glazer Funds, which hold the shares.
• · Paul J. Glazer is the Managing Member of Glazer Capital, LLC and is a United States citizen.
• · The business address for both Reporting Persons is 250 West 55th Street, Suite 30A, New York, NY 10019.
• · The issuer's common stock CUSIP is 10240L102.

06-10-2026

First Command Advisory Services, Inc. filed a Schedule 13G with the SEC on October 6, 2026, disclosing beneficial ownership of 6,771,162 shares of American Beacon Select Funds, representing 27.0% of the outstanding shares. The filing indicates the shares were acquired and are held in the ordinary course of business, not for changing or influencing control of the issuer.

• · The filing is under Rule 13d-1(b), indicating the filer is an institutional investment manager.
• · First Command Advisory Services, Inc. is incorporated in Texas and has its business address at 1 FirstComm Plaza, Fort Worth, TX 76132.
• · The issuer, American Beacon Select Funds, is incorporated in Massachusetts and has its principal office at 220 East Las Colinas Boulevard, Suite 1200, Irving, TX 75039.
• · The filing date is October 6, 2026, with a date of change also October 6, 2026.
• · The filer certifies that the securities were acquired and are held in the ordinary course of business and not for changing or influencing control.

06-10-2026

Tontine Capital Partners and related entities filed Amendment No. 33 to Schedule 13D with the SEC on October 6, 2026, disclosing a decrease in their aggregate beneficial ownership of IES Holdings, Inc. (IESC) from approximately 53.2% to 51.7%. The decrease was driven by dilution from the issuance of 430,974 new shares of common stock in connection with IES Holdings' acquisition of DBM Global, Inc., which closed on October 5, 2026. No transactions in IESC common stock were effected by the reporting persons in the last 60 days.

• · The filing is Amendment No. 33 to a Schedule 13D originally filed on May 18, 2006.
• · No transactions in IESC common stock were effected by the reporting persons in the last 60 days.
• · The decrease in ownership percentage is solely due to dilution from the DBM Global acquisition share issuance, not from any sales by the Tontine group.
• · Jeffrey L. Gendell's beneficial ownership includes phantom stock units (PSUs) convertible into common stock.
• · All securities were purchased with working capital and on margin, or granted to Mr. Gendell under the IES Holdings 2006 Equity Incentive Plan (as amended).

06-10-2026

First Command Advisory Services, Inc. filed a Schedule 13G with the SEC disclosing beneficial ownership of 10,929,235 shares of BNY Mellon ETF Trust, representing 25.0% of the 458,262,815 shares outstanding as of September 30, 2026. The filing indicates 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 made under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not with the purpose of changing or influencing control.
• · First Command Advisory Services, Inc. is incorporated in Texas and has its principal business address at 1 FirstComm Plaza, Fort Worth, TX 76132.
• · The Schedule 13G was filed on October 6, 2026, with an effective date of change as of the same date.

06-10-2026

Citadel Advisors LLC and related entities, including Kenneth Griffin, filed a Schedule 13G with the SEC on October 6, 2026, disclosing a combined beneficial ownership of 3,102,815 shares of Starfighters Space, Inc. (FJET), representing 6.3% of the company's outstanding shares. 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. This is a passive investment disclosure, with no negative or declining metrics reported.

• · The filing is a Schedule 13G, indicating passive investment intent.
• · The shares are held of record by Citadel CEMF Investments Ltd. and Citadel Securities LLC.
• · The percentage ownership is based on 49,626,351 shares outstanding as of June 8, 2026.
• · The filing was made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
• · A joint filing agreement was executed by all reporting persons.

06-10-2026

Citadel Advisors LLC and related entities, including Kenneth Griffin, disclosed a 7.3% beneficial ownership stake in Quantinuum Inc. as of June 30, 2026, through a Schedule 13G filing. The filing indicates that Citadel Advisors LLC beneficially owns 2,299,997 shares (7.0% of outstanding), while Citadel Securities LLC holds 103,430 shares (0.3%). The aggregate position of 2,403,427 shares held by Kenneth Griffin represents a significant passive investment in the quantum computing company.

• · The filing is a Schedule 13G (passive investment) under Rule 13d-1(c), indicating the shares were not acquired to change or influence control of Quantinuum.
• · Citadel Multi-Strategy Equities Master Fund Ltd. is the record holder of the shares attributed to Citadel Advisors.
• · The filing date is October 6, 2026, with beneficial ownership measured as of June 30, 2026.
• · Quantinuum Inc. is incorporated in Delaware and classified under SIC 7373 (Services-Computer Integrated Systems Design).

06-10-2026

Citadel Advisors LLC and related entities, including Kenneth Griffin, filed a Schedule 13G with the SEC on October 6, 2026, disclosing a 5.9% beneficial ownership stake in REALLOYS INC. (formerly BLACKBOXSTOCKS INC.). The filing indicates Citadel Advisors holds 4,029,792 shares (5.9%), while Kenneth Griffin individually holds 4,209,692 shares (6.1%), with the securities acquired and held in the ordinary course of business and not for control purposes.

• · The issuer, REALLOYS INC., was formerly known as BLACKBOXSTOCKS INC. until a name change on March 31, 2016.
• · The shares are held of record by Citadel CEMF Investments Ltd. and Citadel Securities LLC.
• · The filing is made under Rule 13d-1(b), indicating passive investment intent.
• · Citadel Advisors LLC is the portfolio manager for Citadel CEMF Investments Ltd.
• · The filing date is October 6, 2026, with the beneficial ownership effective as of June 30, 2026.
• · No sole voting power or sole dispositive power is reported for any reporting person; all power is shared.

06-10-2026

Citadel Securities GP LLC and related entities, including Kenneth Griffin, disclosed a 5.7% beneficial ownership stake in AmpliTech Group, Inc. as of June 30, 2026, holding 1,443,191 shares of common stock. The filing is a Schedule 13G, indicating passive investment intent, and no prior period comparison is available.

• · The filing is made under Rule 13d-1(b), indicating passive investment intent.
• · Citadel Advisors LLC, Citadel Advisors Holdings LP, and Citadel GP LLC each reported 0% beneficial ownership.
• · The total shares outstanding used for the calculation is 25,338,827, which includes 28 shares issuable upon conversion of certain warrants held by affiliates.
• · The filing date is October 6, 2026, with the beneficial ownership date as of June 30, 2026.

06-10-2026

Citadel Advisors LLC and related entities, including Kenneth Griffin, filed a Schedule 13G disclosing beneficial ownership of 5,177,215 American Depositary Shares (each representing eight common shares) in Eco Wave Power Global AB (publ), representing 9.99% of outstanding shares. The filing indicates the shares were acquired and are held 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.
• · The beneficial ownership calculation is based on 51,823,979 Shares outstanding, which includes 1,906,671 Shares issuable upon conversion of certain warrants held by affiliates of the reporting persons.
• · The warrants are subject to terms that limit exercise if, after such exercise, the beneficial owner and its affiliates would beneficially own more than 9.9% of the number of shares of common stock outstanding immediately after exercise.
• · Citadel Advisors LLC is the portfolio manager for Citadel CEMF Investments Ltd., which holds the shares of record.
• · The filing includes a joint filing agreement among all reporting persons.

06-10-2026

Millennium Management LLC and related entities filed a Schedule 13G/A disclosing beneficial ownership of 5,811,404 shares of Sweetgreen, Inc. Class A Common Stock, representing 5.4% of shares outstanding as of September 29, 2026. The filing reflects a passive investment stake, with the entities certifying the securities were not acquired to change or influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) filed on October 6, 2026, with a date of change of October 6, 2026.
• · The securities are held by entities subject to voting control and investment discretion by Millennium Management LLC and/or other investment managers controlled by Millennium Group Management LLC and Israel A. Englander.
• · The filing includes a joint filing agreement among the reporting entities dated October 5, 2026.
• · The filing is made under Rule 13d-1(c), indicating the securities were acquired in the ordinary course of business and not with the purpose of changing or influencing control.

06-10-2026

This SC 13G/A filing discloses that Michal Adam Karminski beneficially owns 726,553 shares of Grayscale Zcash Trust (ZEC), representing 3.313% of the trust's outstanding shares, as of October 5, 2026. The filing indicates a 100% ownership of the reported shares, with no disposals or changes in control intent. The trust, formerly known as Grayscale Zcash Trust (ZEC) and Zcash Investment Trust, is domiciled in Delaware and headquartered in Stamford, CT.

• · Filing date: October 6, 2026; beneficial ownership date: October 5, 2026.
• · Filing type: Schedule 13G/A (Amendment), filed under Rule 13d-1(c).
• · Issuer: Zcash ETF (formerly Grayscale Zcash Trust (ZEC)), CIK 0001720265, SEC File Number 005-95941.
• · Reporting person: Michal Adam Karminski, an individual based in Monaco (Bd d'Italie 74, Etage 1, 98000).
• · No shares are held with the purpose of changing or influencing control of the issuer.
• · No disposals or changes in ownership from the prior filing are indicated in this amendment.

06-10-2026

Michael Williams and his entity MWP Entertainment Group, LLC filed a Schedule 13D disclosing beneficial ownership of a controlling stake in Bravo Multinational Inc. (BRVO). Through a Share Purchase Agreement dated September 18, 2026, MWP acquired 1,621,026 shares of Series A Preferred Stock (convertible into 162,102,600 common shares) for $3,161,000 in cash, debt forgiveness, and in-kind licenses, giving MWP 77.29% voting control on an as-converted basis. Additionally, an Option Agreement grants MWP the right to purchase further Preferred Stock for $1,500,000 within one year, and a shareholder rights plan with a 15% threshold was adopted, exempting MWP.

• · The Share Purchase Agreement was dated September 18, 2026, and the Board was reconstituted on the same date with Michael Williams appointed Chairman.
• · The per-share price of Preferred Stock was derived from a Common Stock price of $0.0195, the volume-weighted average price for the 10 days ended September 17, 2026.
• · The MDW & GRW Trust holds 2,000,000 shares of Common Stock acquired in an April 11, 2023 private transaction.
• · The Option Agreement is exercisable in whole only during the one-year period from September 18, 2026 to September 18, 2027, and is freely assignable by MWP.
• · The Rights Plan has a 15% Acquiring Person threshold, expires September 18, 2030, and Rights are redeemable at $0.0001.
• · Michael Williams disclaims beneficial ownership of securities held by MWP and the trusts except to the extent of his pecuniary interest.

06-10-2026

Capital Research Global Investors (CRGI) disclosed beneficial ownership of 17,152,902 shares of Royal Caribbean Cruises Ltd., representing 6.4% of the 267,452,084 shares outstanding as of September 30, 2026. The filing is an amendment to Schedule 13G, indicating passive investment intent, with no change in control or purpose to influence control.

• · CRGI is a division of Capital Research and Management Company and its affiliates.
• · The filing is made under Rule 13d-1(b), indicating passive investment.
• · The shares are held in the ordinary course of business, not for changing or influencing control.
• · The filing date is October 6, 2026, with the beneficial ownership date as of September 30, 2026.

06-10-2026

Tang Capital Management, LLC and related entities (collectively the Reporting Persons) filed a Schedule 13G on October 6, 2026, converting their prior Schedule 13D filing to a 13G to reflect that they no longer hold the shares with the purpose or effect of changing or influencing control of Atea Pharmaceuticals, Inc. The group beneficially owns 4,814,700 shares of common stock, representing 6.0% of the 80,204,699 shares outstanding as of August 10, 2026. This filing indicates a passive investment stance by the Tang Capital group.

• · The Schedule 13G is filed as Amendment No. 2 to the original Schedule 13D filed on May 22, 2023, and amended on November 27, 2023.
• · The filing is made under Rule 13d-1(h) to reflect that the Reporting Persons no longer hold the securities with a purpose or effect of changing or influencing control of the Issuer.
• · Tang Capital Partners IV, Inc. holds 0 shares.
• · Tang Capital Management, LLC is the general partner of Tang Capital Partners, LP and Tang Capital Partners International, LP.
• · Kevin Tang is the manager of Tang Capital Management, LLC and Chief Executive Officer of Tang Capital Partners III, Inc. and Tang Capital Partners IV, Inc.

06-10-2026

Longview Asset Management, LLC filed an amendment to its Schedule 13D beneficial ownership report for General Dynamics Corp (GD), disclosing it beneficially owns 24,388,917 shares of common stock as of October 1, 2026. This represents approximately 9.0% of the outstanding shares, calculated based on 270,557,195 shares outstanding as of July 5, 2026. The filing is a routine periodic update with no change in ownership percentage or intent disclosed.

• · This is Amendment No. 31 to the original Schedule 13D filed on January 2, 1970, indicating a long-standing relationship spanning over 56 years.
• · The filing was made by Longview Asset Management, LLC, formerly known as Longview Management Group LLC (name changed May 13, 1999).
• · The beneficial ownership calculation is based on Rule 13d-3 under the Exchange Act.
• · The outstanding share count of 270,557,195 is sourced from General Dynamics' Form 10-Q for the fiscal quarter ended July 5, 2026, filed July 29, 2026.

06-10-2026

BML Investment Partners, L.P. filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 2,764,610 shares of Outset Medical, Inc. common stock, representing 14.7% of the outstanding shares. The filing indicates no change in control intent and was made under Rule 13d-1(c).

• · The filing is an amendment (Schedule 13G/A) filed on October 6, 2026.
• · The shares are held directly by BML Investment Partners, L.P., a Delaware limited partnership.
• · Braden M. Leonard is deemed the indirect owner of the shares through his role as managing member of the general partner.
• · The reporting persons disclaim forming a statutory group under Rule 13d-5(b)(1).
• · The filing certifies the securities were not acquired to change or influence control of the issuer.

06-10-2026

Capital World Investors disclosed a 12.2% beneficial ownership stake in New Fortress Energy Inc. (NFE) as of September 30, 2026, holding 1,991,515 shares. The filing was made on Schedule 13G, indicating passive investment intent without any aim to influence control. The stake was acquired and is held in the ordinary course of business.

• · The filing was made under Rule 13d-1(b), confirming passive investment status.
• · Capital World Investors' beneficial ownership includes 1,980,728 shares with sole voting power and 1,991,515 shares with sole dispositive power.
• · The filing date is October 6, 2026, with the event date as of September 30, 2026.

06-10-2026

Capital World Investors (CWI) filed a Schedule 13G/A with the SEC on October 6, 2026, disclosing beneficial ownership of 8,565,040 shares of Aura Minerals Inc., representing 10.2% of the 83,836,843 shares outstanding as of September 30, 2026. The filing indicates CWI acquired the shares in the ordinary course of business without intent to change or influence control of the issuer.

• · The filing is an amendment (SC 13G/A) to a previous Schedule 13G.
• · CWI is a division of Capital Research and Management Company and its affiliated investment management entities.
• · The shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control.
• · The filing was signed on October 5, 2026, and filed on October 6, 2026.

06-10-2026

Capital World Investors disclosed a 10.1% beneficial ownership stake in Skyworks Solutions, Inc., holding 15,174,123 shares as of September 30, 2026. The filing is a routine Schedule 13G by a passive institutional investor, indicating no intent to change or influence control of the company.

• · The filing was made under Rule 13d-1(b), confirming passive investment intent.
• · Capital World Investors is a division of Capital Research and Management Company and its affiliates.
• · No shares are held with the purpose of changing or influencing control of the issuer.

06-10-2026

BML Investment Partners, L.P. and its managing member Braden M. Leonard filed a Schedule 13G disclosing beneficial ownership of 4,264,400 ordinary shares (6.77%) in Connect Biopharma Holdings Ltd as of September 30, 2026. The filing indicates the shares are not held with the purpose of changing or influencing control of the company. The disclosure shows a passive investment stake rather than an active acquisition event.

• · Filing is under Rule 13d-1(c), indicating passive investment intent without control influence
• · Share par value is $0.000174 per share
• · BML Investment Partners is a Delaware limited partnership based in Zionsville, Indiana
• · Connect Biopharma is incorporated in the Cayman Islands (E9) with principal office in San Diego, California