US Activist Hedge Fund Institutional SEC 13D 13G — October 20, 2026

20-10-2026

Ascent Capital Partners LLC and its principals (Jonathan Loeffler and Mark A. Pomeroy Jr.) filed an amended Schedule 13D reporting beneficial ownership of 9,310,922 Class A shares of Innventure, Inc. (INVLW), or 10.72% of Class A common stock. The filing discloses recent purchases of 1,738,498 shares on October 16, 2026 and 2,702,138 shares on October 19, 2026, and an October 19, 2026 letter to the Board criticizing a planned sale of up to $60 million of stock as materially undervaluing the company and diluting shareholders. Ascent's own filing describes the position as held for investment, with the cost of the reported position stated at approximately $1,421,220.

• · Ascent's stake is reported as 10.72% based on 84.6 million Class A shares outstanding plus warrants, so the percentage may differ if warrants are excluded
• · The reporting persons state they engaged, and intend to continue engaging, in discussions with management and the Board on strategy and governance
• · Ascent's clients pay asset-based and performance fees, some tied to profits on Issuer securities
• · Ascent also holds securities in private companies in which Innventure has ownership

20-10-2026

RBC Rochdale, LLC, as investment manager and adviser to separately managed accounts, filed an amended Schedule 13D on October 20, 2026 reporting beneficial ownership of 13,506,519 shares (97.3%) of City National Rochdale Select Strategies Fund, a closed-end, non-diversified management investment company. The filing discloses recent purchases and redemptions by the managed accounts during the 60-day window, along with a delegation of proxy voting authority to Glass, Lewis & Co. Sentiment is neutral, as the filing is a routine beneficial ownership disclosure with no change in control intent stated.

• · Reporting person holds sole dispositive power over 13,506,519 shares with zero sole voting power, as voting authority is delegated to Glass Lewis under a Master Services Agreement dated February 23, 2022.
• · The 08/14/2026 event was a redemption of 191,583.09 shares, which is the largest transaction in the 60-day window and a net outflow, while the subsequent 08/27 and 09/28 transactions were purchases totaling about 21,610.72 shares.
• · Share prices rose across the period from $17.10 to $17.89, roughly a 4.6% increase, and the filing states the shares were acquired at net asset value.
• · The filing is an amendment (Amendment reflecting an event date of 08/31/2026) and states the holdings are for investment purposes in the ordinary course, with no stated intent to influence control of the Issuer.

20-10-2026

RBC Rochdale, LLC, as investment manager and adviser to the Issuer and to separately managed accounts, filed an amended Schedule 13D on October 20, 2026 reporting beneficial ownership of 41,397,534 Shares of City National Rochdale Strategic Credit Fund, representing 92.9% of the class. The filing discloses recent purchases from the Fund and a redemption of Shares by separately managed accounts, and confirms that voting authority for these Shares has been delegated to Glass, Lewis & Co., LLC under a Master Services Agreement dated February 23, 2022.

• · Net purchases over the reported window total roughly 1.1 million Shares (601,583 + 500,113 purchased versus 2,515,642 redeemed), implying a net reduction of about 1.4 million Shares
• · Voting of Shares held by separately managed accounts has been fully delegated to Glass, Lewis & Co. under a Master Services Agreement renewing annually unless 60 days' notice of non-renewal is given
• · The filing states the Shares were acquired at net asset value over several years and are held for investment purposes in the ordinary course, with no stated intent to change control

20-10-2026

Saba Capital Management, L.P., together with Saba Capital Management GP, LLC and Boaz R. Weinstein, filed Amendment No. 6 to Schedule 13D on October 20, 2026, disclosing that they no longer beneficially own any Common Shares of Voya Emerging Markets High Dividend Equity Fund (IHD). The Issuer liquidated the shares on October 16, 2026 under a reorganization into Voya Multi-Manager Emerging Markets Equity Fund. The filing reports zero beneficial ownership and no transactions in the prior sixty days.

• · Filing references a Form 425 filed by the Issuer on August 24, 2026 and a Form 25-NSE filed October 19, 2026 related to the reorganization
• · Saba previously pursued activist-style objectives in IHD, including trading at a discount to NAV, board appointments, governance, and potential liquidation or open-ending of the fund, as stated in Item 4
• · Saba's funds retained the right to dividends and sale proceeds from the Common Shares up to the liquidation date
• · Filing is Amendment No. 6 and the Reporting Persons state they are no longer beneficial owners under Section 13 of the Exchange Act

20-10-2026

Brown Brothers Harriman & Co. (BBH) filed an amended Schedule 13D reporting beneficial ownership of 3,887,921.28 Class S Units of AMG BBH Asset-Backed Credit Fund, LLC, representing 68.09% of the class on an aggregate basis, including 460,615.95 units (8.07%) held by BBH's subsidiary Brown Brothers Harriman Credit Partners, LLC. The amendment discloses six purchases of Class S Units between October 7 and October 19, 2026, at prices of approximately $11.38 to $11.39 per unit, funded from working capital and client account assets.

• · Filing is Amendment to the original Schedule 13D filed July 14, 2026; reporting event date is October 16, 2026
• · Credit Partners and Client Accounts acquired additional Class S Units from the Issuer using working capital and client account funds respectively
• · Reporting persons made no other securities transactions in the sixty days prior to filing beyond those listed in Exhibit 99.2
• · Joint Filing Agreement dated July 14, 2026 incorporated by reference as Exhibit 99.1
• · Filing was signed October 20, 2026; Item 2 identifies BBH as a bank holding company (HC) and Credit Partners as an investment adviser (IA)

20-10-2026

Goldenwise Capital Group Ltd and its controlling member Huakun (Richard) Ding filed an amended Schedule 13D reporting beneficial ownership of 1,882,869 shares of Phunware, Inc. (PHUN) common stock, representing 9.1% of outstanding shares. The filing discloses an August 21, 2026 notice nominating Mona Zhang for election to the board at the 2026 Annual Meeting, a stated belief that Phunware is undervalued, and ongoing open-market purchases plus short option positions in the past 60 days. Sentiment is mixed given the activist posture alongside the stake's reliance on options and leverage-eligible working capital.

• · Purchases of common stock in September and October 2026 were executed at prices from about $1.97 to $2.12, with several purchases of 87,500, 48,400, and 9,700 shares at $2.50 explicitly tagged as short put exercises
• · Options activity over the past 60 days included short-to-open puts and calls at a $2.50 strike across October 2026, November 2026, and January 2027 expirations, indicating a hedged or derivative-heavy position
• · Reporting persons state they believe Phunware is undervalued and intend to evaluate options to improve alignment, governance, and execution, and may seek board representation or engage other shareholders
• · Filing notes the purchases were funded with working capital that may include brokerage margin loans

20-10-2026

S.H.N. Financial Investments Ltd. filed a Schedule 13G reporting beneficial ownership of 260,396 Class A Ordinary Shares of Digital Currency X Technology Inc. (formerly Chijet Motor Company, Inc.), representing 9.99% of the class, held as Series A Warrants subject to a 9.99% beneficial ownership limitation. The filing reports a LIVE status with an event date of 10/13/2026 and is filed under Rule 13d-1(c) with a passive-investor certification. An additional 188,889 Series A Warrants are excluded from the reported amount due to the same limitation.

• · Filer certifies the securities were not acquired for the purpose of or with the effect of changing or influencing control of the issuer (passive investor status under Rule 13d-1(c))
• · Issuer was formerly named Chijet Motor Company, Inc. (name changed December 7, 2022), though the filing lists the current name Digital Currency X Technology Inc.
• · Filer is based in Herzliya, Israel; issuer's business address is in Yantai, Shandong, China, with a Hong Kong address listed on the cover page
• · Nir Shamir may be deemed to beneficially own the securities as CEO of the filer but disclaims beneficial ownership for all other purposes

20-10-2026

Harel Insurance Investments & Financial Services Ltd. filed a Schedule 13G reporting beneficial ownership of 2,424,529 Ordinary Shares of Elbit Systems Ltd (ESLT), representing 5.2% of the 46,848,460 shares outstanding as of June 17, 2026. The position is reported as passive (Rule 13d-1(c)), with the filer certifying the shares are not held to influence control of the issuer. Most of the reported shares (2,351,970) are held for public-fund and policyholder accounts managed by subsidiaries operating under independent management.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(c), a passive-investor certification rather than an activist or control filing
• · Harel reports zero sole voting power and 2,424,529 shared dispositive power, with Item 4 noting independent management of underlying subsidiaries
• · Event date is 10/14/2026, with the filing made 10/20/2026

20-10-2026

Norbel Investments, S.L. filed a Schedule 13G reporting beneficial ownership of 1,659,574 shares of Papa John's International Inc (PZZA) common stock, representing 5.04% of the class, as of October 19, 2026. The filing is made under Rule 13d-1(c) as a passive holder, with the reporting person certifying the shares were not acquired to influence control of the issuer. No change in control intent or regulatory action is indicated.

• · Beneficial ownership is determined under the 'rule of three': three equal directors each hold one vote and none is deemed a beneficial owner of the shares
• · Filing status is LIVE and the reporting person is Spain-based (Madrid)
• · Shares held are reported with zero shared voting or dispositive power

20-10-2026

JP Sailing Capital Ltd and Jianping Huang jointly filed a Schedule 13G reporting beneficial ownership of 455,001 shares of NextCure, Inc. (NXTC) common stock, representing 9.9% of outstanding shares (approximately 9.94% before rounding), as of September 30, 2026. The holding is held directly by JP Sailing Fund, which JP Sailing Capital Ltd manages as investment manager; the filing is a passive-investor disclosure under Rule 13d-1(b) and does not indicate any intent to influence control of the issuer.

• · Filing is a Schedule 13G (LIVE) under Rule 13d-1(b), indicating a passive institutional-type holder rather than a 13D activist filing
• · JP Sailing Capital Ltd is a British Virgin Islands entity classified as a non-U.S. investment adviser (investment manager)
• · Reporting persons certify the shares were acquired in the ordinary course and not to change or influence control of the issuer
• · Share count denominator is based on the Issuer's 10-Q filed August 6, 2026

20-10-2026

Truist Financial Corporation filed an amended Schedule 13G reporting beneficial ownership of 961,480 shares, or 18.85% (reported as 18.9%), of First Trust Exchange-Traded Fund IV (CUSIP 33738D838) as of September 30, 2026. The holding is reported through Truist Advisory Services, Inc., an affiliated registered investment advisor, and the filer certifies the position was acquired and is held in the ordinary course of business without intent to influence control. The filing is a routine passive-ownership disclosure with no change in control or transaction described.

• · Filing type is SCHEDULE 13G/A (amendment) filed under Rule 13d-1(b) by a bank holding company (HC) and investment adviser (IA).
• · Truist reports zero sole voting power and zero shared voting power, with 961,480 shares reported for sole dispositive power and no shared dispositive power, indicating investment discretion rather than voting control.
• · Certification states the holding is passive and not intended to change or influence control of the issuer.
• · Filer's principal office is at 214 North Tryon Street, Charlotte, NC; Truist Financial Corporation is a North Carolina corporation, with predecessor names BB&T Corp and Southern National Corp.

20-10-2026

Truist Financial Corporation filed an amended Schedule 13G (Amendment reporting status as of 09/30/2026) disclosing beneficial ownership of 300,023 shares of Pacer Funds Trust, an exchange-traded fund, representing 30.0% of the class. The position is held through Truist Advisory Services, Inc., an affiliated registered investment adviser, with Truist reporting sole voting and dispositive power over all shares. This is a passive ownership disclosure filed under Rule 13d-1(b), and the filing contains no change-in-control or activist intent.

• · Filing is an amendment to a prior Schedule 13G (prior accession 0000092230-25-000079), so the position was previously reported in 2025
• · Filer is a bank holding company (Standard Industrial Classification: National Commercial Banks); reporting person type is IA (investment adviser) and HC (holding company)
• · Certification states the securities were acquired and are held in the ordinary course of business without intent to influence control of the issuer

20-10-2026

Truist Financial Corporation filed an amended Schedule 13G (Rule 13d-1(b), LIVE) reporting beneficial ownership of 3,069,109 shares of Federated Hermes ETF Trust (CIK 0001849998, CUSIP 31423L404), representing 10.8% of the class as of September 30, 2026. The holding is reported on a sole-voting-power and sole-dispositive-power basis through Truist Advisory Services, Inc., a registered investment advisor, with Truist filing as a parent holding company. This is a routine passive beneficial ownership disclosure with no change of control intent certified.

• · Filing is a Schedule 13G/A with LIVE status, filed under Rule 13d-1(b), indicating an institutional passive filer
• · Reported holdings are held through Truist Advisory Services, Inc., a Delaware-incorporated registered investment advisor affiliate
• · Truist certifies the shares were acquired and held in the ordinary course of business and not to influence control of the issuer
• · Filing references a prior accession number (0000092230-26-000026), indicating this is an amendment to an earlier 13G

20-10-2026

Truist Financial Corporation filed an amended Schedule 13G reporting beneficial ownership of 161,514 shares, representing 7.34% of Hartford Funds Exchange-Traded Trust, held through its affiliated registered investment advisor Truist Advisory Services, Inc. The filing reports sole voting and dispositive power over all reported shares and is made under Rule 13d-1(b) as a passive holding in the ordinary course of business rather than to influence control.

• · Reporting person is a North Carolina corporation and parent holding company; Truist Advisory Services, Inc. is a Delaware-incorporated registered investment advisor
• · Filing is an amendment to a prior Schedule 13G (prior accession 0000092230-26-000040), with an event date of September 30, 2026
• · Filed under Rule 13d-1(b) with reporting person classified as IA (investment adviser) and HC (holding company)
• · Certifies securities were acquired and held in the ordinary course of business, not to change or influence control of the issuer

20-10-2026

Truist Financial Corporation, filing as parent holding company for Truist Advisory Services, Inc., reported beneficial ownership of 55,455 shares of Calamos ETF Trust, representing 6.2% of the class, as of September 30, 2026. The filing is an amendment to a Schedule 13G, filed under Rule 13d-1(b) on a passive investment basis, with sole voting and dispositive power over all reported shares. The filing contains no changes in control intent and no offsetting negative or flat metrics beyond the stake's modest size.

• · Holding is reported under Rule 13d-1(b) with reporting person categories IA (investment adviser) and HC (holding company), indicating a passive, ordinary-course position rather than an activist stake.
• · Certification states the shares were not acquired and are not held to influence control of the issuer.
• · Filing period date is September 30, 2026, while the filing was submitted October 20, 2026; the document header references a prior 2025 accession number, consistent with an amendment to an earlier Schedule 13G.

20-10-2026

Picton Mahoney Asset Management filed an amended Schedule 13G (LIVE) for Launch One Acquisition Corp. (LPAAW), reporting that as of 09/30/2026 it beneficially owns 0 Class A Ordinary Shares, representing 0.0% of the class. The filing indicates the filer has ceased to hold a reportable beneficial ownership position in the blank-check company.

• · Filing was made under Rule 13d-1(b) by a Canadian investment fund manager (foreign regulatory scheme certification included)
• · Reporting event date is 09/30/2026; filing date is 10/20/2026
• · Subject company is a blank-check (SPAC) entity with CUSIP G5S86M100, headquartered in Oakland, CA

20-10-2026

Picton Mahoney Asset Management filed a Schedule 13G reporting beneficial ownership of 1,400,000 Class A shares of Blue Water Acquisition Corp. III (BLUWW), representing 5.39% of the class as of September 30, 2026. The filing is made under Rule 13d-1(b) by a Canadian investment fund manager with sole voting and dispositive power over all reported shares. This is a passive ownership disclosure and reports no acquisition transaction or change in control.

• · Holdings are as of September 30, 2026; the filing was dated October 20, 2026
• · Filed under Rule 13d-1(b), indicating a qualified institutional investor filing rather than an activist 13D
• · Picton Mahoney reports sole voting and sole dispositive power over all 1,400,000 shares, with no shared power
• · Filer is classified as an Investment Fund Manager based in Toronto, Canada, and certifies comparability of its foreign regulatory regime

20-10-2026

Picton Mahoney Asset Management, a Toronto-based investment fund manager, filed a Schedule 13G reporting beneficial ownership of 700,000 Class A Ordinary Shares of Pono Capital Four, Inc. (PONO), representing 5.74% of the class as of September 30, 2026. The filing is a passive, Rule 13d-1(b) disclosure with sole voting and dispositive power over all reported shares; it does not indicate an acquisition, change of control, or any operational event at the company.

• · Filing type is a LIVE Schedule 13G under Rule 13d-1(b), indicating a qualified institutional investor certification rather than an activist 13D filing
• · Filer certifies the foreign regulatory scheme (Canada) is substantially comparable to U.S. equivalent institutions
• · Reported ownership is measured as of 09/30/2026 and the filing was submitted October 20, 2026
• · Pono Capital Four is a blank-check (SPAC) company headquartered in Honolulu, Hawaii

20-10-2026

Picton Mahoney Asset Management filed a Schedule 13G reporting beneficial ownership of 575,000 Class A Ordinary Shares of Social Commerce Partners Corp (SCPQ), representing 5.56% of the class as of September 30, 2026. The filing is made under Rule 13d-1(b) by a Canadian investment fund manager, with sole voting and dispositive power over all reported shares. No sentiment-driving operational or financial results are disclosed.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(b), indicating a passive institutional holder certifying that the shares were not acquired with the purpose or effect of changing or influencing control
• · Filer is a foreign (Canadian, Toronto-based) investment fund manager certifying its foreign regulatory scheme is substantially comparable to U.S. requirements
• · Subject company is a blank-check (SPAC-classified, SIC 6770) Cayman Islands entity with a Plano, Texas mailing address
• · Event date of reportable change is 09/30/2026; filing date is 10/20/2026

20-10-2026

Picton Mahoney Asset Management, a Toronto-based investment fund manager, filed a Schedule 13G on October 20, 2026 disclosing beneficial ownership of 599,996 Class A ordinary shares of United Acquisition Corp. I (UAC), representing 5.74% of the class as of September 30, 2026. The filing reports sole voting and dispositive power over all reported shares and is filed under Rule 13d-1(b) as a passive institutional holder.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(b), indicating a qualified institutional investor (investment fund manager) rather than an activist filer
• · Filer's reported position is 599,996 shares with zero shared voting or dispositive power
• · United Acquisition Corp. I is a blank check company (SIC 6770) headquartered in Boca Raton, Florida
• · Filer certifies that the foreign regulatory scheme applicable to it is substantially comparable to U.S. equivalent institutions

20-10-2026

Baillie Gifford & Co. filed an amended Schedule 13G reporting beneficial ownership of 4,554,894 Class A shares of Duolingo, Inc. (DUOL), equal to 11.3% of the class, as of September 30, 2026. Of these, 2,820,038 shares carry sole voting power and the full 4,554,894 carry sole dispositive power, with no shared voting or dispositive power reported. The filing is made under Rule 13d-1(b) as an investment adviser, and the filer states the holdings are in the ordinary course of business rather than for control purposes.

• · Filing is a Schedule 13G/A filed under Rule 13d-1(b), indicating an institutional passive-investor filer (investment adviser, Scotland-domiciled).
• · Holdings are held on behalf of advisory clients, which may include registered investment companies, employee benefit plans, pension funds, or other institutional clients.
• · Reporting person certifies that the shares were not acquired and are not held to change or influence control of Duolingo.

20-10-2026

Baillie Gifford & Co filed an amended Schedule 13G (Amendment No. 6) reporting beneficial ownership of 7,336,613 Class A ordinary shares of Oddity Tech Ltd (ODD), representing 21.2% of the class as of September 30, 2026. The filing is made under Rule 13d-1(b) as an investment adviser, with sole voting power over 7,309,544 shares and sole dispositive power over 7,336,613 shares. The holdings are reported as held on behalf of advisory clients, including Scottish Mortgage Investment Trust, which holds more than 5% of the class.

• · Filing is Amendment No. 6 to the original Schedule 13G, with event date of 09/30/2026 and filing date of 10/20/2026
• · Baillie Gifford is an Edinburgh, Scotland-based investment adviser filing under Rule 13d-1(b), certifying the holdings were acquired in the ordinary course without intent to influence control
• · Holdings are concentrated in Scottish Mortgage Investment Trust, a UK-registered investment company managed by Baillie Gifford, which holds more than 5% of the class

20-10-2026

Baillie Gifford & Co filed an amended Schedule 13G reporting beneficial ownership of 8,531,266 Class A shares of Sweetgreen, Inc. (approximately 8.0% of the class) as of September 30, 2026, held in its capacity as an investment adviser on behalf of advisory clients. The filing is a passive, ordinary-course disclosure under Rule 13d-1(b) with a certification that the shares were not acquired to influence control; it contains no transaction price, deal terms, or change in control.

• · Filing reports Baillie Gifford's position as of 09/30/2026 and was signed 10/05/2026, filed 10/20/2026
• · Baillie Gifford holds shares as an investment adviser (filer type IA, Scotland-based), so it reports under Rule 13d-1(b) rather than as an activist 13D filer
• · Filing is an amendment to a prior 13G reported in 2023 (accession 0001088875-23-000018)

20-10-2026

Geneva Capital Management LLC filed an amended Schedule 13G reporting that, as of September 30, 2026, it beneficially owns 0 shares of i3 Verticals, Inc. (IIIV) Class A Common Stock, or 0.0% of the class, with sole and shared voting and dispositive power both at zero. The filing indicates the investment adviser has fully exited its reported position, which is a change from prior disclosed holdings and signals a complete reduction rather than an accumulation.

• · Filer classified as an investment adviser (IA) under Rule 13d-1(b), a passive institutional filing category
• · Certification states the securities were not acquired or held to influence control of the issuer
• · Filing type is LIVE, indicating an ongoing amendment cycle rather than a one-time disclosure

20-10-2026

Jeff Toghraie and Intrepid Global Advisors filed Amendment No. 9 to their Schedule 13D on Axil Brands, Inc. (AXIL) to report that a Voting Agreement and Irrevocable Proxy with Don Frank Nathaniel Vasquez expired on October 17, 2026, removing 1,275,000 Vasquez-held shares from Intrepid's voting authority and removing Vasquez as a Reporting Person. Following the change, Toghraie reports beneficial ownership of 2,524,538 shares (about 31.2%) and Intrepid reports 2,019,538 shares (about 26.6%), based on 6,822,681 shares outstanding as of October 2, 2026. The filing reflects a reduction in voting control rather than an acquisition or sale of shares.

• · Voting Agreement and Irrevocable Proxy dated October 17, 2023 expired by its terms effective October 17, 2026, and Vasquez is no longer a Reporting Person
• · Toghraie holds sole dispositive power over 505,000 shares: 155,000 options at $1.80 (granted May 10, 2022, expire April 20, 2032, fully vested) and 350,000 options at $4.01 (granted October 14, 2024, expire October 31, 2034, vesting in 48 monthly installments)
• · Preferred Stock convertible on a 20-for-1 basis, capped so the holder does not exceed 5% beneficial ownership under Sections 13(d) and 13(g)
• · Filing is Amendment No. 9 to the Schedule 13D originally filed September 9, 2022; funds sourced as AF/PF/OO for Toghraie and WC/PF for Intrepid

20-10-2026

Yakira Capital Management, Inc. and affiliated reporting persons filed a Schedule 13G disclosing beneficial ownership of 951,121 Class A Ordinary Shares of BOA Acquisition Corp. II, representing 6.52% of the class as of September 30, 2026. The position is held across Yakira Partners, L.P. (158,520 shares, 1.09%), White Oaks Long-Short Portfolio, LLC (79,260 shares, 0.54%), and MAP 136 Segregated Portfolio (713,341 shares, 4.89%), with the filer certifying the shares were acquired in the ordinary course of business without control intent. The filing is a passive, routine beneficial ownership disclosure with no transaction, price, or control-change information disclosed.

• · Filing made under Rule 13d-1(b), indicating filer is an investment adviser (IA) and the filing is a LIVE amendment/initial report with a 09/30/2026 event date
• · Bruce M. Kallins is the controlling shareholder of Yakira Capital Management, Inc. and signs on behalf of all funds and entities
• · BOA Acquisition Corp. II is a blank check company (SIC 6770) headquartered in Washington, DC
• · Class A Ordinary Shares carry par value $0.0001 per share; no sole voting or dispositive power is held outside the reporting group (all shares reported as shared)

20-10-2026

Stephen Arthur Eckinger filed a Schedule 13G on October 20, 2026 reporting beneficial ownership in My Size, Inc. (MYSZ) as of October 13, 2026. On that date he acquired 69,600 shares and disposed of 28,100 shares, leaving him with 41,500 shares, or approximately 4.73% of the 878,036 shares outstanding. The filing is a passive-investor disclosure under Rule 13d-1(c) and the reporting person certifies the holding is not intended to influence control of the issuer.

• · Filing made under Rule 13d-1(c), a passive-investor basis for reporting above 5% thresholds
• · Reporting person's ownership did not exceed 5% at the close of trading on October 13, 2026
• · Reporting person certifies the securities were not acquired for the purpose of changing or influencing control of the issuer
• · Filing indicates status as a LIVE schedule, with the reporting person based in Canton, Ohio, USA
• · The filing's stated 7.93% acquisition figure and 4.73% post-disposal figure reflect a reduction of roughly 40% in holdings on the same day

20-10-2026

RET Ventures and affiliated individuals (John Helm and Christopher Yip) filed an amended Schedule 13G reporting beneficial ownership in SmartRent, Inc. (SMRT) as of September 30, 2026. The aggregate position is 13,643,999 shares for Helm (7.1%) and 11,590,603 shares for Yip (6.0%), with the reporting persons disclaiming group status. The filing is a passive ownership disclosure certifying the securities were not acquired to influence or change control of the issuer.

• · Filing is a Schedule 13G/A under Rule 13d-1(c), indicating a passive investor certification rather than an active control intent.
• · Helm and Yip are Managing Directors of both RET Ventures Strategic Fund GP, LLC and RET Ventures III GP, LLC and share voting and investment authority over all RET-affiliated holdings.
• · Percentages are calculated against 191,611,799 shares outstanding as of August 3, 2026, per the issuer's Form 10-Q filed August 5, 2026.
• · SmartRent was formerly Fifth Wall Acquisition Corp. I, a SPAC, indicating these holders likely originated from the SPAC-to-public transition.
• · The prior Schedule 13G was filed July 1, 2025, and this amendment reflects positions as of September 30, 2026.

20-10-2026

Glazer Capital, LLC and its Managing Member Paul J. Glazer have filed a Schedule 13G disclosing beneficial ownership of 9,427,481 shares of Bumble Inc. (BMBL) Common Stock, representing 7.1% of the outstanding class, as of October 13, 2026. The position is held through Glazer Funds for which Glazer Capital serves as investment manager, and the filing is made under Rule 13d-1(c) as a passive holder certifying the shares are not held to change or influence control of the issuer.

• · Filing is a Schedule 13G under Rule 13d-1(c), indicating a passive investor certification rather than an activist 13D filing
• · Glazer Capital reports sole voting power of 0 and shared voting power of 9,427,481 shares, with the same split for dispositive power
• · Event date of the reportable ownership is October 13, 2026; filing date is October 20, 2026
• · Glazer Capital Enhanced Master Fund, Ltd. is identified as the Glazer Fund with the right to receive or direct proceeds from sale of more than 5% of outstanding shares

20-10-2026

CSS LLC/IL, a Chicago-based investment adviser, filed a Schedule 13G reporting beneficial ownership of 110,800 shares of common stock of Herzfeld Credit Income Fund, Inc (HERZ), representing 5.49% of the outstanding class, as of October 7, 2026. The filing is made under Rule 13d-1(c), a passive ownership certification stating the shares are not held to influence control of the issuer. The filing reports sole voting and dispositive power over all 110,800 shares.

• · Event date of ownership is October 7, 2026, with the filing made October 20, 2026
• · Filing is a passive 13G under Rule 13d-1(c), with the filer certifying no intent to influence control
• · Filer is CSS LLC/IL at 1 North Wacker Drive, Suite 3075, Chicago, Illinois
• · Filing indicates a LIVE (initial/ongoing) status for the Schedule 13G

20-10-2026

John F. Barry III and the John & Daria Barry Foundation filed Amendment No. 13/No. 11 to Schedule 13D reporting a combined beneficial ownership of 134,685,809.01 Shares (25.2% of Prospect Capital Corp's 533,816,849 outstanding shares as of September 21, 2026). Since the May 21, 2026 amendment, Mr. Barry acquired about 4.05 million Shares, of which roughly 3.95 million were open-market purchases with personal funds, while the balance came from dividend reinvestment. The filing reports no sales, so the position is growing through accumulation rather than being reduced.

• · Mr. Barry holds sole voting and dispositive power over 134,231,960.40 Shares (or 134,231,916.42 in the second, internally inconsistent disclosure), and shared power over 453,848.60 Shares held through the Daria Barry IRA
• · The filing contains two inconsistent sole-power figures (134,231,960.40 vs. 134,231,916.42 Shares) and mixed references to Amendment No. 11 and No. 13 for the same filing
• · Recent transactions over the prior 60 days were largely dividend reinvestments at $2.09 to $2.14 per share, with one open-market purchase of 1,217,105 Shares at $2.24 on 9/4/2026

20-10-2026

Beretta Holding S.A. amended its Schedule 13D (Amendment No. 8) to report the acceptance for purchase of 2,400,184 shares of Sturm Ruger & Co Inc (RGR) common stock under its tender offer at $44.80 per share, for an aggregate price of approximately $107,528,243 funded from working capital. The tender offer was oversubscribed: 6,094,325 shares were validly tendered at expiration, so acceptance was prorated at roughly 39.4%. Following the purchase, Beretta reports beneficial ownership of 3,987,184 shares, or approximately 25.0% of Ruger's outstanding common stock.

• · Tender offer commenced September 17, 2026 and expired at 11:59 p.m. New York City time on October 15, 2026
• · Ruger's Schedule 14D-9 was filed with the SEC on September 28, 2026 and is the source of the outstanding share count used for percentages
• · Computershare Trust Company, N.A. acted as depositary for the tender offer
• · Amendment No. 8 follows seven prior amendments to the Schedule 13D, indicating an ongoing and expanding stake-building campaign since at least September 2025

20-10-2026

SS3H Ventures LLC, together with its managers Michael Bernard Hess and Kelly J. Engel, filed a Schedule 13G reporting beneficial ownership of 7,933,332 common shares of Gold X2 Mining Inc. (GSHRF), equal to 7.54% of the class. The position consists of 3,966,666 shares held directly plus 3,966,666 exercisable warrants, each exercisable into one share. The filing is made under Rule 13d-1(d) as a passive, exempt-investor report with an event date of September 30, 2026.

• · Event date of the reportable change is September 30, 2026; the filing was submitted October 20, 2026
• · Reporting persons certify they neither disclaim nor affirm the existence of a group among them
• · Filed under Rule 13d-1(d), indicating an exempt investor rather than an active 13D filer
• · Principal business office of reporting persons is c/o HFO Holdings LLC, 1185 Avenue of the Americas, New York, NY
• · Issuer is a Vancouver-based company whose former name was Goldshore Resources Inc. (name changed January 9, 2023)

20-10-2026

Orca Capital AG filed an amended Schedule 13G reporting beneficial ownership of 2,312,144 Class A Ordinary Shares of DarkIris Inc. (DKI), representing 4.9% of the class, as of October 16, 2026. The filing is made under Rule 13d-1(c) as a passive investor, with a certification that the shares are not held to influence control of the issuer. No change in control or transaction terms is disclosed in the filing text provided.

• · Filing is a passive-investor amendment under Rule 13d-1(c), with a certification that shares are not held for the purpose of changing or influencing control of the issuer
• · Orca Capital AG reports sole voting and dispositive power over all 2,312,144 shares, with no shared power
• · Issuer is a Hong Kong-based (Sheung Wan) company classified under SIC 7372 (prepackaged software), with CIK 0002058584

20-10-2026

Irodakhon Abduvakhitova filed a Schedule 13D reporting beneficial ownership of 58,591,499 shares of common stock of TEG Overseas, Inc. (formerly StageWise Strategies Corp., STWI), representing approximately 31.14% of the 188,142,768 shares outstanding as of October 13, 2026. The stake was received under a Share Exchange Agreement dated October 6, 2026, in which the issuer acquired 99.99999012% of the membership interests in TEG SPV, LLC in exchange for 183,098,434 newly issued shares, closing on October 13, 2026. The reporting person is a director and principal shareholder of the issuer and reports no current plans for further acquisitions, dispositions, or extraordinary transactions beyond those described.

• · Share Exchange Agreement dated October 6, 2026 was filed as Exhibit 2.1 to the issuer's Form 8-K on October 8, 2026
• · The reporting person was previously a principal shareholder of TEG SPV, LLC prior to the exchange
• · The issuer changed its name from StageWise Strategies Corp. (effective October 31, 2023 per filing header)
• · The filing is a Schedule 13D with a 'LIVE' status, indicating an initial or amended filing triggered by a material change in ownership
• · The reporting person disclosed no convictions or securities-law judgments in the past five years

20-10-2026

Saba Capital Management, L.P., together with Saba Capital Management GP, LLC and Boaz R. Weinstein, filed Amendment No. 4 to its Schedule 13D on October 20, 2026, reporting that it no longer beneficially owns any Common Shares of Voya Asia Pacific High Dividend Equity Income Fund (IAE). The shares were liquidated by the Issuer on October 16, 2026 under a reorganization into Voya Multi-Manager Emerging Markets Equity Fund, leaving the Reporting Persons with zero reported voting or dispositive power and no transactions in the past sixty days.

• · Liquidation effective October 16, 2026 via reorganization; Form 425 filed August 24, 2026 and Form 25-NSE filed October 19, 2026
• · Prior stated investment thesis was that Common Shares traded at a discount to net asset value and were undervalued
• · Reporting Persons previously reserved the right to pursue board appointments, governance changes, buybacks, tenders, and liquidation with the Issuer

20-10-2026

Madison Avenue International LP and affiliated reporting persons (led by Eli Samaha) filed a Schedule 13G disclosing beneficial ownership of 6,307,798 shares of Ultragenyx Pharmaceutical Inc. (RARE) common stock, representing approximately 6.4% of outstanding shares as of October 20, 2026. The filing is made under Rule 13d-1(c), a passive-investor designation, and the reporting persons certify the shares are not held to change or influence control of the issuer.

• · Filing is made under Rule 13d-1(c), indicating a passive investor filing rather than an activist or control-seeking stake
• · Reported event date is October 13, 2026, while the percentage and holdings are stated as of October 20, 2026
• · Madison Avenue International LP is a Cayman Islands exempted limited partnership; Madison Avenue Partners, LP is a Delaware limited partnership
• · Voting and dispositive power is reported as shared (6,307,798 shares) with no sole power, and the filing is a joint filing under a Rule 13d-1(k)(2) agreement
• · Percentage is based on 98,588,873 shares outstanding per the issuer's Form 10-Q filed August 5, 2026

20-10-2026

Millennium Management LLC, Millennium Group Management LLC, and Israel A. Englander filed a Schedule 13G reporting beneficial ownership of 3,471,173 shares of Whirlpool Corporation common stock, representing 5.3% of the class, as of October 13, 2026. The filing is made under Rule 13d-1(c) as a passive investor certification, stating the shares were not acquired for the purpose of changing or influencing control of the issuer.

• · Event date of the reportable position is October 13, 2026; filing date is October 20, 2026
• · Reporting persons are a joint filers group under a Joint Filing Agreement dated October 19, 2026
• · Certification states the securities are not held for the purpose of or with the effect of changing or influencing control of the issuer
• · Filing is an initial/LIVE Schedule 13G under Rule 13d-1(c), the passive investor provision

20-10-2026

Millennium Management LLC, its parent Millennium Group Management LLC, and founder Israel A. Englander filed a Schedule 13G reporting beneficial ownership of 1,616,752 shares of Blue Bird Corporation (BLBD) common stock, representing 5.2% of the class, as of October 13, 2026. The filing is a passive disclosure under Rule 13d-1(c), with the reporting persons certifying the shares were not acquired to change or influence control of the issuer. No voting or dispositive power is reported as sole; all shares are reported as shared.

• · Event date of ownership change reported as October 13, 2026; filing made October 20, 2026
• · Filed under Rule 13d-1(c), indicating a passive investor certification rather than an activist 13D filing
• · Reporting persons state the securities are held by entities under voting control and investment discretion of Millennium Management LLC and/or affiliated investment managers
• · Joint filing agreement dated October 19, 2026 covers all three reporting persons
• · Issuer address listed as 3920 Arkwright Road, Macon, Georgia; former name Hennessy Capital Acquisition Corp.

20-10-2026

Investments AKA, LLC, Agassi Ventures, LLC, The Andre Agassi Trust, ASI Group, LLC, Stefanie Graf and Andre K. Agassi filed Amendment No. 7 to Schedule 13D reporting beneficial ownership of 2,791,398 shares (19.6%) for Investments AKA and affiliates, and 3,791,398 shares (24.9%) for Andre K. Agassi including Graf Warrants. Ms. Graf individually reports 1,000,000 shares (6.8%) issuable under warrants. The amendment discloses a series of related-party transactions with the Issuer, including a cashless warrant exercise, an open-market purchase, a private subscription, and a $1,000,000 convertible note, with no reported sales by the reporting persons.

• · Graf Warrants: 1,000,000 shares at $5.50, half exercisable immediately and half exercisable on October 31, 2026, expiring October 31, 2030
• · Original AKA warrants of 705,417 shares at $0.397 were issued July 3, 2024 for services and exercised cashless February 6, 2026 for a net 651,231 shares
• · AKA Convertible Note matures July 27, 2027 unless earlier converted, prepaid or accelerated
• · Mr. Agassi disclaims beneficial ownership of Graf Warrants except to his pecuniary interest; Mr. Cable disclaims beneficial interest in Company securities held by affiliated entities
• · Percentage denominators differ across reporting persons (13,711,824 vs. 14,211,824 vs. 14,711,824 vs. 15,211,824 shares) depending on warrant inclusion

20-10-2026

Fund 1 Investments, LLC filed Amendment No. 3 to its Schedule 13D on Xponential Fitness, Inc. (XPOF), reporting beneficial ownership of 4,170,610 Class A shares, or approximately 9.9% of outstanding Class A common stock, held with sole voting and dispositive power. The filing states there were no transactions in the Issuer's shares since Amendment No. 2, but discloses cash-settled total return swaps giving economic exposure to 4,213,826 notional shares (approximately 9.98%) without voting or dispositive power. It also reports that short cash-settled put options on 2,500,000 shares at a $5 strike expired unexercised on October 16, 2026.

• · Reporting person holds no shared voting or dispositive power; all 4,170,610 shares are reported as sole power
• · Cash-settled swaps provide economic results comparable to ownership but no voting or disposition rights
• · Short cash-settled puts on 2,500,000 shares at $5 strike expired unexercised on October 16, 2026
• · Event date of the reportable change is October 16, 2026; filing made October 20, 2026

20-10-2026

Control Empresarial de Capitales, S.A. de C.V., together with the Slim Family (beneficiaries of a Mexican trust that owns Control Empresarial), reports beneficial ownership of 24,500,000 shares of Talos Energy Inc. common stock, representing 14.7% of outstanding shares as of July 28, 2026. The filing is a Schedule 13G amending a prior Schedule 13D, reflecting that the reporting persons no longer hold more than 20% of outstanding common shares and do not hold the shares with the purpose or effect of influencing control of the issuer.

• · Filing was made under Rule 13d-1(c) and certifies the shares are not held with the purpose or effect of changing or influencing control of the issuer
• · The Original Schedule 13D was filed September 3, 2024, and most recently amended October 13, 2026
• · Reporting persons have sole voting and dispositive power over 0 shares and shared voting and dispositive power over 24,500,000 shares
• · Filing references a PBF Energy Inc. Schedule 13D/A (March 4, 2026) for the source of powers of attorney, indicating the Slim Family has other beneficial ownership interests in PBF Energy Class A common stock
• · Issuer address is 333 Clay Street, Suite 3300, Houston, TX; Talos is classified under Crude Petroleum & Natural Gas [1311]

20-10-2026

Migdal Insurance & Financial Holdings Ltd. and its subsidiary Migdal Sal Domestic Equities filed an amended Schedule 13G (passive ownership, Rule 13d-1(c)) reporting aggregate beneficial ownership of 4,692,885 Camtek Ltd (CAMT) ordinary shares as of October 15, 2026, equal to 10.06% of outstanding shares. Of this, 4,225,218 shares (9.05%) are held by Migdal Sal Domestic Equities, with the balance held through other Migdal subsidiaries, including 434,037 shares via Migdal Mutual Funds Ltd. and 33,630 shares via Migdal Insurance Company Ltd. The filing is a routine ownership disclosure; the reporting persons certify the shares were not acquired to influence control of the issuer.

• · Filing is a Schedule 13G/A under Rule 13d-1(c), indicating a passive investor position rather than an activist or control-seeking stake.
• · Ownership is aggregated across multiple Migdal subsidiaries that make independent voting and investment decisions; the filers disclaim any group existence and beneficial ownership beyond pecuniary interest.
• · Joint Filing Agreement dated July 22, 2026 was previously filed with the original Schedule 13G on July 23, 2026.

20-10-2026

Saba Capital Management, L.P., together with its general partner Saba Capital Management GP, LLC and principal Boaz R. Weinstein, reports beneficial ownership of 2,560,256 common shares of NYLI CBRE Global Infrastructure Megatrends Term Fund (MEGI), or 4.92% of shares outstanding, in Amendment No. 10 to Schedule 13D. The filing reports a net open-market selling pattern from August 21 to October 19, 2026 at prices of roughly $13.40 to $15.14 per share, and states the position was acquired for investment because the shares trade at a discount to NAV. Reporting persons reserve the right to pursue governance changes, buybacks, tenders, liquidation, or a change of investment manager.

• · Trade-level Schedule A shows sales only in the 60 days before filing, with no purchases reported, despite the filing describing the holding as an investment.
• · Sale prices declined from about $15.11 (Aug 21, 2026) to about $13.40 (Oct 2, 2026) before recovering to about $13.96 by Oct 16-19, 2026.
• · Largest single-day sale was 52,408 shares on Oct 13, 2026 at $13.95; the Oct 19, 2026 sale of 31,630 shares is the most recent transaction reported.
• · Filing is Amendment No. 10, indicating an extended activist campaign history with the fund.
• · Reported holding is 4.92%, just below the 5% threshold that would trigger a new Schedule 13D obligation.

20-10-2026

Amendment No. 1 to Schedule 13D filed by director Allan P. Merrill reports that, following the October 20, 2026 effective time of the merger of Bulldogs Merger Sub, Inc. into Beazer Homes USA, Inc. (acquired by Dream Finders Homes, Inc. under an August 6, 2026 merger agreement), Mr. Merrill no longer beneficially owns any Beazer common stock and has ceased to be a director. Each outstanding share, restricted stock award, and performance-based award was converted into the right to cash consideration of $33.50 per share.

• · Restricted stock awards were cashed out at the Merger Consideration multiplied by the full share count; performance-based awards were valued at target level for uncompleted performance periods.
• · Merger effective date and filing date: October 20, 2026; Beazer continues as the surviving corporation and a wholly owned subsidiary of Dream Finders Homes, Inc.
• · Original Schedule 13D was filed by Mr. Merrill on November 24, 2025.

20-10-2026

Pzena Investment Management, LLC filed an amended Schedule 13G reporting beneficial ownership of 941,150 shares of ScanSource, Inc. (SCSC) common stock as of September 30, 2026, representing 4.7% of the class. The filer holds sole dispositive power over 941,150 shares and sole voting power over 672,998 shares, and certifies the position was acquired in the ordinary course of business without control intent. The filing is a routine passive-holder disclosure with no change of control, deal, or regulatory action indicated.

• · Filing is classified as Rule 13d-1(b) institutional investor reporting, with Pzena filing as an investment adviser (IA) under Delaware organization
• · Reporting event date is 09/30/2026, with the amendment filed 10/20/2026
• · Pzena reports no shared voting or dispositive power; holdings are attributed to client accounts, none of which individually exceeds five percent of the class