US Activist Hedge Fund Institutional SEC 13D 13G — October 22, 2026

22-10-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation jointly filed a Schedule 13G/A reporting beneficial ownership of 17,282,648 shares (42.88%) of First Trust Exchange-Traded Fund IV's class of securities (the FT Vest SMID Rising Dividend Achievers Target Income ETF, CUSIP 33738D820) as of 09/30/2026. The filing is a routine passive-investor disclosure made under Rule 13d-1(b), with the reporting entities disclaiming beneficial ownership and certifying no intent to influence control.

• · The 17,282,648 shares are held in part through unit investment trusts sponsored by First Trust Portfolios L.P. and in part through other registered investment companies, pooled vehicles, and separately managed accounts advised by First Trust Advisors L.P.
• · The voting power over unit investment trust shares rests with the trustee, not the reporting persons, and no individual sponsored trust holds more than 3% of the issuer's shares.
• · The filing is a Schedule 13G/A amendment filed under Rule 13d-1(b) on a LIVE basis, indicating an update to a prior beneficial ownership report.
• · Filing was signed by James M. Dykas on 10/22/2026 and accompanied by a Joint Filing Agreement (Exhibit 99.1) under Rule 13d-1(k)(1).

22-10-2026

Truist Financial Corporation filed an amended Schedule 13G reporting beneficial ownership of 23,836 shares, or approximately 1.35% (reported as 1.3% on the cover page), of First Trust Exchange-Traded Fund III (CIK 0001424212, ticker-level CUSIP 33739P608). The holding is reported via Truist Advisory Services, Inc., an affiliated registered investment advisor, under Rule 13d-1(b) with shared dispositive power and no sole voting power. The filing is a passive ownership disclosure with no reported change in control intent.

• · Reporting person is Truist Financial Corporation (NC), filing as Parent Holding Company (HC) and Investment Adviser (IA) through Truist Advisory Services, Inc. (Delaware).
• · Filing reflects an event date of 09/30/2026 and was signed and filed 10/22/2026, under Rule 13d-1(b) with a certification that the shares are held in the ordinary course of business and not for purposes of influencing control.
• · Reported voting and dispositive power is entirely shared (23,836 shared dispositive power; 0 sole voting or sole dispositive power), indicating the holding is managed on behalf of clients rather than for the bank's own account.
• · Filing is designated as an amendment (SC 13G/A, LIVE), updating a prior Truist beneficial ownership report for the same issuer.

22-10-2026

Andrew P. Weksler filed a Schedule 13G (Rule 13d-1(d)) for JBAAM Acquisition Corp II, reporting beneficial ownership of 60,000,000 shares of Common Stock, equal to 100% of the class on an as-converted basis. The reported position consists of 10,000,000 directly held shares plus 50,000,000 shares issuable on exercise of warrants at $0.01 per share, and the filing notes 1,000,000 shares of non-convertible Series A Super Voting Preferred Stock that are excluded from the table. The filing reflects a share count with an event date of 09/30/2026 and a signature date of 10/22/2026.

• · Filing is made under Rule 13d-1(d), which applies to persons who acquired shares before registration under Section 12 and are not required to file under 13d-1(a).
• · Reporting person holds sole voting and dispositive power over all 60,000,000 reported shares, with no shared power.
• · The percentage relies on the warrant shares being deemed outstanding for the reporting person only, so the 100% figure is a derived calculation rather than a share of the company's actual outstanding common stock.
• · Filing is marked as a LIVE filing type, and the mailing address references C/O BlueRock Acquisition Corp., 919 Third Avenue, New York, NY 10022.
• · The company's business address is 39 West 37th Street, New York, NY 10018, with listed EIN 421864896 and SIC code 6770 (Blank Checks).

22-10-2026

C/M Capital Master Fund, LP and related reporting persons (C/M Capital Partners, LP, Thomas Walsh, and Jonathan Juchno) filed a Schedule 13G disclosing beneficial ownership of 797,592 shares of common stock of Endovia Health Sciences, Inc. (formerly Splash Beverage Group, Inc.), representing approximately 7.2% of outstanding shares as of October 2, 2026. The filing is made under Rule 13d-1(c) as a passive investor, and the reporting persons certify the shares were not acquired to influence control of the issuer.

• · Event date triggering the filing was October 15, 2026, with the filing submitted October 22, 2026
• · Holdings are reported with zero sole voting/dispositive power and 797,592 shared voting and dispositive power
• · Messrs. Walsh and Juchno disclaim beneficial ownership of shares held by C/M Master Fund
• · Issuer's CUSIP is 84862C401; the filing is a LIVE filing under Rule 13d-1(c)
• · Issuer's former names were Splash Beverage Group, Inc. (name change 2020) and Canfield Medical Supply, Inc. (name change 2012)
• · Ticker referenced in the request is SBEVW, a warrant-linked identifier, while the filing covers common stock (par value $0.001)

22-10-2026

SunTx Capital Management Corp. and related reporting persons (including Ned N. Fleming, III) filed Amendment No. 1 to Schedule 13D on October 22, 2026, disclosing beneficial ownership of Suncrete, Inc. (RMIX) Class A common stock on an as-converted basis. SunTx Capital Management Corp. reports beneficial ownership of 12,283,739 shares, or 19.0%, while Mr. Fleming reports 19,446,482 shares, or 27.1%, largely via Class B shares convertible into Class A. The amendment reflects an October 20, 2026 pro rata, no-consideration distribution of Class B shares and private placement warrants from Dothan Concrete and Dothan Independent to their members and limited partners, with no change in control or sale of shares disclosed.

• · Restricted stock granted to Mr. Fleming vests two-thirds on the second anniversary and one-third on the third anniversary of the April 20, 2026 grant date, subject to continued service
• · Ownership percentages are computed on an as-converted basis against 52,264,257 Class A shares outstanding as of October 20, 2026
• · Distributions were made for no consideration, so the filing reflects internal reallocation among affiliated holders rather than market sales or purchases

22-10-2026

EdgePoint Investment Group Inc. filed a Schedule 13D disclosing beneficial ownership of 50,515,811 shares of Mattel, Inc. common stock, approximately 17.68% of outstanding shares based on 285.7 million shares outstanding as of July 24, 2026. On October 21, 2026, EdgePoint entered into a Cooperation Agreement with Mattel under which the Board was expanded by one seat and EdgePoint partner Lee Matheson was appointed director, with nomination intended for the 2027 Annual Meeting. The filing reports aggregate open-market purchase cost of approximately US$829.7 million, and the stake was acquired for investment purposes, though the filing contemplates future engagement, proposals, and possible changes in holdings.

• · Following the departure of former Chairman and CEO Ynon Kreiz, Mattel invited EdgePoint to propose a board nominee
• · Cooperation Period runs from October 21, 2026 until five business days after the later of the day after the 2027 Annual Meeting or Matheson's departure from the Board
• · EdgePoint agreed to customary standstill restrictions, voting commitments, and mutual non-disparagement during the Cooperation Period
• · Mattel agreed not to amend its charter or bylaws adversely to EdgePoint disproportionately, and not to raise the special meeting ownership threshold until the day after the 2028 Annual Meeting without EdgePoint consent
• · EdgePoint may pursue engagement with management, proposals on capitalization, board structure, or strategic alternatives, and may buy, sell, or hedge shares

22-10-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation jointly filed a Schedule 13G/A reporting beneficial ownership of 3,672,570 shares (41.62% of the class) of First Trust Exchange-Traded Fund VIII (FT Vest U.S. Equity Deep Buffer ETF - December, CIK 0001667919). The filing is a passive ownership disclosure under Rule 13d-1(b), with the reporting persons disclaiming beneficial ownership and certifying the shares were not acquired to influence control of the issuer. No change in control, acquisition, or adverse event is reported.

• · Filing is a Schedule 13G/A (amendment) with event date reported as 09/30/2026, filed October 22, 2026
• · Reporting persons: First Trust Portfolios L.P. (BD, sponsor of unit investment trusts), First Trust Advisors L.P. (IA, portfolio supervisor), The Charger Corporation (HC, general partner of both)
• · Shares are held by unit investment trusts sponsored by First Trust Portfolios L.P.; the trustee votes these shares, and no reporting person has voting power over them
• · No individual unit investment trust holds more than 3% of the issuer's shares
• · Filing is made under Rule 13d-1(b) and includes a Joint Filing Agreement under Rule 13d-1(k)(1) (Exhibit 99.1)

22-10-2026

Truist Financial Corporation filed an amended Schedule 13G reporting beneficial ownership of 1,079,739 shares of First Trust Exchange-Traded Fund (CIK 0001329377), representing 3.6% of the class (3.58% per the reporting person's item data). The holding is reported by Truist as parent holding company for its affiliated registered investment advisor, Truist Advisory Services, Inc., on a passive Rule 13d-1(b) basis with a certification that the securities were not acquired to influence control of the issuer.

• · Filing is a Schedule 13G/A filed under Rule 13d-1(b) as a holding company/IA (HC, IA) with a reference period of 09/30/2026.
• · Truist reports zero sole voting power and zero shared voting power, with 1,079,739 shares reported as sole dispositive power.
• · Filing is signed October 22, 2026 by Edward M. Kwiatkowski, Vice President, on behalf of Truist Financial Corp.

22-10-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation jointly filed a Schedule 13G/A reporting beneficial ownership of 18,617,647 shares (41.46%) of First Trust Exchange-Traded Fund VI (the First Trust Nasdaq BuyWrite Income ETF, CUSIP 33738R407) as of 09/30/2026. The position is held primarily through unit investment trusts sponsored by First Trust Portfolios L.P. and portfolio supervision by First Trust Advisors L.P.; the filing disclaims beneficial ownership and reports no change-in-control intent. The filing is routine beneficial-ownership disclosure with no performance metrics reported.

• · Filing type is SCHEDULE 13G/A (amendment), filed under Rule 13d-1(b), with event date 09/30/2026 and filing date 10/22/2026
• · Beneficial ownership is held through sponsored unit investment trusts; no individual trust holds more than 3% of the issuer's shares
• · Shares voted by the unit investment trust trustee, not by the reporting persons
• · Reporting persons disclaim beneficial ownership and certify the holdings were not acquired to change or influence control of the issuer
• · The Charger Corporation is the General Partner of both First Trust Portfolios L.P. and First Trust Advisors L.P.

22-10-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation jointly filed a Schedule 13G/A reporting beneficial ownership of 1,110,823 shares of First Trust Exchange-Traded AlphaDEX Fund II, representing 47.27% of the class as of September 30, 2026. The filing is a passive, ordinary-course disclosure by the sponsor and investment adviser group, which disclaims beneficial ownership and states the shares were not acquired to influence control of the issuer.

• · Filing is a Schedule 13G/A (amendment, LIVE reporting status) under Rule 13d-1(b), with an event date of 09/30/2026 and a joint filing under Rule 13d-1(k)(1).
• · Shares are held through unit investment trusts sponsored by First Trust Portfolios L.P. and portfolios managed by First Trust Advisors L.P.; voting power sits with the trustee, not the reporting persons.
• · Each reporting person disclaims beneficial ownership of the reported shares.
• · Filing references a prior 13G filed under accession 0001445546-21-002430, indicating this amendment updates an existing ownership disclosure.

22-10-2026

Berkshire Asset Management, LLC/PA filed an amended Schedule 13G reporting beneficial ownership of 59,582 shares of iMGP Berkshire Dividend Growth ETF (CUSIP 53700T751), a 3.8% stake, as of September 30, 2026. The filing is made under Rule 13d-1(b) by an investment adviser (IA) holding shares in the ordinary course of business, with sole voting and dispositive power over all reported shares and no shared power. The filing is a routine passive-ownership disclosure with no indication of activist intent or control.

• · Filing is an amendment (LIVE, Schedule 13G/A) with reporting date of September 30, 2026, filed October 22, 2026
• · Filer certifies shares were acquired and are held in the ordinary course of business without purpose or effect of changing or influencing control of the issuer

22-10-2026

Truist Financial Corporation filed an amended Schedule 13G reporting beneficial ownership of 434,797 shares of the Federated Hermes ETF Trust (CIK 0001849998), representing approximately 3.46% of the class, as of September 30, 2026. The holding is reported by Truist as parent holding company for its affiliated registered investment advisor, Truist Advisory Services, Inc., and is filed under Rule 13d-1(b) with a certification that the securities are held in the ordinary course of business and not to influence control of the issuer.

• · Filing is an amendment (SCHEDULE 13G/A) with a stated event date of 09/30/2026 and filing date of 10/22/2026
• · Reported holding is classified as Rule 13d-1(b) passive institutional ownership, with Truist's holding company and advisor entities coded as IA and HC
• · Truist Financial Corporation is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation
• · The filing lists a prior accession reference (0000092230-25-000131), indicating this amends an earlier 2025 Schedule 13G

22-10-2026

L1 Capital Global Opportunities Master Fund, Ltd. filed a Schedule 13G reporting beneficial ownership of 148,322 Class A Ordinary Shares of INLIF Ltd (INLF), representing 9.99% of the class, as of 10/19/2026. The position consists of 145,000 Class A Ordinary Shares and 3,322 Pre-Funded Warrants, with a large additional block of warrants excluded from the reported amount due to a 9.99% beneficial ownership limitation. The filing is a passive investment disclosure certified under Rule 13d-1(c), not an activist or control-seeking filing.

• · Filing made under Rule 13d-1(c), certifying the securities were not acquired for the purpose of changing or influencing control of the issuer
• · Percentage is based on 1,481,390 Class A Ordinary Shares outstanding following an offering described in a Rule 424(b)(5) prospectus dated October 20, 2026
• · Issuer is based in Nan'an City, Quanzhou, People's Republic of China; reporting person is a Cayman Islands fund
• · Filing reflects a large warrant overhang (over 3.8 million warrants and pre-funded warrants excluded from the reported figure), which could materially increase the holder's stake if the 9.99% limitation is lifted

22-10-2026

The Bank of New York Mellon Corp and its subsidiaries filed a Schedule 13G reporting beneficial ownership of Hess Midstream LP (HESM) common stock as of 09/30/2026. The filing discloses an aggregate position of 6,507,955 shares for BNY Mellon, representing 5.1% of the class, with Newton Investment Management North America, LLC reporting 6,439,463 shares (5.0%). The filing is made under Rule 13d-1(b) as a passive institutional holding and includes a certification that the shares were acquired in the ordinary course of business without intent to influence control.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(b), indicating a passive institutional (bank holding company and investment adviser) position rather than an activist 13D stake.
• · Reporting persons: BNY Mellon Corp (HC), BNY Mellon IHC LLC (HC), MBC Investments Corp (HC), and Newton Investment Management North America LLC (IA).
• · Sole voting power is reported as 0 across reporting persons; shares are held in fiduciary capacities with dividend and sale proceeds entitled to other persons.
• · Filing states no single person other than the reporting entities holds more than 5% of the class.
• · Filing was signed by Andrew Weiser as attorney-in-fact and dated 10/22/2026, with the reporting date of 09/30/2026 as the event date.

22-10-2026

Kelly Michelle White and 2752128 Ontario Ltd. filed Amendment No. 1 to their joint Schedule 13D on Rainmaker Worldwide Inc. (RAKR), correcting Ms. White's direct holding from 10,514,516 to 10,514,440 shares and the date of a 2,000,000-share gift from January 14, 2026 to January 1, 2026. The filing reports aggregate beneficial ownership of 17,171,626 shares (approximately 16.9%) for Ms. White and 6,657,186 shares (approximately 6.5%) for 2752128 Ontario Ltd., with overlapping totals that should not be added together. The amendment also discloses that the original Schedule 13D was filed late, and that a proposed 837,997-share sale reported on Form 144 in January 2026 was not consummated.

• · The original Schedule 13D was filed after the applicable deadline; the initial filing obligation arose January 2, 2025
• · Ms. White received 2,000,000 shares by gift on October 6, 2025 and again on January 1, 2026, plus a 300,000-share sale on September 25, 2025
• · A 3,330,332-share option granted January 12, 2026 was forfeited without consideration effective April 30, 2026 and is excluded from current ownership
• · A separate 164,000-share option expired April 1, 2026
• · 2752128 Ontario Ltd. ceased to be a >5% holder on July 17, 2025 and became one again on December 31, 2025
• · Note conversion price is $0.027 per share, versus $0.0347 per share for the legacy option and the January 2025 conversion

22-10-2026

The Bank of New York Mellon Corporation and its subsidiaries filed an amended Schedule 13G on October 22, 2026, reporting beneficial ownership of 1,559,971 shares of Invesco Exchange-Traded Fund Trust II (Invesco S&P International Developed Low Volatility ETF, CUSIP 46138E230), representing approximately 16.7% of the class as of September 30, 2026. The filing is a routine passive-holder disclosure under Rule 13d-1(b) for shares held in fiduciary capacities, and the reporting entities certify the holdings were not acquired to influence control of the issuer.

• · Each of the four reporting persons (BNY Mellon Corp, BNY Mellon IHC LLC, MBC Investments Corp, BNY Mellon Advisors Inc.) reported 16.7% of the class, with joint reporting pages for subsidiaries incorporated into the parent total
• · Filing classifies the parent as a holding company (HC) under Rule 13d-1(b) and BNY Mellon Advisors as an investment adviser (IA)
• · Filing is a Schedule 13G/A with a reporting event date of 09/30/2026, signed by Andrew Weiser as attorney-in-fact on 10/22/2026

22-10-2026

The Bank of New York Mellon Corporation filed an amended Schedule 13G (SC 13G/A) on October 22, 2026 disclosing beneficial ownership of 466,943 shares (8.6% of the class) in Nushares ETF Trust (CUSIP 67092P854, Nuveen ESG High Yield Corporate Bond ETF), as of 09/30/2026. Of this, BNY Mellon, N.A. separately reports 327,815 shares (6.0%). The filing is a passive holding disclosure made under Rule 13d-1(b), with the reporting persons certifying the shares are held in the ordinary course of business and not for control purposes.

• · Filing is an amendment (SC 13G/A) with the reporting person listed as a holding company (HC) and BNY Mellon, N.A. as a bank (BK).
• · All shares are held in fiduciary capacities by BNY Mellon subsidiaries, and no other single person's interest in the reported securities exceeds 5%.
• · Filing states the reporting entity does not admit to being the beneficial owner of securities held by its subsidiaries for purposes of Section 13(d) or 13(g).

22-10-2026

The Bank of New York Mellon Corporation and its subsidiaries filed an amended Schedule 13G (SC 13G/A) reporting beneficial ownership of 322,113 shares of WisdomTree Bitcoin Fund (BTCW), representing 16.6% of the class, as of 09/30/2026. The filing is made on a passive basis under Rule 13d-1(b) with the holdings described as held in various fiduciary capacities, and no sole voting or dispositive power is claimed (0 sole, 322,113 shared). The holdings are reported across four joint reporting persons, with the parent entity and three intermediate subsidiaries all reporting the same stake.

• · Filing made under Rule 13d-1(b), indicating a passive institutional holder certification that the shares were acquired in the ordinary course of business without intent to influence control
• · Filing classified as an amendment (LIVE) with a 09/30/2026 event date; signed October 22, 2026 by Andrew Weiser as attorney-in-fact
• · Exhibit I notes WisdomTree Enhanced Commodity Strategy Fund and WisdomTree Managed Futures Strategy Fund have interests in the Bitcoin Fund exceeding five percent of the outstanding total
• · Filing states the 13G is not an admission of beneficial ownership by all BNY Mellon subsidiaries for Section 13(d)/(g) purposes

22-10-2026

Everrise Holdings LLC, together with its controlling persons Juno Cloud Technologies Limited and Chunlin Chen, filed a Schedule 13D reporting beneficial ownership of 45,306,792 common shares of ATA Creativity Global, representing approximately 34.51% of the 131,296,790 shares outstanding as of September 30, 2026. The shares were acquired through a subscription agreement dated May 6, 2026 at US$0.4667 per share (aggregate US$21,145,961), which closed on July 21, 2026, funded from Everrise's working capital. The filing states the reporting persons intend to influence the company's strategic direction and may engage with the board and management, while retaining flexibility to buy or sell shares.

• · Investor Rights Agreement grants demand registration rights exercisable six months after closing, plus piggyback registration rights
• · Reporting persons state investment purpose is to participate in and influence strategic direction, management and operations of the issuer
• · Reporting persons describe their business as investment in FinTech, AI technology and AI healthcare
• · No borrowed funds were used; source of funds was Everrise working capital
• · Investor Rights Agreement is dated May 6, 2026 in the exhibit header but its body states November 17, 2025, a date inconsistency to note

22-10-2026

CEO Gary Bowman and Bowman Family Asset Management, LLC filed Amendment No. 8 to Schedule 13D disclosing beneficial ownership of 2,051,683 shares (12.4% of outstanding stock) and 1,270,735 shares (7.7%) held by BFAM. The filing reports September 2026 charitable gifts of 145,000 shares and open-market sales of 60,000 shares at $42.553, plus a Voting and Support Agreement supporting the pending $43.00 per share cash merger with Prive Parent, Inc. Because the shareholders agreed to vote in favor of the deal, the filing signals strong insider backing for the take-private transaction.

• · Gary Bowman and BFAM agreed under the Support Agreement to vote in favor of the merger and against competing transactions, and waived appraisal rights.
• · The June 2025 Trading Plan fully executed (112,500 Bowman and 67,500 BFAM shares sold) between September 2025 and September 2026 and terminated September 25, 2026.
• · The March 2026 Trading Plan, which included a planned 50,000-share gift, was terminated September 15, 2026 before any transactions executed.
• · Mr. Bowman disclaims beneficial ownership of BFAM-held shares except to the extent of his pecuniary interest.
• · The November 2024 Trading Plan expired June 5, 2025 with no transactions executed.

22-10-2026

Sino Lion Ventures Limited and its controlling person Chenhao Xu filed Amendment No. 3 to Schedule 13D reporting beneficial ownership of 38,895,000 shares of Indaptus Therapeutics common stock, equal to 25.325% of outstanding shares. The percentage decreased by more than 1% solely because 20,338,974 new shares were issued in Indaptus's October 16, 2026 private placement; the reporting persons neither bought nor sold shares. The position was originally acquired under a March 19, 2026 Securities Purchase Agreement via conversion of Series AA and Series AAA Preferred Stock, and the reporting persons made no transactions in the past 60 days.

• · Shares were acquired via conversion of Series AA and Series AAA Preferred Stock at closing on March 23, 2026
• · Reporting persons did not acquire or dispose of any shares in connection with the October 2026 dilution
• · Chenhao Xu disclaims beneficial ownership except to the extent of his pecuniary interest
• · The group originally filed a Schedule 13D on March 30, 2026 and disbanded per Amendment No. 1 (April 29, 2026); this filing is a joint filing by the two remaining reporting persons under Rule 13d-1(k)

22-10-2026

PMGC Holdings Inc., NorthStrive Sponsor I LLC and Georgiy Kovalyov filed Amendment No. 1 to Schedule 13D reporting that the Sponsor forfeited 325,607 Class B Ordinary Shares of NorthStrive Acquisition Corp I. for no consideration, effective October 20, 2026 with retroactive effect to October 3, 2026, after the underwriters' over-allotment option expired unexercised. The forfeiture reduces the Reporting Persons' aggregate beneficial ownership to 2,402,463 Class A Ordinary Shares, or 19.37% of the deemed-outstanding Class A shares. The filing is a mechanical, non-cash ownership adjustment with no sale or purchase of shares.

• · Sponsor's shares were reduced as the over-allotment option expired unexercised on October 3, 2026, and the UA Amendment (dated October 8, 2026) allocated the 629,998-share forfeiture pro rata among all Initial Shareholders, not solely the Sponsor
• · The Original Schedule 13D was filed September 29, 2026
• · PMGC Holdings Inc. holds all membership interests and voting power of the Sponsor and has voting and dispositive power over the Sponsor's securities
• · Georgiy Kovalyov disclaims beneficial ownership except to his pecuniary interest, if any; he reports zero shares beneficially owned
• · The Reporting Persons state the acquisition was for investment purposes and that they are in discussions with third parties that may lead to strategic transactions, though no definitive agreements exist

22-10-2026

RA Capital Management, L.P., together with Peter Kolchinsky, Rajeev Shah, and RA Capital Healthcare Fund, L.P., filed a Schedule 13G on October 22, 2026 disclosing beneficial ownership of 700,000 Class A ordinary shares of Frazier Life Sciences Acquisition Corp. II, representing 9.0% of the 7,800,000 Class A shares outstanding as of October 15, 2026. The filing is made under Rule 13d-1(c) as a passive investor certification, and the reporting persons certify the shares were not acquired to change or influence control of the issuer.

• · Filing is a SPAC-related beneficial ownership report; the issuer is a blank-check company (SIC 6770).
• · Reporting persons disclaim group status and beneficial ownership beyond Section 13(d) obligations.
• · The Fund has delegated sole voting and dispositive power to RA Capital and cannot revoke that delegation on less than 61 days' notice.
• · Event date for the reported position is October 15, 2026; filing date is October 22, 2026.

22-10-2026

Amendment No. 9 to Schedule 13D filed jointly by James L. Dolan and other members of the Dolan family group reports a change in beneficial ownership in Sphere Entertainment Co. (SPHR) resulting from stock options granted to James Dolan becoming exercisable. As of October 20, 2026, the Group Members may be deemed to beneficially own an aggregate of 9,974,940 shares of Class A Common Stock, comprising 3,108,186 Class A shares (including exercisable options, RSUs vesting within 60 days, and shares held by the Dolan Family Foundation) and 6,866,754 Class A shares issuable upon conversion of Class B Common Stock. The filing is an ownership update rather than a transaction of sale or purchase, and no sentiment is conveyed beyond governance disclosure.

• · James L. Dolan is the largest individual holder in the group, reporting 4,756,964 aggregate beneficial shares (14.5% of Class A) after excluding shares held by other Reporting Persons
• · Kathleen M. Dolan reports 3,692,543 aggregate beneficial shares (11.3%), with the largest share of trust-held Class A holdings among the group
• · Mary S. Dolan, as Trustee, reports 4,280,651 aggregate beneficial shares (12.9%), the highest percentage among trustee-reporting persons
• · The Charles F. Dolan family trusts individually report between 0.1% and 3.5% of Class A, with the 2009 Family Trust FBO James L. Dolan holding 1,053,283 shares (3.5%)
• · Each Reporting Person disclaims beneficial ownership of shares held by other Reporting Persons, and the filing states it is not an admission of beneficial ownership

22-10-2026

Capital Ventures International, together with affiliated Susquehanna entities, filed a Schedule 13G reporting beneficial ownership of 21,911,680 shares of MiniMed Group, Inc. (MMED) common stock, representing 7.8% of outstanding shares, as of October 15, 2026. The filing is a passive-investor disclosure under Rule 13d-1(c) with a certification that the shares are not held to change or influence control of the issuer. The filing does not report any change in control or any transaction price.

• · The reporting persons may be deemed a group, and each disclaims beneficial ownership of shares held directly by another reporting person.
• · Susquehanna Advisors Group, Inc. is investment manager to Capital Ventures International and may exercise voting and dispositive power over its directly held shares under a Limited Power of Attorney dated December 4, 2012.
• · The filing is made under Rule 13d-1(c), and the certification states the shares are not held for the purpose of changing or influencing control of the issuer.

22-10-2026

Trails Edge Capital Partners, LP, its affiliated Trails Edge Biotechnology Master Fund, LP, and Chief Investment Officer Ortav Yehudai jointly filed a Schedule 13G reporting beneficial ownership of 1,679,443 shares of Contineum Therapeutics, Inc. (CTNM) Class A Common Stock as of September 22, 2026, representing 5.1% of outstanding shares. The filing is a passive-investor disclosure under Rule 13d-1(c), with the filers certifying the shares were not acquired to change or influence control of the issuer.

• · Filing made under Rule 13d-1(c), indicating a passive investor certification rather than an active control intent
• · Ownership percentage is based on 32,958,632 shares outstanding as of July 24, 2026, per the Issuer's Form 10-Q
• · All voting and dispositive power is held by the filers as shared (no sole voting or dispositive power reported)
• · Trails Edge Capital acts as investment manager to Trails Edge Biotechnology Master Fund, a Cayman Islands limited partnership
• · Event date is September 22, 2026; filing date is October 22, 2026, reflecting the standard 13G filing window
• · Filing is the initial 13G (Form type LIVE) and includes a Joint Filing Agreement as Exhibit 1

22-10-2026

The Capital Management Corporation filed an amended Schedule 13G reporting beneficial ownership of 375,161.30 shares of Acme United Corporation (ACU) common stock, representing 9.8% of the class as of September 30, 2026. The filer holds sole voting power over 371,986.30 shares and sole dispositive power over 375,161.30 shares, and certifies the position is held in the ordinary course of business without intent to influence control. The filing contains no revenue, earnings, or other operating metrics, so no period-over-period performance comparison is possible.

• · Filing is made under Rule 13d-1(b) and the filer is classified as an investment adviser (IA) in Virginia
• · Reported holding date is 09/30/2026, with the amendment filed 10/22/2026
• · Class of securities is Common stock, CUSIP 004816104

22-10-2026

The Capital Management Corporation (Glen Allen, VA) filed an amended Schedule 13G reporting beneficial ownership of 2,307,489 shares of LifeVantage Corporation (LFVN) common stock, equal to 18.3% of the class, as of 09/30/2026. The position is held in an investment adviser capacity (Rule 13d-1(b)), with sole voting and dispositive power over 2,284,489 shares and shared power over 23,000 shares, and no sole voting or dispositive power beyond that. The filing is a passive ownership disclosure under the 13G framework rather than an activist or control-seeking filing.

• · Filing is an amendment (SCHEDULE 13G/A) reporting holdings as of 09/30/2026 and was signed 10/22/2026, with the prior filing referenced as accession 0001420506-25-000805
• · Reporting person is classified as an investment adviser (Type IA) filing under Rule 13d-1(b), and certifies the shares were not acquired to change or influence control of the issuer
• · Filing indicates the reporting person is Virginia-domiciled, with business address at 4101 Cox Road, Suite 110, Glen Allen, VA 23060

22-10-2026

The Capital Management Corporation filed an amended Schedule 13G reporting beneficial ownership of 3,409,181 shares of Townsquare Media, Inc. (TSQ) as of September 30, 2026, representing 18.7% of the class. The filer holds sole voting and dispositive power over 3,398,881 shares and shared power over 10,300 shares, and files under Rule 13d-1(b) as an investment adviser certifying the holdings were acquired in the ordinary course of business and not to influence control.

• · Filing is an amendment (LIVE reporting status) under Rule 13d-1(b), filed October 22, 2026 with an event date of September 30, 2026
• · Filer is classified as an investment adviser (IA) and is domiciled in Virginia
• · Shares are held with sole voting and dispositive power over the bulk of the position, with a small shared component

22-10-2026

The Capital Management Corporation, a Glen Allen, Virginia investment adviser, filed an amended Schedule 13G reporting beneficial ownership of 1,040,085 shares of Mastech Digital, Inc. (MHH) common stock, equal to 8.7% of the class, as of 09/30/2026. The filer reports sole voting power over 1,015,385 shares and shared voting power over none, with sole dispositive power over 1,040,085 shares. The filing is a passive ownership disclosure made under Rule 13d-1(b) and does not indicate any change in control intent.

• · Filer holds shares in an investment adviser capacity (IA) and certifies the holdings were acquired in the ordinary course of business without intent to influence control
• · Filer's reported holdings are 8.7% of the class, a level that triggers 13G reporting under Rule 13d-1(b)
• · The filing references a prior 13G filing (accession 0001420506-24-000071), indicating an ongoing position amended rather than newly initiated

22-10-2026

The Column Group III entities and affiliated reporting persons (Peter Svennilson and Tim Kutzkey, the latter a Surrozen board member) filed Amendment No. 7 to Schedule 13D on October 22, 2026, disclosing beneficial ownership following the closing of the second tranche of Surrozen's private placement on October 20, 2026, which issued 6,043,321 new shares of common stock. Aggregate beneficial ownership is reported at 3,824,612 shares (21.5%) for Kutzkey and Svennilson, with TCG III GP LP holding 2,962,544 shares (16.6%) and The Column Group III, LP holding 1,391,340 shares (7.8%). The filing reflects dilution-driven percentage calculations, and a portion of warrants remain unexercisable due to beneficial ownership limitations.

• · Beneficial ownership calculations exclude warrants not exercisable within 60 days due to beneficial ownership limitations (594,625 shares for TCG III LP, 671,518 for TCG III-A LP, 431,034 for TCG Opportunity III LP)
• · Tim Kutzkey sits on Surrozen's board, so the filing reflects an insider with significant position in the issuer

22-10-2026

Erik M. Herzfeld filed an amended Schedule 13D reporting beneficial ownership of 635,567 shares of Herzfeld Credit Income Fund, Inc. (HERZ), representing 33.09% of the 1,920,989 shares outstanding as of October 20, 2026. The filing discloses small open-market sales by the Accounts in early October 2026 and the participation of the reporting person and the Accounts in the Fund's cash tender offer, where a pro-rata share of tendered shares was accepted at $18.2033 per share, equal to 97.5% of NAV. Ownership remains concentrated, but the filing reports a reduction in the position through both sales and tender participation.

• · Open-market sales by the Accounts totaled 6,133 shares across October 8, 9, and 12, 2026 at prices between $14.93 and $15.03 per share.
• · Tender offer was oversubscribed: 1,441,647 shares were tendered against a 100,886-share target, yielding a 6.99895% proration factor.
• · The reporting person and the Accounts sold 47,832 combined shares in the tender (4,998 individual plus 42,834 Accounts), implying roughly 611,986 tendered by the Accounts versus 42,834 accepted.
• · Filing notes no individual Account owner holds more than 5% of the Issuer's common shares.

22-10-2026

Simcoe Capital Management, LLC and affiliated reporting persons filed an amended Schedule 13D disclosing an aggregate beneficial ownership of 1,063,279 shares of Koppers Holdings Inc. (KOP), approximately 5.6% of the 18,911,568 shares outstanding as of July 31, 2026. The filing reflects net selling by Simcoe Partners, L.P. in October 2026, with 130,000+ shares sold between October 1 and October 22, 2026 at prices ranging from roughly $41 to $47 per share. Reporting persons state the position is held for investment purposes and that they are a group for Section 13(d)(3) purposes.

• · Simcoe Partners, L.P. sold shares on 12 of the trading days listed in Exhibit 1, with sales ranging from 1,200 to 66,935 shares per day between October 1 and October 22, 2026.
• · Sales prices ranged from about $41.02 to $47.17 per share over the 60-day window, with the lowest prices in the most recent sessions.
• · The filing reports no shared voting or dispositive power; all reported holders have sole power over their respective shares.
• · The filing amends the reporting persons' Item 5 and Item 3 disclosures and lists the group disclaimer of beneficial ownership except to the extent of pecuniary interest.
• · The original Schedule 13D filing date and the 10/20/2026 event date in the header differ from the filing's stated subject-date structure, which should be confirmed against EDGAR.

22-10-2026

Millennium Management LLC, Millennium Group Management LLC, and Israel A. Englander filed a Schedule 13G/A reporting beneficial ownership of 3,932,143 shares of NETSTREIT Corp. (NTST) common stock as of 09/30/2026, representing approximately 3.1% of the class. The filing is a passive-investor disclosure made under Rule 13d-1(c), with the reporting persons certifying the shares were not acquired to influence control of the issuer.

• · Reporting persons disclaim beneficial ownership beyond their pecuniary interest, and the shares are held by entities under Millennium's voting control and investment discretion
• · Filing made under Rule 13d-1(c), indicating a passive investment rather than an activist or control-seeking position
• · Joint Filing Agreement dated October 21, 2026 governs the joint filing among the three reporting persons
• · The 13G/A was filed October 22, 2026, with the ownership measured as of 09/30/2026

22-10-2026

Glenbrook Capital Management filed Amendment No. 2 to its Schedule 13D on SenesTech, Inc. (SNES), reporting beneficial ownership of 2,166,973 shares of common stock, or 39.95% of the 5,423,542 shares outstanding as of August 4, 2026. The filing discloses open-market purchases of 36,375 shares on 10/20/2026, 60,000 shares on 10/21/2026, and 7,500 shares on 10/22/2026, with weighted average prices rising from $0.6746 to $0.7986 per share over the three days. The reporting person paid approximately $4.14 million (excluding commissions) for the securities reported, funded from general working capital.

• · Glenbrook's stake of 39.95% is near the 40% level, which may be relevant for control or disclosure thresholds
• · Purchase prices rose about 18% over three trading days, from a $0.6746 weighted average on 10/20 to $0.7986 on 10/22
• · Amendment No. 1 was filed October 19, 2026, and this amendment follows within days, indicating accelerated accumulation
• · The Schedule 13D was originally filed July 23, 2026, and the percentage is calculated against share count from the Q2 2026 10-Q

22-10-2026

Fidelion Diagnostics Pte. Ltd., together with its affiliated reporting persons Molecule Bio LLC, Rainy Morning Technology (Hong Kong) Limited, and Ling Xiao, filed a Schedule 13G disclosing beneficial ownership of 392,329 shares of BioNexus Gene Lab Corp (BGLC) common stock, representing 13.4% of the class. The filing is a passive beneficial ownership disclosure under Rule 13d-1(c) with a stated event date of November 28, 2025, and the reporting persons certify the shares were not acquired for the purpose of influencing control of the issuer. No change in control, transaction consideration, or regulatory action is disclosed.

• · Filing made under Rule 13d-1(c), a passive-investor path, with a joint filing agreement (Exhibit 99.1) among the reporting persons.
• · Fidelion Diagnostics holds the shares directly; Ling Xiao is controlling shareholder of Molecule Bio LLC and Molecule Bio LLC/Ling Xiao share voting and dispositive power over the Fidelion position.
• · Reporting persons disclaim group status except for pecuniary interest.
• · Percentage calculation uses 2,933,442 shares outstanding per the company's Form 10-Q filed August 14, 2026.
• · Event date listed as 11/28/2025, roughly eleven months before the October 22, 2026 filing date, which may indicate the filing is late or reflects an earlier triggering transaction.
• · The filing reports 0 shares under sole voting/dispositive power and 392,329 under shared power for each reporting person.

22-10-2026

Jeffrey Sanford Link filed a Schedule 13G reporting beneficial ownership of 552,758 shares of Xcel Brands, Inc. (XELB) common stock, representing 8.0% of outstanding shares, comprising 402,758 shares held solely in his name and 150,000 shares held jointly with his wife. The filing is a passive Rule 13d-1(c) disclosure, with Mr. Link certifying the shares were not acquired to change or influence control of the issuer.

• · Event date is 10/16/2026 per the cover page; filing dated October 22, 2026, reflecting a LIVE Schedule 13G under Rule 13d-1(c).
• · Filer is a U.S. citizen with a business address at 444 Arthur Terrace, Paramus, NJ 07652; issuer address is 550 Seventh Avenue, 11th Floor, New York, NY 10018.
• · Mr. Link holds sole voting and dispositive power over 402,758 shares and shared power over 150,000 shares.
• · Filing is a passive-investor certification (not for the purpose of changing or influencing control), other than activities solely related to a nomination under Rule 14a-11.