US Executive Officer Management Changes SEC — September 18, 2026

18-09-2026

Adial Pharmaceuticals held its 2026 Annual Meeting on September 17, 2026, where stockholders approved eight of twelve proposals, including the election of directors, ratification of auditors, an increase in authorized shares from 100M to 500M, and equity plan amendments. However, the meeting was adjourned with respect to Proposals 3, 4, 5, and 6 because Nasdaq conditional approval is still pending, and the reconvened meeting is scheduled for October 1, 2026. Notably, the elected directors (Cary J. Claiborne and Robertson H. Gilliland) are expected to resign shortly after all proposals are approved.

• · The meeting was adjourned solely with respect to Proposals 3, 4, 5, and 6 to allow additional time for Nasdaq conditional approval.
• · The adjourned meeting will reconvene on October 1, 2026 at 8:30 a.m. Eastern Time at 650 Peter Jefferson Parkway, Suite 230, Charlottesville, Virginia 22911.
• · The record date for the adjourned meeting remains August 17, 2026.
• · Stockholders who already voted on Proposals 3-6 do not need to take further action unless they wish to change their vote.
• · Proposal 7 (increase authorized shares from 100M to 500M) passed with 1,239,968 votes for, 37,210 against, and 1,499 abstentions.
• · Proposal 8 (2025 Warrant Exercise) passed with 825,651 votes for, 9,086 against, and 1,100 abstentions, plus 442,840 broker non-votes.
• · Proposal 9 (2017 Plan Amendment) passed with 828,388 votes for, 6,378 against, and 1,071 abstentions, plus 442,840 broker non-votes.
• · Proposal 10 (2026 Plan) passed with 821,237 votes for, 13,510 against, and 1,090 abstentions, plus 442,840 broker non-votes.
• · Proposal 11 (2026 ESPP) passed with 824,241 votes for, 10,495 against, and 1,101 abstentions, plus 442,840 broker non-votes.
• · Proposal 12 (Adjournment) passed with 1,246,908 votes for, 30,228 against, and 1,541 abstentions.
• · The 2017 Plan Amendment increased the share reserve from 200,000 to 225,666 shares.

18-09-2026

Daktronics held its 2026 Annual Meeting on September 16, 2026, with 93.2% of outstanding shares represented, and all three proposals passed, including the election of two directors and ratification of Deloitte & Touche LLP as auditor. Concurrently, the Board approved a base salary increase to $1,200,000 for Acting CFO Howard Atkins, effective September 27, 2026, along with a one-time RSU grant of $170,000. The RSUs vest pro-rata over three years but accelerate to full vesting upon appointment of a permanent CFO, reflecting the company's interim leadership arrangement.

• · Director election results: Dr. Lance D. Bultena received 37,807,443 for, 746,452 against, 120,869 abstain, 6,321,679 broker non-votes; Dr. José-Marie Griffiths received 36,672,583 for, 1,826,527 against, 175,651 abstain, 6,321,679 broker non-votes.
• · Advisory say-on-pay proposal passed with 35,223,706 for, 3,209,139 against, 241,919 abstain, 6,321,679 broker non-votes.
• · Ratification of Deloitte & Touche LLP as independent auditor for FY2027 passed with 44,023,266 for, 916,770 against, 56,407 abstain.
• · The RSU grant to Howard Atkins will fully vest upon the Board's appointment of a permanent CFO, regardless of the three-year pro-rata schedule.

18-09-2026

Adient announced that board member Peter Carlin will step down from the board effective Oct. 1, 2026, and join the company as CFO on Nov. 16, 2026, replacing Mark Oswald who departs the same day. The board will be reduced from eight to seven directors. This is a leadership transition with no financial results or regulatory action.

• · Peter Carlin has served on the board since 2018.
• · Carlin will initially serve as VP, Finance from Oct. 1, 2026, before becoming EVP & CFO on Nov. 16, 2026.
• · Mark Oswald's departure as EVP & CFO is also effective Nov. 16, 2026.
• · The board reduction from eight to seven directors is effective Oct. 1, 2026.

18-09-2026

Pentair plc appointed Louis V. Pinkham as a director and member of the Audit and Finance Committee, effective September 17, 2026. Mr. Pinkham is deemed independent under NYSE standards and will receive standard non-employee director compensation. No financial metrics or period-over-period comparisons are included in this filing.

• · Mr. Pinkham will enter into a Deed of Indemnification with the Company and an Indemnification Agreement with Pentair Management Company, forms filed as Exhibits 10.15 and 10.16 to the June 3, 2014 Form 8-K.
• · The appointment fills a board vacancy and adds a member to the Audit and Finance Committee.

18-09-2026

Inhibitor Therapeutics held its 2026 Annual Meeting on September 15, 2026, where all six director nominees were elected, the appointment of Cherry Bekaert LLP as auditor was ratified, the 2025 Share Incentive Plan was approved, and executive compensation (say-on-pay) was approved on a non-binding advisory basis. However, the advisory vote on the frequency of future say-on-pay votes showed a strong preference for a 3-year cycle (76,086,572 votes) over a 1-year cycle (22,443,829 votes), indicating shareholder desire for less frequent compensation votes.

• · All six director nominees received over 96.6 million votes for, with Michelle Yanez and Michael Jerman receiving the highest support (98,342,951 votes for each).
• · Broker non-votes totaled 12,986,028 on director election, incentive plan, and say-on-pay proposals.
• · Auditor ratification had no broker non-votes, indicating it was a routine matter.
• · The 2025 Share Incentive Plan passed with 96,249,721 votes for and 3,208,603 against.
• · Say-on-pay was approved with 96,854,767 votes for and 2,605,058 against.
• · The frequency vote showed a strong preference for a 3-year cycle (76,086,572 votes) over 1-year (22,443,829 votes) or 2-year (10,501 votes).

18-09-2026

Lion Copper Corp. disclosed in an 8-K filing that its Board approved a 50% increase in CEO John Banning's annual base salary from $250,000 to $375,000, retroactive to September 1, 2026. The change, recommended by the Compensation Committee, does not alter other terms of his employment agreement. No other officer changes or financial results were reported.

• · The salary increase was approved on September 14, 2026, and is retroactive to September 1, 2026.
• · The change was recommended by the Compensation Committee and approved by the Board of Directors.
• · No other material terms of Mr. Banning's employment agreement were altered.

18-09-2026

Universal Corporation (UVV) terminated J. Patrick O'Keefe, Vice President of Ingredients, without cause effective September 15, 2026, following his earlier notification of intent to retire on July 29, 2026. The company is continuing its search for a successor with the assistance of an executive search firm.

• · Termination was without cause, effective September 15, 2026.
• · Mr. O'Keefe had previously notified the company of his intention to retire on July 29, 2026.
• · The company is using an executive search firm to identify a successor.

18-09-2026

Okta announced the appointment of Helen Riley, CFO and COO of X (The Moonshot Factory), to its board of directors, effective September 18, 2026. Concurrently, Emilie Choi stepped down from the board on September 14, 2026. The changes reflect Okta's focus on securing AI, but the departure of a board member may signal a transition in governance.

• · Helen Riley has served as CFO and COO at X since 2023, previously VP and CFO from 2015.
• · Riley previously served on the boards of Eventbrite (July 2018 - April 2026) and Marqeta (May 2020 - June 2025).
• · Riley holds a BA and MA from the University of Oxford and an MBA from Harvard Business School.
• · Emilie Choi's departure was effective September 14, 2026.

18-09-2026

Farmers National Banc Corp. announced the departure of Myke Matuszak, Senior Executive Vice President and Chief Operating Officer, effective October 15, 2026. The separation was by mutual agreement. No financial terms or replacement details were disclosed.

• · Departure effective date: October 15, 2026
• · Separation was by mutual agreement
• · No successor or interim COO named in the filing
• · No severance or compensation details disclosed

18-09-2026

First Carolina Financial Services, Inc. (NYSE: FCBM) announced the retirement of Steven Deaton, CFO and Chief Risk Officer, effective January 1, 2027. The press release highlights his contributions during periods of expansion, the acquisition of BM Technologies, and the recent IPO, but does not name a successor or provide any financial impact or performance metrics.

• · No successor has been named for the CFO/CRO role.
• · The retirement is effective January 1, 2027, providing a transition period of over three months.
• · Deaton held multiple senior roles including President, CEO, CFO, Chief Credit Officer, and Chief Risk Officer across various institutions.

18-09-2026

On September 17, 2026, Jeffrey A. Wilkinson resigned from the Board of Directors of Third Coast Bancshares, Inc. (TCBX), effective immediately. The resignation was not due to any disagreement with the company regarding its operations, policies, or practices. The departure does not involve any financial metrics or performance changes.

• · Resignation effective September 17, 2026.
• · No disagreement with the company's operations, policies, or practices was cited.

18-09-2026

On September 18, 2026, David Hytha, the Secretary, Treasurer and Chief Financial Officer of C1 Fund Inc., disclosed his intent to retire effective December 31, 2026. The company plans to identify a replacement before his retirement date. No financial figures or performance metrics were disclosed in this filing.

• · David Hytha holds the combined roles of Secretary, Treasurer and CFO.
• · The retirement is effective December 31, 2026, providing a transition period of over three months.
• · The filing was signed by David Hytha himself in his capacity as Secretary, Treasurer and CFO.

18-09-2026

On September 16, 2026, the Compensation and Human Resources Committee of Lennox International Inc. approved a new Long-Term Incentive Award Agreement for U.S. employees at the Vice President level and above, under the 2019 Equity and Incentive Compensation Plan. The updated form covers restricted stock units, performance share units, and stock appreciation rights, with revisions to vesting/exercise schedules and retirement eligibility.

• · The Compensation and Human Resources Committee approved the new award agreement on September 16, 2026.
• · The agreement is for U.S. employees at the Vice President level and above.
• · Changes from the previous form include updates to vesting and exercise schedules, retirement eligibility, and other administrative and conforming changes.

18-09-2026

Concentrix Corp announced that EVP of Customer Success Cormac Twomey will step down effective December 31, 2026, and will provide limited transition consulting for 60 days thereafter. The departure is treated as a termination without cause, entitling him to severance under the company's executive severance plan and a 2019 service agreement. No financial terms or replacement were disclosed.

• · Departure effective December 31, 2026
• · Agreement dated September 15, 2026
• · Severance based on Amended and Restated Executive Severance Plan and 2019 Service Agreement
• · No successor or interim replacement named

18-09-2026

On September 14, 2026, Paul V. Goode resigned from the Board of Directors of Glucotrack, Inc., effective immediately, citing a potential conflict of interest related to ongoing discussions with subsidiary Lokahi Therapeutics regarding the merger agreement. The company filed the resignation notice as an exhibit and will file any response from Mr. Goode within two business days. No financial impact was disclosed.

• · Resignation effective immediately on September 14, 2026
• · Conflict of interest relates to implementation of duties, rights, and obligations under the merger agreement with Lokahi Therapeutics
• · Company provided Mr. Goode with a copy of disclosures and opportunity to respond; any response will be filed as an exhibit within two business days
• · Exhibit 17.1 contains the resignation notice

18-09-2026

Identiv, Inc. (INVE) announced the resignation of CEO Kirsten Newquist, effective September 21, 2026, and her departure from the Board effective September 30, 2026. The Board appointed James Greenwell as Interim CEO, effective September 21, 2026, with compensation paid to Korn Ferry at approximately $18,000 per week. The interim arrangement is expected to run through March 26, 2027, with a possible conversion fee if Greenwell is hired permanently.

• · James Greenwell, 67, previously served as CEO of Spectrum Labs, LLC from February 2023 to December 2025.
• · Greenwell was President and Board member of SpotLite360 IOT Solutions Inc. from February 2020 to May 2022.
• · Greenwell served as Consulting COO of CBD Global Sciences, Inc. from January 2019 to February 2020.
• · Greenwell was Vice President, Voice Product at Intelligrated after its acquisition by Honeywell.
• · Greenwell holds an M.B.A. from Saint Mary's College of California and a B.A. in Business from Michigan State University.
• · Korn Ferry will charge a non-refundable conversion fee if Greenwell is hired within 12 months of SOW completion.
• · The SOW can be terminated by the Company with two weeks' written notice.
• · No family relationships or material interests were disclosed between Greenwell and the Company's directors/officers.

18-09-2026

Smith Micro Software announced that founder Bill Smith has returned as President and CEO, succeeding Tim Huffmyer, who resigned to pursue other opportunities but will remain on the board. Smith, who led the company for over four decades until March 2026, will bring continuity and industry expertise. The outgoing CEO is credited with improving operational efficiency and establishing a leaner foundation for growth, while the company highlights new products, expanding customer relationships, and a healthy pipeline as drivers of optimism.

• · Bill Smith served as chairman, president and CEO from company inception in 1982 until March 2026.
• · Smith has been executive chairman since March 2026.
• · Tim Huffmyer will continue to serve on the board of directors.
• · Smith holds a Bachelor of Arts in Business Administration from Grove City College.

18-09-2026

Valero Energy Corporation expanded its board to 11 members and elected Matthew Audette as a new director, effective September 17, 2026. Audette will serve on the Audit Committee and received a pro-rata equity grant of 372 stock units and a pro-rata cash retainer of $101,667. The board also approved a modest $10,000 increase to both the annual cash retainer and equity grant components of its non-employee director compensation program, effective 2027.

• · The board increased its size from an undisclosed prior number to 11 members.
• · Matthew Audette's initial term expires at the 2027 annual meeting of stockholders, where he is expected to stand for re-election.
• · The pro-rata equity grant of 372 stock units vests in full on the first anniversary of the grant date.
• · The $10,000 increase to director compensation components was approved by the Human Resources and Compensation Committee and takes effect in 2027.

18-09-2026

American Tower Corporation announced the election of Kristen M. Ludgate to its Board of Directors, effective September 18, 2026. Ms. Ludgate brings extensive experience from HP Inc. and 3M Company in governance, talent strategy, and enterprise transformation. Concurrently, the Board declared a quarterly cash distribution of $1.79 per share, payable on October 20, 2026, to stockholders of record on September 30, 2026.

• · Kristen M. Ludgate most recently served as Chief People Officer of HP Inc. from 2021 to 2025.
• · She spent over 15 years at 3M Company, holding c-suite roles including Executive Vice President and Chief Human Resources Officer.
• · Ms. Ludgate currently chairs the Compensation and Benefits committee at Associated Banc-Corp.
• · The quarterly distribution of $1.79 per share is payable on October 20, 2026, to stockholders of record on September 30, 2026.
• · American Tower's portfolio includes over 148,000 communications sites and U.S. data center facilities.

18-09-2026

Acorn Energy, Inc. held its Annual Meeting of Stockholders on September 16, 2026, where all five director nominees were elected and the 2026 Stock Incentive Plan was approved. Stockholders also ratified the appointment of CBIZ CPAs P.C. as independent auditor and approved, on a non-binding advisory basis, named executive officer compensation. All proposals passed with strong support, though Samuel M. Zentman received a notable 4.4% withhold vote (45,034 votes withheld).

• · Samuel M. Zentman received 45,034 votes withheld (4.4% of votes cast), significantly higher than other director nominees who each had fewer than 2,600 withheld votes.
• · The 2026 Stock Incentive Plan received 91,284 votes against (8.8% of votes cast), the highest opposition among all proposals.
• · Broker non-votes were 832,620 for director elections and most proposals, but zero for auditor ratification (a routine matter).
• · The say-on-pay advisory vote had 76,130 votes against (7.4% of votes cast) and 579 abstentions.
• · All five directors were elected to serve until the 2027 Annual Meeting.

18-09-2026

Healthy Extracts Inc. announced the resignation of Bill Croyle from its Board of Directors, effective September 13, 2026. His board and committee positions will remain vacant until further notice. The filing contains no financial data or performance metrics.

• · Board seat and committee positions left vacant with no timeline for replacement.
• · No reason for resignation was provided in the filing.

18-09-2026

Alpine Auto Brokers Inc. (OTC: ALTB) appointed Ms. Fang Gao to its Board of Directors effective September 18, 2026. Ms. Gao brings extensive experience in corporate management, business operations, marketing, and the biotechnology and health industries, having held senior roles at Tangshan Future Biotechnology Co., Ltd. and currently serving as Chairwoman and General Manager of Hangzhou Gongshengyuan Biotechnology Co., Ltd. The filing contains no financial data or period-over-period comparisons.

• · Ms. Gao holds an undergraduate degree in Traditional Chinese Medicine from Heilongjiang University of Chinese Medicine and a graduate degree in Industrial Economics from Wuhan University of Technology.
• · The Company is an emerging growth company as defined under SEC rules and has not elected to use the extended transition period for complying with new or revised financial accounting standards.

18-09-2026

The Federal Home Loan Bank of New York (FHLBNY) announced the election of two New Jersey Member Directors to its Board, effective January 1, 2027. Anthony Labozzetta (President & CEO, Provident Bank) was elected to a one-year term, while incumbent Ira Robbins (Chairman & CEO, Valley National Bank) was re-elected to a four-year term. The election was uncontested, with the number of nominees equaling the number of open seats, and the term adjustments were made to preserve staggered election cycles following a Board-size reduction.

• · Mr. Labozzetta will serve a one-year term ending December 31, 2027, which will not count toward the statutory limit of three consecutive four-year terms.
• · Mr. Robbins will serve a four-year term ending December 31, 2030.
• · Ballots for two open Districtwide Independent Director seats (four-year terms) will be distributed in October 2026.
• · The Board adjusted the staggering of New Jersey Member Director terms in 2025 with FHFA non-objection, following an order reducing the Board size.

18-09-2026

Gold.com, Inc. announced the appointment of Jill Van as CFO, effective September 18, 2026, succeeding Cary Dickson who is retiring. The company also appointed KPMG LLP as its independent auditor for fiscal year 2027, replacing Grant Thornton LLP. No financial results or period-over-period comparisons were provided in this filing.

• · Jill Van has over 25 years of accounting, audit, and financial leadership experience and is a CPA.
• · Cary Dickson will serve as a consultant to the company for 12 months following his retirement.
• · KPMG was appointed as auditor effective September 14, 2026, for the fiscal year ending June 30, 2027.
• · The company operates across the United States, Canada, the United Kingdom, Europe, Hong Kong, and Singapore.

18-09-2026

CreditRiskMonitor.com, Inc. announced the resignation of CFO Jennifer Gerold, effective November 17, 2026, for personal reasons, with no disagreement with the company. The company is searching for a replacement while Ms. Gerold remains to ensure an orderly transition. This is a routine officer departure with no financial impact disclosed.

• · Resignation effective date: November 17, 2026
• · Notice received on September 14, 2026
• · Company is a remote-only entity with no headquarters; agent for service is InCorp Services, Inc. in Las Vegas, NV

18-09-2026

Seer, Inc. announced the resignation of President, CFO and Treasurer David Horn effective October 1, 2026, to pursue other interests, with no disagreement related to company operations. The Board appointed CEO Omid Farokhzad as President (in addition to his existing roles) and VP of FP&A Charles Endweiss as Treasurer and principal financial/accounting officer, effective the same date. The company offered to extend the post-termination exercise period of Horn's vested options to one year following his departure, subject to a separation agreement.

• · David Horn's resignation is effective October 1, 2026.
• · Charles Endweiss, age 49, joined Seer in January 2021 as VP of FP&A; prior role was Head of Business Operations, Oral Health at Carbon (August 2017 to January 2021).
• · Endweiss holds a B.A. in Business from University of Illinois, Urbana-Champaign and an M.B.A. from Santa Clara University.
• · Endweiss entered into a standard indemnification agreement filed as Exhibit 10.1 to the company's S-1 registration statement (File No. 333-250035) on November 12, 2020.
• · No family relationships or reportable transactions under Item 404(a) for Endweiss.

18-09-2026

Saratoga Investment Corp. announced that CFO/Chief Compliance Officer/Treasurer/Secretary Henri Steenkamp will step down effective October 31, 2026, for health-related reasons, but will remain on the Board and in a consulting role. Three internal promotions were announced to fill the roles: Christine Ramdihal as Chief Accounting Officer and Treasurer (principal financial officer), Rochelle Kracoff as Chief Compliance Officer and Secretary, and James Soltesz as Investment Manager and Vice President of Capital Markets. The transition is designed to ensure continuity, with no financial impact disclosed.

• · Henri Steenkamp will step down from executive roles effective October 31, 2026, but will remain on the Board of Directors and CFO of SBIC subsidiaries.
• · Christine Ramdihal has been with Saratoga for almost 10 years, previously as Controller, and has 7 years of external audit experience at CBIZ and BDO.
• · Rochelle Kracoff joined in 2017 and has served as Assistant Chief Compliance Officer and Treasury Manager since 2021.
• · James Soltesz is an Investment Manager at Saratoga Investment Advisors, LLC, responsible for the third-party CLO security business.
• · The company manages a $350 million CLO fund and co-manages a JV fund owning a $400 million CLO.
• · The company owns two active SBIC-licensed subsidiaries and surrendered its first license after repaying all debentures.