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US Pre-Market SEC Filings Roundup — September 10, 2026

USA Before-Market Intelligence

By Gunpowder Editorial ·

34 high priority 16 medium priority 50 total filings analysed

Executive Summary

Overnight filings reveal a market bifurcated between aggressive capital deployment and insider profit-taking. Axogen's $200M acquisition of BioCircuit Technologies and Indaptus' $24M raise signal continued M&A and financing activity in medtech, while Elevance Health's reaffirmed guidance provides stability in managed care.

Insider activity is notably heavy in bitcoin miners (CleanSpark, TeraWulf) and Dell Technologies, where Silver Lake entities are systematically reducing stakes at ~$515-519/share, suggesting potential valuation concerns at current levels. Biohaven's partial clinical hold introduces regulatory overhang in neurology, partially offset by a new licensing deal with SK Biopharmaceuticals. The Equitable-Corebridge merger advances with quantified synergies, while YPF's debt tender offer and H World's $470M bond pricing reflect active liability management. SPAC activity (Elevation Acquisition IPO, XCF Global meeting postponement) and a 22.7% activist stake in Abits Group highlight continued special situations. Overall, the tape is constructive but selective, with capital flowing to growth and consolidation while insiders in high-flying sectors take profits.

Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →

Filing types in this digest: Form 4 · Schedule 13D · Schedule 13G · 8-K · DEFA14A · 425 · S-1

Tracking the trend? Catch up on the prior US Pre-Market SEC Filings Roundup digest from September 02, 2026.

Investment Signals (12)

  • Axogen ↓ (BULLISH)
    ▲

    Acquiring BioCircuit Technologies for $200M cash, adding FDA-approved NerveTape™; expected to be accretive to revenue growth, adjusted EBITDA margin, and adjusted EPS in first year post-close, with positive FCF maintained

  • ▲

    Reaffirmed FY2026 EPS guidance of at least $20.10 (adjusted $27.00), with benefit expense ratio of 90.2% ±50bps, signaling stability in managed care

  • Merger with Corebridge targets 10%+ EPS accretion, $500M expense synergies, and $90-100B assets directed to AllianceBernstein; close expected by end of 2026

  • August 2026 revenues up 33.3% YoY to NT$2,785.7M, though down 1.3% MoM, indicating strong demand but slight sequential slowdown

  • ▲

    Director Akkaraju Srinivas bought $2.9M of stock at ~$10.63-11.17, increasing stake to 2.3M shares, a strong insider conviction signal

  • ▲

    CEO Pollitzer Adam exercised options at $16-22.19, acquiring ~$1.18M in shares, now holding 331,392 shares, indicating confidence in long-term value

  • Director Sites Eric bought 1,000 shares at $1.90, a small but notable insider purchase at low valuation

  • Silver Lake entities sold ~$12.4M of Class C shares at $515-519, reducing stakes significantly, potentially signaling distribution phase

  • NVE CORP ↓ (BEARISH)
    ▲

    Director Baker Daniel sold $1.94M at ~$101.54, reducing holdings by over 50%, a notable insider sell at high valuation

  • TeraWulf ↓ (BEARISH)
    ▲

    Director Motz Catherine sold 56,023 shares at $17.81 (~$998K), reducing exposure amid bitcoin miner rally

  • ▲

    FDA partial clinical hold on BHV-7000 pauses new enrollment, but topline data for BHV7000-303 remain on track for H2 2026; licensing deal with SK Biopharmaceuticals adds optionality

  • ▲

    ARC Group disclosed 22.7% stake with super-voting preferred shares (6 votes each), plans for acquisitions could lead to Nasdaq delisting

Risk Flags (9)

  • ▼

    FDA partial clinical hold on BHV-7000 program (Sept 4, 2026) pauses new enrollment pending nonclinical studies on a metabolite; over 600 patients continue dosing, but program expansion is stalled

  • Silver Lake entities sold ~$12.4M across multiple filings at $515-519, with holdings in some entities reduced to near zero, suggesting potential distribution at peak valuations

  • Multiple executives (CEO, CFO, CTO, CAO) had shares withheld for taxes under 10b5-1 plans, totaling ~$6.3M, indicating high compensation but also potential overhang

  • XCF Global/Deal Risk↓ [MEDIUM RISK]
    ▼

    Special meetings postponed (XCF to Sept 24, DevvStream to Sept 17) for Southern Energy Renewables combination, introducing timeline uncertainty

  • ▼

    ARC Group's 22.7% stake with super-voting preferred shares could lead to Nasdaq delisting, creating governance and liquidity risk

  • ▼

    Director sold ~$1M at $17.81, a significant insider sale in a volatile crypto miner

  • ▼

    Director sold $1.94M at ~$101.54, reducing holdings by over 50%, a strong negative signal at high valuation

  • $1.25B notes offering includes special mandatory redemption if Hennessy Acquisition fails to close by Jan 6, 2027, adding balance sheet risk

  • ▼

    Tender offer for up to $1.28B of notes at premiums (101.75% and 104.2%) indicates liability management but also potential liquidity concerns

Opportunities (9)

  • Axogen/Acquisition↓ (OPPORTUNITY)
    ◆

    $200M acquisition of BioCircuit adds NerveTape™, first FDA-approved sutureless nerve repair device; accretive to revenue, EBITDA, and EPS in year one, with positive FCF maintained

  • Merger with Corebridge targets 10%+ EPS accretion, $500M expense synergies, and $90-100B assets to AllianceBernstein; close expected by end of 2026, with regulatory approvals pending

  • ◆

    August revenues up 33.3% YoY, driven by semiconductor demand; company presenting at UBS Taiwan Summit Sept 15-16, potential for positive updates

  • ALUMIS/Insider Buying↓ (OPPORTUNITY)
    ◆

    Director's $2.9M purchase at ~$10.63-11.17 signals strong conviction; potential for value realization

  • CEO exercised options at $16-22.19, indicating belief in upside; company operates in mortgage insurance with favorable rate environment

  • $24M private placement funds R&D including neurotechnology device; potential for pipeline expansion

  • ◆

    Reaffirmed guidance provides certainty in uncertain healthcare environment; adjusted EPS of $27.00 implies ~34% upside from current levels if achieved

  • ◆

    CNY3.35B ($470M) senior bond pricing indicates access to capital at attractive rates, supporting expansion

  • ◆

    S-4 effective, proxy mailed; merger with Equitable creates top-tier wealth manager with $5B operating earnings and 15% ROE

Sector Themes (6)

  • Insider Profit-Taking in Tech and Crypto (PATTERN)
    ◆

    Multiple insiders (Dell/Silver Lake, NVE, TeraWulf, CleanSpark) are selling or having shares withheld for taxes, suggesting a distribution phase in high-flying sectors

  • Medtech M&A and Financing (PATTERN)
    ◆

    Axogen's $200M acquisition and Indaptus' $24M raise highlight continued capital deployment in medical devices, with a focus on innovative products

  • Bitcoin Miner Insider Activity (PATTERN)
    ◆

    CleanSpark and TeraWulf insiders are selling or having shares withheld, while stock prices remain elevated, indicating potential overvaluation concerns

  • Financial Services Consolidation (PATTERN)
    ◆

    Equitable-Corebridge merger and ICICI Prudential's approval to acquire stakes in four banks signal ongoing consolidation in financial services

  • Debt Management and Refinancing (PATTERN)
    ◆

    YPF's tender offer and H World's bond pricing reflect active liability management across sectors, with companies taking advantage of favorable credit conditions

  • SPAC Activity Resurgence (PATTERN)
    ◆

    Elevation Acquisition Group's IPO and XCF Global's postponed meetings indicate renewed SPAC activity, though with execution risks

Watch List (8)

  • Biohaven↓ (WATCH)
    👁

    FDA partial clinical hold resolution; BHV7000-303 topline data expected H2 2026; watch for additional nonclinical data and potential lifting of hold

  • Axogen↓ (WATCH)
    👁

    Acquisition close expected Q4 2026; updated FY2026 guidance post-close; watch for integration progress and revenue contribution from NerveTape™

  • Merger close expected end of 2026; watch for state regulatory approvals and international approvals for AllianceBernstein

  • Special meetings rescheduled to Sept 17 and Sept 24, 2026; watch for shareholder vote outcomes on Southern Energy Renewables combination

  • ChipMOS↓ (WATCH)
    👁

    UBS Taiwan Summit Sept 15-16, 2026; watch for management commentary on business trends and growth opportunities

  • 👁

    Hennessy Acquisition close and note offering; special mandatory redemption if not closed by Jan 6, 2027

  • Abits Group↓ (WATCH)
    👁

    ARC Group's 22.7% stake and potential acquisitions; watch for Nasdaq delisting risk and governance changes

  • 👁

    Q3 2026 earnings (late October) to confirm guidance; watch for any changes to benefit expense ratio

Filing Analyses (50)
RxSight, Inc. 4 neutral materiality 1/10

09-09-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

NMI Holdings, Inc. 4 neutral materiality 7/10

09-09-2026

Chief Executive Officer Pollitzer Adam exercised/converted 25,426 Common Shares, $0.01 par value per share at $22.19 (~$564K). 6 transactions reported in total. Pollitzer Adam holds 331,392 shares after the transaction.

  • · Chief Executive Officer Pollitzer Adam exercised/converted 16,264 Common Shares, $0.01 par value per share at $18.70 (~$304K)
  • · Chief Executive Officer Pollitzer Adam exercised/converted 19,435 Common Shares, $0.01 par value per share at $16.00 (~$311K)
  • · Chief Executive Officer Pollitzer Adam exercised/converted 25,426 Common Shares, $0.01 par value per share at $22.19 (~$564K)
  • · Chief Executive Officer Pollitzer Adam exercised/converted 16,264 Stock Option (right to buy)
  • · Chief Executive Officer Pollitzer Adam exercised/converted 19,435 Stock Option (right to buy)
  • · Chief Executive Officer Pollitzer Adam exercised/converted 25,426 Stock Option (right to buy)
RxSight, Inc. 4 neutral materiality 4/10

09-09-2026

See remarks Weinberg Eric disposed to the issuer 87,437 Stock option (right to buy). 10 transactions reported in total.

  • · See remarks Weinberg Eric disposed to the issuer 87,437 Stock option (right to buy)
  • · See remarks Weinberg Eric disposed to the issuer 95,000 Stock Option (right to buy)
  • · See remarks Weinberg Eric disposed to the issuer 92,200 Stock Option (right to buy)
  • · See remarks Weinberg Eric disposed to the issuer 50,000 Stock Option (right to buy)
  • · See remarks Weinberg Eric disposed to the issuer 125,000 Stock Option (right to buy)
  • · See remarks Weinberg Eric was awarded 65,742 Stock Option (right to buy)
  • · See remarks Weinberg Eric was awarded 82,608 Stock Option (right to buy)
  • · See remarks Weinberg Eric was awarded 59,483 Stock Option (right to buy)
Wing Yip Food Holdings Group Ltd 4 neutral materiality 5/10

09-09-2026

Chief Executive Officer Wang Tingfeng was awarded 13,000,000 Ordinary Shares. Wang Tingfeng holds 16,233,007 shares after the transaction.

  • · Chief Executive Officer Wang Tingfeng was awarded 13,000,000 Ordinary Shares
RxSight, Inc. 4 neutral materiality 5/10

09-09-2026

Chief Medical Officer Kurtz Ronald M MD disposed to the issuer 338,819 Stock option (right to buy). 8 transactions reported in total.

  • · Chief Medical Officer Kurtz Ronald M MD disposed to the issuer 338,819 Stock option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD disposed to the issuer 200,000 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD disposed to the issuer 149,000 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD disposed to the issuer 215,000 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD was awarded 254,751 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD was awarded 173,913 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD was awarded 96,129 Stock Option (right to buy)
  • · Chief Medical Officer Kurtz Ronald M MD was awarded 161,654 Stock Option (right to buy)
RxSight, Inc. 4 neutral materiality 5/10

09-09-2026

Chief Operating Officer Goldshleger Ilya disposed to the issuer 98,367 Stock option (right to buy). 10 transactions reported in total.

  • · Chief Operating Officer Goldshleger Ilya disposed to the issuer 98,367 Stock option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya disposed to the issuer 120,000 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya disposed to the issuer 92,200 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya disposed to the issuer 50,000 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya disposed to the issuer 125,000 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya was awarded 73,960 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya was awarded 104,347 Stock Option (right to buy)
  • · Chief Operating Officer Goldshleger Ilya was awarded 59,483 Stock Option (right to buy)
Rekor Systems, Inc. 4 neutral materiality 3/10

09-09-2026

Chief People Officer SHAKERDGE-HENNESSY DEBRA had withheld for taxes 580 Common Stock at $0.51 (~$297). SHAKERDGE-HENNESSY DEBRA holds 98,318 shares after the transaction.

  • · Chief People Officer SHAKERDGE-HENNESSY DEBRA had withheld for taxes 580 Common Stock at $0.51 (~$297)
Better Home & Finance Holding Co 4 neutral materiality 5/10

09-09-2026

Chief Operating Officer FEIERSTEIN BARRY exercised/converted 18,750 Class A Common Stock. FEIERSTEIN BARRY holds 18,750 shares after the transaction.

  • · Chief Operating Officer FEIERSTEIN BARRY exercised/converted 18,750 Class A Common Stock
  • · Chief Operating Officer FEIERSTEIN BARRY exercised/converted 18,750 Restricted Stock Units (Class A)
Dell Technologies Inc. 4 negative materiality 6/10

09-09-2026

Director Silver Lake Partners V DE (AIV), L.P. sold 3,310 Class C Common Stock at $518.43 (~$1.72M). 14 transactions reported in total. Silver Lake Partners V DE (AIV), L.P. holds 50,444 shares after the transaction.

  • · Director Silver Lake Partners V DE (AIV), L.P. sold 3,207 Class C Common Stock at $515.53 (~$1.65M)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 1,700 Class C Common Stock at $516.38 (~$878K)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 2,849 Class C Common Stock at $517.63 (~$1.47M)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 3,310 Class C Common Stock at $518.43 (~$1.72M)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 1,285 Class C Common Stock at $519.41 (~$667K)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 1,097 Class C Common Stock at $520.58 (~$571K)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 2,103 Class C Common Stock at $521.59 (~$1.1M)
  • · Director Silver Lake Partners V DE (AIV), L.P. sold 2,922 Class C Common Stock at $522.66 (~$1.53M)
Dell Technologies Inc. 4 negative materiality 6/10

09-09-2026

Director Silver Lake Technology Investors IV, L.P. sold 129 Class C Common Stock at $518.43 (~$66.9K). 15 transactions reported in total. Silver Lake Technology Investors IV, L.P. holds 7 shares after the transaction.

  • · Director Silver Lake Technology Investors IV, L.P. sold 125 Class C Common Stock at $515.53 (~$64.4K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 66 Class C Common Stock at $516.38 (~$34.1K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 111 Class C Common Stock at $517.63 (~$57.5K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 129 Class C Common Stock at $518.43 (~$66.9K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 50 Class C Common Stock at $519.41 (~$26K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 43 Class C Common Stock at $520.58 (~$22.4K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 82 Class C Common Stock at $521.59 (~$42.8K)
  • · Director Silver Lake Technology Investors IV, L.P. sold 114 Class C Common Stock at $522.66 (~$59.6K)
Dell Technologies Inc. 4 negative materiality 6/10

09-09-2026

Director Silver Lake Technology Investors V, L.P. sold 58 Class C Common Stock at $518.43 (~$30.1K). 15 transactions reported in total. Silver Lake Technology Investors V, L.P. holds 3 shares after the transaction.

  • · Director Silver Lake Technology Investors V, L.P. sold 56 Class C Common Stock at $515.53 (~$28.9K)
  • · Director Silver Lake Technology Investors V, L.P. sold 30 Class C Common Stock at $516.38 (~$15.5K)
  • · Director Silver Lake Technology Investors V, L.P. sold 50 Class C Common Stock at $517.63 (~$25.9K)
  • · Director Silver Lake Technology Investors V, L.P. sold 58 Class C Common Stock at $518.43 (~$30.1K)
  • · Director Silver Lake Technology Investors V, L.P. sold 23 Class C Common Stock at $519.41 (~$11.9K)
  • · Director Silver Lake Technology Investors V, L.P. sold 19 Class C Common Stock at $520.58 (~$9.89K)
  • · Director Silver Lake Technology Investors V, L.P. sold 37 Class C Common Stock at $521.59 (~$19.3K)
  • · Director Silver Lake Technology Investors V, L.P. sold 51 Class C Common Stock at $522.66 (~$26.7K)
Dell Technologies Inc. 4 negative materiality 6/10

09-09-2026

Director Silver Lake Partners IV, L.P. sold 10,052 Class C Common Stock at $519.11 (~$5.22M). 23 transactions reported in total. Silver Lake Partners IV, L.P. holds 1,356,628 shares after the transaction.

  • · Director Silver Lake Partners IV, L.P. sold 6,116 Class C Common Stock at $515.53 (~$3.15M)
  • · Director Silver Lake Partners IV, L.P. sold 3,243 Class C Common Stock at $516.38 (~$1.67M)
  • · Director Silver Lake Partners IV, L.P. sold 5,434 Class C Common Stock at $517.63 (~$2.81M)
  • · Director Silver Lake Partners IV, L.P. sold 6,314 Class C Common Stock at $518.43 (~$3.27M)
  • · Director Silver Lake Partners IV, L.P. sold 2,452 Class C Common Stock at $519.41 (~$1.27M)
  • · Director Silver Lake Partners IV, L.P. sold 2,093 Class C Common Stock at $520.58 (~$1.09M)
  • · Director Silver Lake Partners IV, L.P. sold 4,012 Class C Common Stock at $521.59 (~$2.09M)
  • · Director Silver Lake Partners IV, L.P. sold 5,573 Class C Common Stock at $522.66 (~$2.91M)
Dell Technologies Inc. 4 negative materiality 5/10

09-09-2026

Director SL SPV-2, L.P. sold 5,762 Class C Common Stock at $518.43 (~$2.99M). 15 transactions reported in total. SL SPV-2, L.P. holds 97,315 shares after the transaction.

  • · Director SL SPV-2, L.P. sold 5,581 Class C Common Stock at $515.53 (~$2.88M)
  • · Director SL SPV-2, L.P. sold 2,959 Class C Common Stock at $516.38 (~$1.53M)
  • · Director SL SPV-2, L.P. sold 4,959 Class C Common Stock at $517.63 (~$2.57M)
  • · Director SL SPV-2, L.P. sold 5,762 Class C Common Stock at $518.43 (~$2.99M)
  • · Director SL SPV-2, L.P. sold 2,237 Class C Common Stock at $519.41 (~$1.16M)
  • · Director SL SPV-2, L.P. sold 1,910 Class C Common Stock at $520.58 (~$994K)
  • · Director SL SPV-2, L.P. sold 3,661 Class C Common Stock at $521.59 (~$1.91M)
  • · Director SL SPV-2, L.P. sold 5,086 Class C Common Stock at $522.66 (~$2.66M)
NOCOPI TECHNOLOGIES INC/MD/ 4 positive materiality 5/10

09-09-2026

Director Sites Eric bought 1,000 Common Stock at $1.90 (~$1.9K). Sites Eric holds 1,000 shares after the transaction.

  • · Director Sites Eric bought 1,000 Common Stock at $1.90 (~$1.9K)
Abits Group Inc SC 13D mixed materiality 8/10

09-09-2026

ARC Group International Ltd. disclosed a 22.7% beneficial ownership stake in Abits Group Inc (ABTS) via a Schedule 13D filed September 9, 2026. The stake, acquired for $8.5 million (including a $3.5 million promissory note), consists of 461,354 ordinary shares held directly and 10,666 ordinary shares plus 333,333 preferred shares held indirectly through Bridgeforrest (BVI) Inc. The filing also details governance changes, including the appointment of two independent directors and a Chief Investment Officer, and outlines plans for potential business acquisitions, which could lead to Nasdaq delisting.

  • · The preferred shares carry six votes per share, giving ARC Group significant voting power.
  • · The promissory note matures in August 2027.
  • · The Purchase Agreement includes a 6-month lock-up on equity issuance without ARC's consent.
  • · Mr. Deng has a right of first refusal to purchase the Legacy Business within 9 months of closing.
  • · The filing warns that some plans may cause the ordinary shares to be delisted from Nasdaq.
SS Innovations International, Inc. 4 negative materiality 4/10

09-09-2026

Chairman and CEO Sudhir Srivastava sold 33,333 Common Stock, $0.0001 par value at $3.00 (~$100K). Sudhir Srivastava holds 108,520,928 shares after the transaction.

  • · Chairman and CEO Sudhir Srivastava sold 33,333 Common Stock, $0.0001 par value at $3.00 (~$100K)
ALUMIS INC. 4 positive materiality 7/10

09-09-2026

Director AKKARAJU SRINIVAS bought 273,291 Common Stock at $10.63 (~$2.9M). 6 transactions reported in total. AKKARAJU SRINIVAS holds 2,298,783 shares after the transaction.

  • · Director AKKARAJU SRINIVAS bought 220,070 Common Stock at $11.17 (~$2.46M)
  • · Director AKKARAJU SRINIVAS bought 220,070 Common Stock at $11.17 (~$2.46M)
  • · Director AKKARAJU SRINIVAS sold 48,066 Common Stock at $10.55 (~$507K)
  • · Director AKKARAJU SRINIVAS sold 48,065 Common Stock at $10.55 (~$507K)
  • · Director AKKARAJU SRINIVAS bought 273,291 Common Stock at $10.63 (~$2.9M)
  • · Director AKKARAJU SRINIVAS bought 273,290 Common Stock at $10.63 (~$2.9M)
CLEANSPARK, INC. 4 neutral materiality 4/10

09-09-2026

Chief Accounting Officer Carson Brian Jay had withheld for taxes 36,836 Common Stock at $13.34 (~$491K). 9 transactions reported in total. Carson Brian Jay holds 140,511 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · Chief Accounting Officer Carson Brian Jay exercised/converted 93,612 Common Stock
  • · Chief Accounting Officer Carson Brian Jay had withheld for taxes 36,836 Common Stock at $13.34 (~$491K)
  • · Chief Accounting Officer Carson Brian Jay exercised/converted 16,375 Common Stock
  • · Chief Accounting Officer Carson Brian Jay had withheld for taxes 6,444 Common Stock at $12.61 (~$81.3K)
  • · Chief Accounting Officer Carson Brian Jay exercised/converted 43,666 Common Stock
  • · Chief Accounting Officer Carson Brian Jay had withheld for taxes 17,183 Common Stock at $13.34 (~$229K)
  • · Chief Accounting Officer Carson Brian Jay exercised/converted 93,612 Restricted Stock Units
  • · Chief Accounting Officer Carson Brian Jay exercised/converted 16,375 Restricted Stock Units
NVE CORP /NEW/ 4 negative materiality 8/10

09-09-2026

Director BAKER DANIEL A sold 19,140 Common Stock at $101.54 (~$1.94M). BAKER DANIEL A holds 17,932 shares after the transaction.

  • · Director BAKER DANIEL A sold 2,000 Common Stock at $101.00 (~$202K)
  • · Director BAKER DANIEL A sold 19,140 Common Stock at $101.54 (~$1.94M)
NORTHERN TECHNOLOGIES INTERNATIONAL CORP 4 neutral materiality 6/10

09-09-2026

President and CEO Ramdas Gautam was awarded 43,805 Common Stock. Ramdas Gautam holds 118,932.41 shares after the transaction.

  • · President and CEO Ramdas Gautam was awarded 43,805 Common Stock
  • · President and CEO Ramdas Gautam was awarded 15,278 Stock Option (right to buy)
CLEANSPARK, INC. 4 negative materiality 6/10

09-09-2026

CTO, COO Monnig Taylor had withheld for taxes 52,004 Common Stock at $13.34 (~$694K). 12 transactions reported in total. Monnig Taylor holds 319,918 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · CTO, COO Monnig Taylor exercised/converted 132,158 Common Stock
  • · CTO, COO Monnig Taylor had withheld for taxes 52,004 Common Stock at $13.34 (~$694K)
  • · CTO, COO Monnig Taylor sold 13,216 Common Stock at $13.34 (~$176K)
  • · CTO, COO Monnig Taylor exercised/converted 45,125 Common Stock
  • · CTO, COO Monnig Taylor had withheld for taxes 17,757 Common Stock at $12.61 (~$224K)
  • · CTO, COO Monnig Taylor sold 4,513 Common Stock at $12.61 (~$56.9K)
  • · CTO, COO Monnig Taylor exercised/converted 120,333 Common Stock
  • · CTO, COO Monnig Taylor had withheld for taxes 47,351 Common Stock at $13.34 (~$632K)
TERAWULF INC. 4 negative materiality 5/10

09-09-2026

Director Motz Catherine J. sold 56,023 Common stock, $0.001 par value per share at $17.81 (~$998K). Motz Catherine J. holds 153,218 shares after the transaction.

  • · Director Motz Catherine J. sold 56,023 Common stock, $0.001 par value per share at $17.81 (~$998K)
CLEANSPARK, INC. 4 neutral materiality 4/10

09-09-2026

EVP, Chief Development Officer Garrison Scott Eugene had withheld for taxes 58,863 Common Stock at $13.34 (~$785K). 9 transactions reported in total. Garrison Scott Eugene holds 367,450 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · EVP, Chief Development Officer Garrison Scott Eugene exercised/converted 132,158 Common Stock
  • · EVP, Chief Development Officer Garrison Scott Eugene had withheld for taxes 58,863 Common Stock at $13.34 (~$785K)
  • · EVP, Chief Development Officer Garrison Scott Eugene exercised/converted 45,125 Common Stock
  • · EVP, Chief Development Officer Garrison Scott Eugene had withheld for taxes 20,999 Common Stock at $12.61 (~$265K)
  • · EVP, Chief Development Officer Garrison Scott Eugene exercised/converted 120,333 Common Stock
  • · EVP, Chief Development Officer Garrison Scott Eugene had withheld for taxes 53,596 Common Stock at $13.34 (~$715K)
  • · EVP, Chief Development Officer Garrison Scott Eugene exercised/converted 132,158 Restricted Stock Units
  • · EVP, Chief Development Officer Garrison Scott Eugene exercised/converted 120,333 Restricted Stock Units
CLEANSPARK, INC. 4 neutral materiality 5/10

09-09-2026

President, CFO Vecchiarelli Gary Anthony had withheld for taxes 73,060 Common Stock at $13.34 (~$974K). 9 transactions reported in total. Vecchiarelli Gary Anthony holds 305,786 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · President, CFO Vecchiarelli Gary Anthony exercised/converted 143,171 Common Stock
  • · President, CFO Vecchiarelli Gary Anthony had withheld for taxes 56,338 Common Stock at $13.34 (~$751K)
  • · President, CFO Vecchiarelli Gary Anthony exercised/converted 69,625 Common Stock
  • · President, CFO Vecchiarelli Gary Anthony had withheld for taxes 27,397 Common Stock at $12.61 (~$345K)
  • · President, CFO Vecchiarelli Gary Anthony exercised/converted 185,666 Common Stock
  • · President, CFO Vecchiarelli Gary Anthony had withheld for taxes 73,060 Common Stock at $13.34 (~$974K)
  • · President, CFO Vecchiarelli Gary Anthony exercised/converted 143,171 Restricted Stock Units
  • · President, CFO Vecchiarelli Gary Anthony exercised/converted 69,625 Restricted Stock Units
CLEANSPARK, INC. 4 neutral materiality 5/10

09-09-2026

CEO & Chairman Schultz S. Matthew had withheld for taxes 253,587 Common Stock at $13.34 (~$3.38M). 9 transactions reported in total. Schultz S. Matthew holds 3,039,089 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · CEO & Chairman Schultz S. Matthew exercised/converted 209,042 Common Stock
  • · CEO & Chairman Schultz S. Matthew had withheld for taxes 92,070 Common Stock at $13.34 (~$1.23M)
  • · CEO & Chairman Schultz S. Matthew exercised/converted 216,125 Common Stock
  • · CEO & Chairman Schultz S. Matthew had withheld for taxes 95,095 Common Stock at $12.61 (~$1.2M)
  • · CEO & Chairman Schultz S. Matthew exercised/converted 576,333 Common Stock
  • · CEO & Chairman Schultz S. Matthew had withheld for taxes 253,587 Common Stock at $13.34 (~$3.38M)
  • · CEO & Chairman Schultz S. Matthew exercised/converted 209,042 Restricted Stock Units
  • · CEO & Chairman Schultz S. Matthew exercised/converted 216,125 Restricted Stock Units
Rocky Mountain Chocolate Factory, Inc. 4 neutral materiality 4/10

09-09-2026

Director GEYGAN JEFFREY RICHART was awarded 3,900 Common Stock. GEYGAN JEFFREY RICHART holds 1,775,873 shares after the transaction.

  • · Director GEYGAN JEFFREY RICHART was awarded 3,900 Common Stock
  • · Director GEYGAN JEFFREY RICHART was awarded 55,622 Common Stock
  • · Director GEYGAN JEFFREY RICHART disposed of 16,605 Common Stock
ICICI BANK LTD 6-K neutral materiality 6/10

10-09-2026

ICICI Bank Ltd disclosed that its subsidiary, ICICI Prudential Asset Management Company, received RBI approval to acquire up to 9.95% aggregate holding in four banks: CSB Bank, DCB Bank, Kotak Mahindra Bank, and AU Small Finance Bank. The approvals are valid for one year from September 8, 2026, and are subject to the RBI Master Direction on acquisition of shares or voting rights. This strategic move allows ICICI Prudential to take significant minority stakes in multiple banking entities, but no financial terms or specific investment amounts were disclosed.

  • · Approvals received via RBI letters dated September 8, 2026, at 7:25 p.m.
  • · Acquisition must be completed within one year from the date of RBI letters, otherwise approvals cancel.
  • · The term 'aggregate holding' is defined per the RBI Master Direction dated November 28, 2025.
GSK plc 6-K neutral materiality 1/10

10-09-2026

GSK plc filed a Form 6-K with the SEC on September 10, 2026, providing updated contact details for its media and investor relations teams. The filing contains no financial or operational information, only administrative contact updates.

Londian Wason New Energy Tech Inc. SC 13G neutral materiality 3/10

10-09-2026

SK Inc. and its wholly owned subsidiary Golden Pearl EV Solutions Limited disclosed a 17.1% beneficial ownership stake in Londian Wason New Energy Tech Inc., holding 67,193,167 ordinary shares as of August 11, 2026. The stake is held directly by Golden Pearl EV Solutions Limited, with SK Inc. as the ultimate parent. The filing is a routine Schedule 13G disclosure and does not indicate any change in control or acquisition.

  • · The filing is made jointly by SK Inc. and Golden Pearl EV Solutions Limited under Rule 13d-1(k).
  • · Golden Pearl EV Solutions Limited is a wholly owned subsidiary of SK Inc. and directly holds the shares.
  • · The ownership percentage is calculated based on 394,006,470 ordinary shares outstanding immediately after the offering.
  • · The shares have a par value of US$0.00001 per share.
  • · The filing date is September 10, 2026, and the event date is August 11, 2026.
Trailblazer Holdings, Inc. 8-K neutral materiality 3/10

10-09-2026

Trailblazer Holdings, Inc. (CYAB) amended the conversion price of its Series A Convertible Preferred Stock from an undisclosed prior amount to $0.435 per share, effective September 3, 2026. The amendment was approved by the board and holders of the requisite number of outstanding Series A shares, but does not involve any new issuance of securities or cash proceeds. No prior-period financial data is provided for comparison.

  • · The amendment was filed on September 10, 2026, but executed on September 3, 2026.
  • · The prior Conversion Price is not disclosed in this filing.
  • · The amendment was approved under Section 151 of the Delaware General Corporation Law and Section 4 of the original Series A Certificate of Designation.
  • · No new shares were issued, and no proceeds were raised in connection with this amendment.
TEN Holdings, Inc. DEFA14A neutral materiality 3/10

10-09-2026

TEN Holdings, Inc. filed a DEFA14A (definitive additional proxy materials) with the SEC on September 10, 2026, under the Securities Exchange Act of 1934. The filing indicates the company is soliciting shareholder votes, but no specific resolutions, financial figures, or comparative data were disclosed in the document.

  • · Filing is classified as Definitive Additional Materials (DEFA14A), meaning it supplements a previously filed proxy statement.
  • · The filing was submitted by the registrant (TEN Holdings, Inc.) and no fee was required.
  • · The document does not contain any resolutions, vote recommendations, or financial data.
CHIPMOS TECHNOLOGIES INC 6-K mixed materiality 5/10

10-09-2026

ChipMOS Technologies reported August 2026 consolidated revenues of NT$2,785.7 million (US$88.0 million), representing a 33.3% YoY increase from NT$2,090.3 million (US$66.0 million) in August 2025. However, revenues declined 1.3% MoM from NT$2,823.0 million (US$89.1 million) in July 2026, indicating a slight sequential slowdown.

TMD Energy Ltd 6-K neutral materiality 2/10

10-09-2026

TMD Energy Ltd filed a Form 6-K with the SEC on September 10, 2026, furnishing materials for its upcoming Annual General Meeting, including a press release, proxy statement, proxy card, and amended articles of association. The filing is procedural and contains no financial results or operational updates.

  • · Filing is a Form 6-K under Rule 13a-16/15d-16 for the month of September 2026.
  • · Commission File Number: 001-42604.
  • · Company is incorporated in the Cayman Islands with principal offices in Kuala Lumpur, Malaysia.
  • · Exhibits include press release (99.1), proxy statement (99.2), proxy card (99.3), and Second Amended and Restated Memorandum and Articles of Association (99.4).
  • · Signed by Director and CEO Dato' Sri Kam Choy Ho.
Guardian Metal Resources PLC 6-K neutral materiality 1/10

10-09-2026

Guardian Metal Resources PLC filed a Form 6-K with the SEC on September 10, 2026, providing contact information for its key advisors and representatives. The filing lists Oliver Friesen as CEO and includes details for the nominated adviser, joint brokers, and financial PR firms in the UK and US. No financial results, material events, or operational updates were disclosed in this filing.

  • · Filing type: 6-K (Foreign Issuer Report)
  • · Filing date: September 10, 2026
  • · Nominated Adviser: Cairn Financial Advisers LLP
  • · Joint Broker and Financial Adviser: Berenberg
  • · Joint Broker: Tamesis Partners LLP
  • · Financial PR (UK): Tavistock
  • · Financial PR (US): Edelman Smithfield
H World Group Ltd 6-K neutral materiality 6/10

10-09-2026

H World Group Limited announced the pricing of CNY3.35 billion (approximately $470 million) of CNY-denominated senior bonds. The filing is a Form 6-K submitted to the SEC for the month of September 2026, signed by Executive Chairman Qi Ji.

  • · The bonds are denominated in Chinese Yuan (CNY).
  • · The filing is a Form 6-K under SEC Rule 13a-16 or 15d-16.
  • · The company's principal executive office is at No. 1299 Fenghua Road, Jiading District, Shanghai, People's Republic of China.
Axogen, Inc. 8-K positive materiality 9/10

10-09-2026

Axogen, Inc. (AXGN) has entered into a definitive agreement to acquire BioCircuit Technologies for $200 million in cash, adding NerveTape™, the first FDA-approved sutureless nerve repair device. The transaction is expected to close in Q4 2026 and to be accretive to revenue growth, adjusted EBITDA margin, and adjusted EPS in the first year post-close, while Axogen maintains positive free cash flow. The acquisition is funded by net proceeds from a concurrent public offering of common stock.

  • · Transaction approved by the Boards of Directors of both Axogen and BioCircuit.
  • · Closing is subject to customary conditions, including spin-out of BioCircuit's electronics R&D business.
  • · Axogen will provide updated full-year 2026 guidance after closing; full-year 2027 guidance will be provided in Q1 2027.
  • · Axogen expects the acquisition to be additive to 2027 revenue with accretion to gross margin and adjusted EBITDA margin.
  • · Conference call scheduled for September 10, 2026 at 8:00am ET.
Artificial Intelligence Technology Solutions Inc. 8-K neutral materiality 2/10

10-09-2026

AITX issued a press release on September 10, 2026, announcing a partnership between its subsidiary RAD and Circadian Risk to integrate continuous intelligence and action into physical risk assessment. The filing is a routine 8-K disclosure under Item 8.01 and does not contain any financial results or material quantitative data.

  • · The press release is attached as Exhibit 99.1 to the 8-K filing.
  • · The filing is furnished, not filed, under the Exchange Act and is not incorporated by reference into other SEC filings.
XCF Global, Inc. 425 neutral materiality 5/10

10-09-2026

XCF Global, Inc. (Nasdaq: SAFX) and DevvStream Corp. (Nasdaq: DEVS) announced the postponement of their respective special meetings of stockholders and shareholders, originally scheduled for September 10, 2026, in connection with their proposed business combination with Southern Energy Renewables Inc. The XCF Global meeting is rescheduled to September 24, 2026, and the DevvStream meeting to September 17, 2026, to allow additional time for preparations. The postponement introduces uncertainty regarding the deal timeline, though both boards continue to unanimously recommend a vote in favor of the proposals.

  • · The record date for voting remains July 29, 2026.
  • · Previously submitted proxies remain valid and will be voted at the rescheduled meetings unless revoked.
  • · The definitive joint proxy statement/prospectus was declared effective by the SEC on July 31, 2026, and mailed on or about August 7, 2026.
  • · The Business Combination Agreement was dated April 13, 2026.
  • · Risk factors include potential inability to regain compliance with Nasdaq's $1.00 minimum bid price requirement, and the objective of creating a $3.0 billion combined enterprise is not guaranteed.
Kenon Holdings Ltd. 6-K neutral materiality 2/10

10-09-2026

Kenon Holdings Ltd. filed a Form 6-K on September 10, 2026, reporting that its subsidiary OPC Energy Ltd. entered into a financing agreement by CPV Renewables. The filing incorporates the press release by reference into Kenon's existing S-8 registration statement. No financial figures or performance metrics were disclosed in this filing.

  • · The press release is incorporated by reference into Kenon's Registration Statement on Form S-8 (File No. 333-201716).
  • · The filing is a routine foreign issuer report under Rule 13a-16 or 15d-16.
Elevance Health, Inc. 8-K neutral materiality 6/10

10-09-2026

Elevance Health, Inc. reaffirmed its full year 2026 shareholders' earnings guidance of at least $20.10 per diluted share, including approximately $6.90 per diluted share of net unfavorable items. Excluding these items, adjusted shareholders' earnings are expected to be at least $27.00 per diluted share. The company also reaffirmed its full year 2026 benefit expense ratio guidance of 90.2% plus or minus 50 basis points.

  • · Guidance does not include any other adjustment items beyond those reported in the company's second quarter 2026 earnings.
  • · The filing is a Regulation FD disclosure, not a filed report under the Exchange Act.
Bitzero Holdings Inc. 6-K neutral materiality 5/10

10-09-2026

Bitzero Holdings Inc. filed a Form 6-K with the SEC on September 10, 2026, announcing the refiling of its annual and interim financial statements and MD&A for the years ended September 30, 2025 and 2024, and the three months ended June 30, 2026 and 2025. The filing includes unaudited condensed interim consolidated financial statements for the three months ended June 30, 2026 and 2025, audited consolidated financial statements for the years ended September 30, 2025 and 2024, and related management discussion and analysis. The CEO and CFO certifications are also included. No specific financial figures or performance metrics are disclosed in the filing itself, only the fact of the refiling.

  • · The filing includes unaudited condensed interim consolidated financial statements for the three months ended June 30, 2026 and 2025.
  • · The filing includes audited consolidated financial statements for the years ended September 30, 2025 and 2024.
  • · The filing includes certifications of interim and annual filings by the CEO and CFO, both dated September 9, 2026.
  • · A news release dated September 9, 2026, titled 'Bitzero Holdings Inc. Announces Refiling of its Annual and Interim Financial Statements and MD&A' is included as Exhibit 99.9.
CHIPMOS TECHNOLOGIES INC 6-K neutral materiality 1/10

10-09-2026

ChipMOS TECHNOLOGIES INC. announced its participation in the UBS Taiwan Summit 2026 on September 15-16, 2026, where management will present recent financial results, business trends, and growth opportunities to institutional investors. The filing is a routine disclosure of an investor relations event and contains no specific financial data or performance metrics.

  • · Event date: September 15-16, 2026 at W Taipei Hotel.
  • · Investor presentation available on ChipMOS website at www.chipmos.com.
Elevation Acquisition Group Inc. S-1 neutral materiality 8/10

10-09-2026

Elevation Acquisition Group Inc. filed an S-1 registration statement on September 9, 2026, for an initial public offering (IPO) as a blank-check company (SPAC). The filing details the structure of the offering, including a trust account initially anticipated to hold $10.00 per public share, redemption rights for public shareholders upon a business combination, and mechanisms for conducting redemptions via tender offer or shareholder vote. The sponsor, officers, directors, and at-risk capital investors are expected to own approximately 25% of outstanding ordinary shares (or 23.64% including representative shares), which could significantly influence shareholder approval, requiring only 29.5% of public shares to be voted in favor if all shares are voted, or potentially no public shares if only a quorum is present.

  • · The filing includes a restriction that a public shareholder holding more than 15% of shares sold in the offering (together with affiliates) cannot redeem more than that amount without prior consent if a shareholder vote is held.
  • · The sponsor, officers, directors, and at-risk capital investors have agreed to waive redemption rights on founder shares and private placement units.
  • · The company may require shareholders to tender certificates or deliver shares electronically via DTC's DWAC system to exercise redemption rights.
  • · If a tender offer is used, it will remain open for at least 20 business days, and the company will terminate any Rule 10b5-1 plan to comply with Rule 14e-5.
  • · The company may raise additional funds through equity-linked securities, loans, or backstop arrangements to satisfy minimum cash requirements for a business combination.
Biohaven Ltd. 8-K mixed materiality 8/10

10-09-2026

Biohaven announced that the FDA issued a partial clinical hold on September 4, 2026, pausing new patient enrollment in its BHV-7000 program pending additional nonclinical studies on a metabolite. Dosing continues for over 600 already randomized patients, and BHV7000-303 topline data remain on track for the second half of 2026. Separately, Biohaven entered into a worldwide license agreement with SK Biopharmaceuticals for its Kv7 ion channel platform, including BHV-7000.

  • · Partial clinical hold letter issued on September 4, 2026, pausing new patient enrollment pending additional nonclinical data on a specific metabolite.
  • · BHV7000-303 is fully enrolled and randomized; topline data remain on track for the second half of 2026.
  • · BHV7000-302 will continue dosing but new enrollment is paused.
  • · Biohaven voluntarily paused new enrollment at global sites outside the U.S. pending nonclinical data.
  • · License Agreement with SK Biopharmaceuticals signed on August 26, 2026, covering worldwide exclusive license to Kv7 platform including BHV-7000.
  • · HSR submission required for closing of the license agreement is in progress.
YPF SOCIEDAD ANONIMA 6-K neutral materiality 5/10

10-09-2026

YPF Sociedad Anonima filed a 6-K with the SEC on September 10, 2026, disclosing details of its tender offer for two series of outstanding senior notes. The company is offering to purchase up to U.S.$643,428,000 of its 6.950% Senior Notes due 2027 at a consideration of U.S.$1,017.50 per $1,000 principal, and up to U.S.$640,999,934 of its 2.500%/9.000% Step Up Amortizing Notes due 2029 at U.S.$1,042.00 per $1,000 principal. The offer is structured with acceptance priority levels 1 and 2, respectively.

  • · The tender offer has two acceptance priority levels: Priority 1 for the 2027 notes and Priority 2 for the 2029 notes.
  • · CUSIP and ISIN numbers are provided for both series of notes.
  • · The filing is a routine disclosure of a debt tender offer; no financial results or operational updates are included.
Indaptus Therapeutics, Inc. 8-K positive materiality 8/10

10-09-2026

Indaptus Therapeutics raised approximately $24.0 million in gross proceeds through a private placement of 20,338,974 shares of common stock priced at the Nasdaq Minimum Price plus $0.015 per share. The company plans to use the net proceeds for working capital, R&D, and general corporate purposes, including early-stage research on a potential neurotechnology and neural-network-based device for sleep-related conditions. A resale registration statement will be filed with the SEC following closing.

  • · The purchase price per share equals the Nasdaq Minimum Price plus $0.015 per share.
  • · Closing is subject to customary conditions and must occur no later than the fifteenth business day following September 8, 2026.
  • · The shares were issued in reliance on exemptions under Section 4(a)(2) of the Securities Act and/or Regulation S.
  • · The company intends to file a resale registration statement with the SEC using commercially reasonable efforts.
GROUP 1 AUTOMOTIVE INC 8-K neutral materiality 8/10

10-09-2026

Group 1 Automotive has priced a $1.25B senior notes offering ($625M each of 6.250% notes due 2032 and 6.625% notes due 2035) to fund its pending Hennessy Acquisition. Proceeds will initially repay revolver borrowings and be reborrowed at acquisition close. The notes include a special mandatory redemption if the acquisition is not completed by January 6, 2027.

  • · The notes are unregistered private placements under Rule 144A and Regulation S.
  • · Special mandatory redemption triggers if Hennessy Acquisition is not closed by the later of January 6, 2027 or any extension of the Outside Date.
  • · If acquisition fails, proceeds will repay revolver borrowings and be used for general corporate purposes.
  • · The offering is expected to close on September 22, 2026.
Corebridge Financial, Inc. 425 neutral materiality 5/10

10-09-2026

Corebridge Financial, Inc. and Equitable Holdings, Inc. are proceeding with a proposed transaction (merger) that will combine the two companies under a new parent company. The SEC has declared the related S-4 registration statement effective as of June 23, 2026, and the joint proxy statement/prospectus has been mailed to stockholders. The filing contains standard forward-looking statements and risk factors but does not disclose specific financial terms, synergies, or performance metrics.

  • · The Registration Statement on Form S-4 was declared effective by the SEC on June 23, 2026.
  • · The joint proxy statement/prospectus was mailed to stockholders on or about June 23, 2026.
  • · The filing includes cautionary language about forward-looking statements and risk factors, but no specific financial projections or deal terms are provided.
Equitable Holdings, Inc. 425 positive materiality 9/10

10-09-2026

Equitable Holdings and Corebridge Financial are merging to form 'the new Equitable', targeting a close by end of 2026. The combined company will serve over 10 million clients, with $5 billion in operating earnings, $4 billion in cash flows, and a 15% return on equity. Management expects 10%+ EPS accretion, driven by $500 million in expense synergies and 2-4% from capital and tax synergies, while revenue synergies remain unquantified but include directing $90-100 billion of assets to AllianceBernstein.

  • · Merger announced in late March 2026; shareholders approved in July 2026; FINRA approved; antitrust process completed; awaiting approvals from four or five key state regulators and international bodies for AllianceBernstein.
  • · Expense synergies broken into four buckets: headcount, vendor consolidation, IT consolidation, and real estate consolidation; IT and real estate savings expected to materialize later (2028 and beyond).
  • · Cash tax savings from leveraging Corebridge's non-life DTAs to offset non-life earnings from AllianceBernstein and Wealth Management.
  • · Capital synergies may come from legal entity consolidation or internal reinsurance, expected in 2028.
  • · Revenue synergies include directing $90-100 billion of Corebridge assets to AllianceBernstein, increasing its asset base by 10-12%.
  • · Combined origination engine expected to generate over $60 billion annually in institutional and retail spread business.
  • · Equitable advisers sell ~$2 billion of fixed annuities, which will now have a proprietary offering.
  • · Corebridge will introduce Equitable's VUL product into its distribution.
  • · Combined on-balance sheet assets of ~$500 million will enable larger PRT and GIC/FABN deals.
  • · Management plans to hold an Investor Day next year to detail growth strategy.
NEWS CORP 8-K neutral materiality 3/10

10-09-2026

News Corp disclosed its ongoing stock repurchase program, authorized to acquire up to $1 billion in aggregate of its Class A and Class B common stock. The company provided daily transaction disclosures to the Australian Securities Exchange (ASX) as required by ASX rules. The filing reiterates the company's intent to repurchase shares from time to time, subject to market conditions and other factors.

  • · The repurchase program covers both Class A Common Stock (ticker: NWSA) and Class B Common Stock (ticker: NWS).
  • · The company is required to provide daily ASX disclosures of any repurchase transactions under the program.
  • · The filing includes forward-looking statements regarding the company's intent to repurchase shares, subject to risks such as market price changes, general market conditions, securities laws, and alternative investment opportunities.

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