US Pre-Market SEC Filings Roundup — September 11, 2026

10-09-2026

CEO Miles Patrick bought 115,000 Common Stock at $8.81 (~$1.01M). Miles Patrick holds 5,893,551 shares after the transaction.

• · CEO Miles Patrick bought 115,000 Common Stock at $8.81 (~$1.01M)

10-09-2026

Director Pinto Daniel E was awarded 113.098 Deferred Share Units at $276.31 (~$31.3K).

• · Director Pinto Daniel E was awarded 113.098 Deferred Share Units at $276.31 (~$31.3K)

10-09-2026

Director McLennan Hamish sold 3,700 Common Stock at $89.26 (~$330K). McLennan Hamish holds 25,137 shares after the transaction.

• · Director McLennan Hamish sold 3,700 Common Stock at $89.26 (~$330K)

10-09-2026

Director Fitzgerald Meghan sold 20,000 Common Shares at $39.90 (~$798K). Fitzgerald Meghan holds 42,963 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Director Fitzgerald Meghan exercised/converted 20,000 Common Shares at $8.80 (~$176K)
• · Director Fitzgerald Meghan sold 20,000 Common Shares at $39.90 (~$798K)
• · Director Fitzgerald Meghan exercised/converted 20,000 Stock Option (Right to Buy)

10-09-2026

President and CEO PATEL DINESH V PH D sold 63,548 Common Stock at $146.18 (~$9.29M). 9 transactions reported in total. PATEL DINESH V PH D holds 522,968 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · President and CEO PATEL DINESH V PH D exercised/converted 54,174 Common Stock at $21.58 (~$1.17M)
• · President and CEO PATEL DINESH V PH D sold 54,174 Common Stock at $145.87 (~$7.9M)
• · President and CEO PATEL DINESH V PH D exercised/converted 63,548 Common Stock at $21.58 (~$1.37M)
• · President and CEO PATEL DINESH V PH D sold 63,548 Common Stock at $146.18 (~$9.29M)
• · President and CEO PATEL DINESH V PH D exercised/converted 7,278 Common Stock at $21.58 (~$157K)
• · President and CEO PATEL DINESH V PH D sold 7,278 Common Stock at $144.10 (~$1.05M)
• · President and CEO PATEL DINESH V PH D exercised/converted 54,174 Stock Option (right to buy)
• · President and CEO PATEL DINESH V PH D exercised/converted 63,548 Stock Option (right to buy)

10-09-2026

Chief Innovation Officer Ngo Michael C sold 79,925 Common Stock at $12.74 (~$1.02M). Ngo Michael C holds 2,350,000 shares after the transaction.

• · Chief Innovation Officer Ngo Michael C sold 70,075 Common Stock at $12.85 (~$900K)
• · Chief Innovation Officer Ngo Michael C sold 79,925 Common Stock at $12.74 (~$1.02M)

10-09-2026

COO Ainscow Robert sold 8,438 Common Stock at $4.29 (~$36.2K). Ainscow Robert holds 2,248,441 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · COO Ainscow Robert sold 8,438 Common Stock at $4.29 (~$36.2K)

11-09-2026

Ocean Power Technologies, Inc. filed a Certificate of Amendment to its Certificate of Incorporation to effect a 1-for-30 reverse stock split, effective September 11, 2026 at 5:00 PM Eastern time. The amendment was approved by the Board of Directors and stockholders. No fractional shares will be issued; shares will be rounded up to the nearest whole share.

• · Reverse stock split ratio is 1-for-30.
• · Effective time is 5:00 PM Eastern on September 11, 2026.
• · No fractional shares will be issued; fractional interests are rounded up to the nearest whole share.
• · The amendment was approved by both the Board of Directors and stockholders.

11-09-2026

ZTO Express (Cayman) Inc. filed its 2026 Interim Report (Form 6-K) with the SEC on September 11, 2026, covering financial and operational results for the first half of the year. The filing provides a comprehensive update on the company's performance, including revenue, parcel volume, and strategic initiatives. However, the filing does not include specific financial figures or period-over-period comparisons in the provided excerpt, so a balanced assessment of positive and negative metrics cannot be made from this text alone.

• · The filing is an interim report for the 2026 fiscal year, covering the first half of the year.
• · The report was signed by CFO Huiping Yan on September 11, 2026.
• · The company's principal executive offices are located in Shanghai, China.

11-09-2026

BetterLife Pharma Inc. filed a Form 6-K with the SEC on September 11, 2026, attaching a Material Change Report dated September 10, 2026. The filing is a routine foreign issuer report and does not disclose any specific financial figures, operational metrics, or material events beyond the existence of the material change report.

• · The filing includes a Material Change Report dated September 10, 2026 as Exhibit 99.1.
• · The company's principal executive office is located at 1275 West 6th Avenue, #300, Vancouver, BC, Canada V6H 1A6.
• · The Commission File Number is 333-161157.
• · The company files annual reports under Form 20-F.

11-09-2026

Tencent Music Entertainment Group issued $500 million of 5.050% notes due 2031 and $500 million of 5.650% notes due 2036. A first supplemental indenture was executed with The Bank of New York Mellon. No other financial or operational data is disclosed in this filing.

• · The notes were issued under a first supplemental indenture dated September 10, 2026.
• · Legal opinion provided by Davis Polk & Wardwell.

11-09-2026

Leon Recanati filed Amendment No. 2 to his Schedule 13D, disclosing the purchase of 1,260,000 ordinary shares of Evogene Ltd. for an aggregate consideration of approximately $692,100 through block trades executed via the company's at-the-market offering facility. The purchases were made on August 4, 2026 (800,000 shares at $0.50 per share) and August 11, 2026 (460,000 shares at $0.635 per share), increasing his beneficial ownership to 1,354,836 shares, representing 8.6% of the outstanding ordinary shares as of July 27, 2026.

• · The filing is Amendment No. 2 to the Schedule 13D originally filed on August 11, 2026.
• · The purchases were made through block trades under Evogene's at-the-market offering facility.
• · The source of funds was the personal funds of Leon Recanati.
• · The percentage ownership (8.6%) is based on 15,801,407 shares outstanding as of July 27, 2026.
• · The beneficial ownership includes 10,950 shares underlying options exercisable within 60 days of August 11, 2026.

11-09-2026

Park Hotels & Resorts Inc. announced the departure of Thomas C. Morey, Executive Vice President and Chief Investment Officer, effective September 8, 2026. Mr. Morey entered into a Separation Agreement on September 9, 2026, entitling him to severance payments and benefits under the company's Executive Severance Plan, contingent on compliance with non-solicitation and non-competition obligations for 12 months. The filing does not disclose any financial terms of the separation or any impact on the company's operations.

• · The separation is treated as a termination without 'cause' under the company's Executive Severance Plan.
• · Mr. Morey's non-solicitation and non-competition obligations apply for 12 months following the separation date.
• · The Separation Agreement includes a general release of claims against the company.

11-09-2026

Hooker Furnishings reported a profitable fiscal 2027 second quarter with net income of $1.7 million, a $4.9 million improvement over the prior-year loss, driven by $7.9 million in tariff recoveries following the Supreme Court's invalidation of IEEPA tariffs. However, consolidated net sales declined 8.7% to an undisclosed absolute amount, with all segments reporting lower revenue: Hooker Branded (-4.5%), Domestic Upholstery (-5.3%), and All Other (-65.8%). The company maintained operating profitability ($1.3 million) versus a $0.5 million operating loss a year ago, but management cautioned that market conditions remain weak with no meaningful near-term improvement expected.

• · Hooker Branded backlog increased 34.7% YoY, indicating strong order momentum despite sales declines.
• · Domestic Upholstery backlog increased 4.8% YoY.
• · All Other segment (Hospitality) had an operating loss in Q2 but was profitable for the first six months.
• · Discontinued operations contributed $587,000 pre-tax income in Q2 from tariff recoveries and adjustments.
• · The company had no outstanding term loan balance and $51.8M available borrowing capacity at quarter end.
• · Average repurchase price for shares was $13.68 per share.
• · The company does not expect material additional tariff recoveries going forward.
• · Management expects promotional activity to normalize in H2 and does not expect meaningful near-term improvement in market conditions.

11-09-2026

Graf Global Corp. filed a Rule 425 communication on August 31, 2026, regarding its proposed business combination with BIG3 HoldCo LLC and Halfcourt Holdco, Inc. The filing includes a transcript of an interview with Ice Cube, an executive officer of BIG3, who discussed the BIG3 league's plan to become the first publicly traded professional sports league. No financial figures or performance metrics were disclosed in this filing.

• · The business combination agreement was dated June 12, 2026.
• · BIG3 has completed its ninth season.
• · Ice Cube stated the league has millions of fans worldwide.
• · The filing includes standard forward-looking statements and legal disclaimers regarding the proposed transaction.

11-09-2026

Cardiol Therapeutics Inc. filed a Form 6-K with the SEC on September 11, 2026, attaching several historical agreements and amendments related to a Supply Agreement, a Master Services Agreement, and a Development Agreement, all dating between 2017 and 2020. The filing appears to be a routine disclosure of existing contractual documents and does not contain any new financial results or operational updates. No forward-looking guidance or material changes from prior filings were noted.

• · The filing includes a Master Services Agreement effective June 12, 2017, a Development Agreement dated August 29, 2018, and multiple amendments to a Supply Agreement (Amendment No. 1 to No. 6) spanning from December 2018 to November 2019, plus a Notice of Assignment from January 2020.
• · All documents were previously executed and are now being furnished as exhibits, with no new business developments or financial disclosures.

11-09-2026

Non-Invasive Monitoring Systems Inc. (NIMU) filed an S-4/A registration statement related to its proposed merger with Gravitics Inc., a space technology company. The filing includes financial statements for both entities, showing NIMU's ongoing reliance on related-party debt financing from Frost Gamma Investments Trust and Dr. Jane Hsiao. The merger agreement was entered into on March 6, 2026, and subsequently amended on August 5, 2026.

• · The filing is an amendment to the S-4 registration statement for the merger with Gravitics Inc.
• · NIMU has outstanding promissory notes with Frost Gamma Investments Trust and Dr. Jane Hsiao, indicating ongoing related-party debt.
• · A convertible promissory note purchase agreement was entered into on June 24, 2026.
• · The merger agreement was initially dated March 6, 2026, and amended on August 5, 2026.

11-09-2026

Impinj entered into privately-negotiated exchange agreements to exchange approximately $56.5 million in cash and about 188,451 shares of common stock for $56.3 million in aggregate principal amount of its 1.125% Convertible Senior Notes due 2027. The exchange is expected to close on or about September 16, 2026, leaving only approximately $1.0 million of the 2027 Notes outstanding. The transaction reduces the company's debt burden but dilutes existing shareholders by issuing new shares.

• · The exchange is subject to a 2-day measurement period ending September 14, 2026, so final cash and stock amounts may vary based on stock price changes.
• · The shares issued in the exchange are being offered as a private placement to qualified institutional buyers under Rule 144A.
• · The company will use cash on hand to fund the cash portion of the exchange.

11-09-2026

WF International Ltd. disclosed a related-party lease renewal for its subsidiary's office space. The five-year lease with CEO and major shareholder Ke Chen provides a monthly rent of RMB 24,000 (approx. US$3,600), terms substantially unchanged from the prior lease. The agreement was reviewed and approved by the audit committee.

• · The lease is a renewal of a prior lease that expired on July 31, 2026.
• · The new lease term runs from September 1, 2026 to August 31, 2031.
• · Rent is payable quarterly.
• · The lease was reviewed and approved by the audit committee of the board of directors.

11-09-2026

Research Alliance Corporation III (RACC), a SPAC, filed a Rule 425 communication on September 11, 2026, in connection with its proposed business combination with OHB Pediatrics Ltd. (Oak Hill Bio), a biotech developing antisense treatments for Angelman syndrome. The filing highlights a STAT article discussing the failure of Ultragenyx's competing drug GTX-102 in Phase 3, while noting that Oak Hill's and Ionis's drugs showed significantly higher potency in preclinical comparisons, though Oak Hill's Phase 3 data is not expected until early 2029. The communication also includes standard forward-looking statements and solicitation details.

• · Oak Hill's Phase 3 trial is just starting, with data expected in early 2029.
• · Ionis expects to deliver Phase 3 data next year (2027).
• · Roche paused its antisense program in 2023 after a Phase 1 trial and licensed its molecule to Oak Hill Bio.
• · Roche's internal analysis suggested GTX-102 was vastly less effective at raising UBE3A levels than its own or Ionis's drugs.
• · Ultragenyx's Phase 3 enrolled children aged 4 to 17; experts question whether older patients can benefit as much as younger ones.
• · The Business Combination Agreement was dated July 26, 2026.
• · RACC's IPO was declared effective on May 19, 2026.
• · The S-4 registration statement (File No. 333-298537) has been filed with the SEC.

11-09-2026

Hometown Financial Group, Inc. (MD) filed an S-4 registration statement for the merger of Primary Bank into bankESB (renamed TruNorth Bank), a wholly-owned subsidiary of Newco, a newly formed Maryland stock holding company. The merger is part of a broader reorganization involving the conversion of Hometown Financial Group, MHC from mutual to stock holding company form and a public stock offering. Primary Bank shareholders will receive either $33.00 in cash or 3.1 shares of Newco common stock per share, subject to proration (50% cash/50% stock). The transaction is expected to be completed after regulatory approvals and shareholder votes, with Newco common stock to be listed on Nasdaq under the ticker 'HFG'.

• · Merger Agreement dated July 6, 2026
• · Primary Bank will cease to exist; TruNorth Bank will be the surviving institution
• · Newco common stock expected to be listed on Nasdaq under ticker 'HFG'
• · Primary Bank common stock trades on OTCID under symbol 'PRMY'
• · Special Meeting of Primary Bank shareholders to be held on [ ], 2026
• · Record date for the Special Meeting is [●], 2026
• · Dissenters' rights available under New Hampshire law
• · Board of Directors of Primary Bank unanimously recommends voting FOR the Merger Proposal and the Adjournment Proposal
• · No fractional shares will be issued; cash will be paid in lieu of fractional shares
• · The S-4 was filed with the SEC on September 10, 2026

11-09-2026

This 8-K/A amends a prior Form 8-K to correct the pooling and servicing agreement reference for the replacement of the special servicer on the 545 Washington Boulevard mortgage loan. Effective September 10, 2026, Torchlight Loan Services, LLC replaces CWCapital Asset Management LLC as special servicer for the loan, which is part of the BANK 2020-BNK25 securitization. Torchlight's portfolio has grown significantly, with the actively specially serviced portfolio increasing from $2.56 billion (41 loans) as of 12/31/2023 to $5.13 billion (76 loans) as of 6/30/2026, though the number of personnel dedicated to special servicing remains limited at 6.

• · Torchlight has resolved over $12.2 billion of U.S. commercial and multifamily loans in the past 28 years.
• · Torchlight's named specially serviced portfolio grew from $8.19 billion (19 CMBS pools) as of 12/31/2023 to $27.97 billion (51 CMBS pools) as of 6/30/2026.
• · Torchlight's actively specially serviced portfolio grew from $2.56 billion (41 loans) as of 12/31/2023 to $5.13 billion (76 loans) as of 6/30/2026.
• · As of 6/30/2026, only 6 personnel were dedicated to the special servicing business unit, out of 21 total personnel involved in special servicing.
• · Torchlight is not an affiliate of the Depositor, Mortgage Loan Sellers, Issuing Entity, Servicer, Trustee, Certificate Administrator, Operating Advisor, or any Originator.
• · No material legal proceedings are pending against Torchlight, and no securitization transaction has experienced an event of default due to Torchlight's actions.

11-09-2026

Sonic Holdco, Inc. (Parent) has filed an S-4 registration statement for a business combination involving two interdependent mergers: Synlogic (a non-operating shell company) will merge with Caldera (an early-stage biopharmaceutical company focused on CLD-423), forming a combined entity to be listed on NYSE American under the symbol 'CALD.' The filing highlights significant risks including Caldera’s lack of revenue and recurring net losses, its dependence on a single drug candidate, and potential taxable gain for stockholders. The merger requires regulatory and shareholder approvals and is expected to be accounted for as a reverse recapitalization with Caldera as the accounting acquirer.

• · Parent is an 'emerging growth company' eligible for exemptions from certain SEC reporting requirements and has not yet traded on any exchange.
• · Caldera has a material weakness in internal controls as of December 31, 2025.
• · Appraisal rights exist under Delaware law for both Synlogic and Caldera stockholders (Section 262 DGCL).
• · Shares of Parent Common Stock will not trade until the Closing—the listing on NYSE American is a condition to the merger.
• · The merger will dissolve Synlogic and Caldera; only Parent will remain.

11-09-2026

Thomson Reuters announced the pricing of a public offering of US$1,300,000,000 notes and a Canadian private placement of C$1,000,000,000 notes, as disclosed in a news release dated September 10, 2026. The filing is a routine 6-K disclosure of the debt issuance pricing, with no additional financial details provided.

• · The notes are part of a public offering in the US and a private placement in Canada.
• · The pricing was announced in a news release dated September 10, 2026.

11-09-2026

Vistagen Therapeutics held its 2026 Annual Meeting on September 10, 2026, where stockholders elected four director nominees, approved executive compensation on a non-binding advisory basis, and ratified KPMG LLP as independent auditor for fiscal year ending March 31, 2027. Notably, two directors—Ann M. Cunningham and Shawn K. Singh—received significant withheld votes (45.1% and 41.5% respectively), indicating notable shareholder dissent. All proposals passed, but the say-on-pay vote also saw 14.7% against and 9.4% abstentions.

• · Jon S. Saxe received 7,354,923 votes for and 1,141,965 withheld (13.4% withheld).
• · Douglas J. Williamson received 7,382,907 votes for and 1,113,981 withheld (13.1% withheld).
• · Ann M. Cunningham received 4,664,450 votes for and 3,832,438 withheld (45.1% withheld).
• · Shawn K. Singh received 4,971,180 votes for and 3,525,708 withheld (41.5% withheld).
• · Say-on-pay: 6,625,045 for, 1,142,430 against, 729,413 abstain.
• · Auditor ratification: 22,495,649 for, 680,897 against, 685,683 abstain.
• · The company is an emerging growth company and has elected not to use the extended transition period for complying with new financial accounting standards.

11-09-2026

Pluri Inc. filed a shelf registration statement (S-3) with the SEC on September 10, 2026, allowing it to offer and sell up to $200 million in common shares, preferred stock, warrants, or units over time. Proceeds will be used for research, clinical trials, manufacturing, marketing, working capital, and general corporate purposes. The company reports 10,824,311 common shares outstanding as of June 30, 2026, with no preferred stock issued.

• · Transfer agent: Equiniti Trust Company, LLC (55 Challenger Road, 2nd Floor, Ridgefield Park, NJ 07660).
• · Company is incorporated in Nevada and subject to Nevada anti-takeover statutes (NRS 78.411-78.444 and NRS 78.378-78.3793) which the company has not opted out of.
• · Board may issue preferred stock with terms determined by resolution without further stockholder action, which could delay or prevent a change in control.
• · Common stock is listed; no preferred shares have been issued as of filing date.
• · Registration file number: 333-298867.

11-09-2026

Braskem S.A. filed a Form 6-K with the SEC for September 2026, reporting that during August 2026 the only transactions involving its securities and derivatives were those related to shares held in treasury, with no new market operations. The filing also includes the opening and closing balances of Class A Preferred Shares held in treasury and a standard disclaimer regarding forward-looking statements.

• · Opening balance of shares in treasury: 42,150,391/0001-70 (Corporate Taxpayers ID).
• · Only operations with securities and derivatives during August 2026 were those presented in the filing, with no new trading activity.
• · The filing is dated September 10, 2026, and was submitted for the month of September 2026.

11-09-2026

Wynn Resorts announced the pricing of $900 million aggregate principal amount of 6.875% Senior Notes due 2035 by its indirect wholly-owned subsidiaries, Wynn Resorts Finance, LLC and Wynn Resorts Capital Corp. The notes are being offered in a private placement and will not be registered under the Securities Act. This debt issuance increases the company's leverage and interest expense, with a relatively high coupon rate of 6.875%.

• · The notes are being offered by indirect wholly-owned subsidiaries of Wynn Resorts.
• · The offering is a private placement and the notes will not be registered under the Securities Act of 1933.
• · The notes have a maturity date of 2035.
• · The filing includes forward-looking statements with risks and uncertainties.

11-09-2026

Joby Aviation filed a prospectus supplement on September 10, 2026, registering the resale of 2,419,801 shares of common stock issued to a selling stockholder in connection with the achievement of certain EBITDA milestones by acquired operations within 12 months post-closing of the acquisition of Strata Critical Medical, Inc. (formerly Blade Air Mobility, Inc.) and related entities. This filing is an administrative step related to existing earn-out arrangements, not a new equity issuance. No current period financial results or comparisons are provided.

• · The prospectus supplement relates to the Company's Registration Statement on Form S-3 (No. 333-282809), originally filed on October 24, 2024.
• · Shares were issued based on achievement of EBITDA milestones during the 12-month period following closing of the acquisitions.
• · Latham & Watkins LLP provided a legal opinion on the validity of the share issuance (Exhibit 5.1).

11-09-2026

The Descartes Systems Group Inc. (DSGX) filed its Form 6-K for the month of September 2026, furnishing its quarterly report to shareholders and press release for the quarter ended July 31, 2026. The filing reveals strong revenue growth of 15% YoY in Q2 FY27 to $165.0 million, driven by services revenue up 16% and license revenue up 8%. However, the Asia Pacific region revenue declined 7% YoY, and free cash flow decreased 2% to $44.1 million, highlighting a mixed quarter.

• · Net income for Q2 FY27 was $98.2 million, including a gain of approximately $72 million from the sale of a business.
• · Diluted earnings per share was $1.18 for Q2 FY27, compared to $0.30 in Q2 FY26 (adjusted EPS was $0.33 vs $0.28 in the prior year).
• · Cash and cash equivalents totaled $233.1 million as of July 31, 2026, with total debt of $285.0 million.
• · The company completed three acquisitions in fiscal 2026: Ordermine (March 2026), Idelic Inc. (April 2026), and Drivin Spa (July 2026).
• · Subsequent to the quarter end, in August 2026, Descartes acquired 3PL Central LLC and Transportation Applied Intelligence Software LLC.
• · Revenue for the six months ended July 31, 2026 was $324.0 million, up 15% from $282.0 million in the prior year.
• · Free cash flow for the six months was $85.1 million, up 3% from $82.6 million in the prior year.

11-09-2026

News Corp disclosed on Form 8-K that it has provided daily buyback transaction disclosures to the Australian Securities Exchange (ASX) under its existing $1 billion stock repurchase program. The filing reiterates the company's authorization to repurchase up to $1 billion in aggregate of its Class A and Class B common stock, but does not report any specific new buyback activity or financial results for the period.

• · The repurchase program covers both Class A Common Stock (ticker NWSA) and Class B Common Stock (ticker NWS), both listed on The Nasdaq Global Select Market.
• · The company is required to provide daily buyback transaction disclosures to the ASX under ASX rules.
• · The filing includes forward-looking statements regarding the company's intent to repurchase shares from time to time, subject to market conditions, securities laws, and alternative investment opportunities.

11-09-2026

FingerMotion, Inc. announced a non-binding memorandum of understanding with Lyken AI Computing Inc. and BlueFlare Energy Solutions Inc., alongside an update on natural gas supply discussions for its Alberta corridor development program. This filing is a preliminary disclosure with no financial terms or definitive agreements disclosed, making it a neutral-to-positive strategic update. No performance metrics are provided, so sentiment is neutral.

• · The memorandum of understanding with Lyken AI Computing Inc. and BlueFlare Energy Solutions Inc. is non-binding.
• · The natural gas supply discussions relate to the Alberta corridor development program.
• · The filing was dated September 3, 2026, and signed on September 10, 2026.

11-09-2026

GPO Plus, Inc. filed a Certificate of Designation establishing 25,000,000 shares of Series D Convertible Preferred Stock, each convertible into one share of common stock. The Series D ranks senior to common stock but has no voting rights except on matters that adversely affect its preferences. No financial results, merger, or acquisition were announced; the filing is a routine capital structure update.

• · Series D Preferred Stock has a par value of $0.0001 per share.
• · Conversion ratio is 1:1 into common stock, adjustable for stock splits and similar events.
• · If conversion is not completed within 5 business days, the company must pay damages of 0.5% per business day of the VWAP of the underlying common shares.
• · The company must reserve at least 100% of the common shares needed for conversion of all outstanding Series D shares.
• · Series D has no mandatory redemption, cash settlement, or holder cash-put rights.
• · The certificate was signed on September 9, 2026.

11-09-2026

North American Construction Group Ltd. (NOA) announced the appointment of Brad Rogers as President, CEO, and Director, effective September 10, 2026, succeeding Barry Palmer. The filing is a routine Form 6-K disclosure of a leadership change, with no financial results or performance data provided.

• · Brad Rogers appointed as President, CEO, and Director effective September 10, 2026.
• · Barry Palmer signed the filing as President and CEO on September 10, 2026, indicating the transition was effective on or before that date.
• · No financial metrics, performance data, or forward-looking guidance were included in the filing.

11-09-2026

Ionic Digital Inc. announced that ERCOT has provisionally classified its remaining 466 megawatt energization request for its Ward County campus as Base Load in ERCOT's Batch Zero process. This classification is a positive development for the company's power capacity plans, though it remains provisional and subject to further ERCOT processes. No financial figures were disclosed in this filing.

• · The classification is part of ERCOT's Batch Zero process, which is used for interconnection requests.
• · The press release was furnished as Exhibit 99.1 to the Form 8-K.
• · The filing was made under Item 7.01 (Regulation FD Disclosure) and Item 9.01 (Financial Statements and Exhibits).

11-09-2026

LightPath Technologies' FY2026 (year ended June 30, 2026) annual report shows total revenue surged 93% YoY to $71.7M, driven by a 281% jump in assemblies and modules revenue. However, the company reported a net loss of $20.5M, widening from a $14.9M loss in FY2025, and engineering services revenue declined 1% YoY. Adjusted EBITDA turned positive to $4.2M (6% of revenue) from a negative $5.1M (-14% of revenue) in the prior year. Backlog grew 197% from the prior year end to $110.9M, but was flat sequentially in Q4 2026.

• · Germanium prices rose from ~$1,000/kg to over $6,000/kg due to supply restrictions from China and Russia.
• · Over 60% of global Germanium supply originates from China.
• · LightPath secured an exclusive license from the U.S. government for Chalcogenide materials developed by NRL in December 2021.
• · BDNL-4 was introduced for commercial use in April 2024.
• · The company has received funded development contracts from U.S. DoD, Defense Logistics Agency, European Space Agency, and U.S. Army.
• · Stock-based compensation increased to $2.9M in FY2026 from $1.0M in FY2025.
• · Change in fair value of acquisition liabilities was $15.6M in FY2026 vs $1.6M in FY2025.
• · Weighted average exercise price of outstanding options/warrants is $8.25.

11-09-2026

OceanLight Acquisition Corp announced that holders of its units may elect to separately trade the underlying ordinary shares, rights, and warrants starting September 11, 2026. The units will continue to trade on Nasdaq under 'OCLTU', while the separated securities will trade on the Nasdaq Capital Market under 'OCLT', 'OCLTR', and 'OCLTW'. This is a routine structural change enabling separate trading of the SPAC's components.

• · Separate trading of units begins on or about September 11, 2026.
• · Units not separated will continue trading on the Nasdaq Global Market under symbol OCLTU.
• · Separated ordinary shares, rights, and warrants will trade on the Nasdaq Capital Market.
• · Holders must contact Continental Stock Transfer & Trust Company through their brokers to separate units.

11-09-2026

DTSQ Purchaser Inc. filed an S-4 registration statement on September 11, 2026, in connection with its proposed business combination with Primegen US Inc. The filing includes detailed financial data for both DTSQ (the SPAC) and Primegen, covering periods through June 30, 2026. The transaction involves potential redemptions of public shares, a possible PIPE financing, and share repurchases from the sponsor, with various scenarios modeled for net tangible book value impact.

• · The filing is an S-4 registration statement for a business combination between DTSQ Purchaser Inc. and Primegen US Inc.
• · The filing models redemption scenarios at 0%, 25%, 50%, 75%, and 100% of maximum redemption.
• · Potential PIPE financing and share repurchases from the sponsor are considered in the pro forma analysis.
• · Financial data is provided for DTSQ (the SPAC) and Primegen for periods including fiscal years 2023, 2024, 2025, and interim periods in 2026.
• · The filing date is September 11, 2026, with data as of June 30, 2026.

11-09-2026

Vale S.A. filed a Form 6-K reporting no securities or derivatives transactions by the company, its subsidiaries, or affiliates during August 2026. The filing lists held positions: Vale S.A. holds 14,482,658 common shares; Mineração Brasileiras Reunidas S.A. holds 3,534,700 common shares; and Vale Holdings B.V. holds 165,379,611 ADRs. No new disclosures or changes from prior period were reported.

• · No transactions in securities or derivatives were carried out during August 2026 by Vale, its subsidiaries, or affiliates.
• · Vale S.A. holds 14,482,658 common shares (ON) as of end of period.
• · Mineração Brasileiras Reunidas S.A. holds 3,534,700 common shares (ON) as of end of period.
• · Vale Holdings B.V. holds 165,379,611 ADRs as of end of period.

11-09-2026

Nutex Health Inc. filed an 8-K on September 10, 2026, disclosing a press release update on a previously announced cybersecurity event. The filing does not provide any financial figures, operational metrics, or period-over-period comparisons, and the nature and impact of the cybersecurity event remain unspecified.

• · The press release was issued on September 10, 2026, and is furnished as Exhibit 99.1.
• · The cybersecurity event was previously announced; this filing provides an update.
• · No financial or operational details about the event or its impact are included in the 8-K.

11-09-2026

Circle8 Group, Inc. (formerly Atlantic International Corp.) disclosed on September 10, 2026 that it has made a preliminary, non-binding and highly indicative proposal to acquire SThree plc (STEM.L), an international specialist STEM business, as part of its global IT and technology strategy. The proposal is for a possible cash offer, but there is no certainty that a firm offer will be made or as to the terms. No financial details of the proposal were disclosed.

• · The proposal is preliminary, non-binding and highly indicative.
• · SThree plc is an international specialist STEM business.
• · The announcement was made via a press release on September 10, 2026.
• · The filing is under Items 7.01 (Regulation FD Disclosure) and 8.01 (Other Events).
• · The registrant is Circle8 Group, Inc., formerly Atlantic International Corp., trading as CIRC on Nasdaq.

11-09-2026

Grupo TMM SAB filed its annual report (Form 20-F) on September 11, 2026. The report highlights key risk factors including geopolitical tensions, supply chain disruptions, currency fluctuations (Mexican peso vs USD), and conditions in the international shipping and oil & gas markets. The filing cautions about the company's ability to generate sufficient cash, service or refinance debt, and uncertainties from potential future pandemics or regulatory changes in Mexico and the U.S.

• · Revenue is primarily invoiced in U.S. dollars but settled in Mexican pesos, exposing the company to exchange rate fluctuations.
• · Risk factors include geopolitical tensions, supply chain disruptions, and price volatility in commodities, fuels, and energy.
• · The filing highlights uncertainty regarding debt payment, restructuring, or refinancing.
• · Potential regulatory changes in Mexico and the United States are cited as risk factors.
• · Future pandemics or outbreaks of infectious diseases remain a risk consideration.

11-09-2026

Nauticus Robotics received a notice from institutional investor ATW Special Situations II, LLC to extend the maturity date of $3,985,000 in outstanding convertible debentures by one year, from September 9, 2026 to September 9, 2027. The extension was exercised under existing contractual terms with no additional fees or consideration payable by the company. While this provides near-term liquidity relief by deferring the maturity, it also indicates the company's debtholders are not being repaid on schedule, reflecting ongoing financial strain.

• · The debentures were originally issued under a securities purchase agreement dated November 4, 2024.
• · The extension applies to the entire outstanding principal, accrued interest, liquidated damages, and other amounts.
• · Existing guaranties, liens, security interests, and priority arrangements remain in full effect.
• · No amendment fee, consent fee, or other additional consideration is payable by the company for the extension.
• · The debentures remain convertible and enforceable through the extended maturity date unless earlier converted, redeemed, or accelerated.

11-09-2026

TIM S.A. filed a Form 6-K with the SEC on September 10, 2026, as a routine foreign issuer report. The filing was signed by CEO Alberto Mario Griselli and contains no financial results, material events, or operational updates.