US Pre-Market SEC Filings Roundup — October 07, 2026

06-10-2026

CEO AND PRESIDENT HORNBUCKLE WILLIAM had withheld for taxes 26,633 Common Stock $.01 Par Value ND at $30.48 (~$812K). 9 transactions reported in total. HORNBUCKLE WILLIAM holds 77,353 shares after the transaction.

• · CEO AND PRESIDENT HORNBUCKLE WILLIAM exercised/converted 27,181 Common Stock $.01 Par Value ND
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM had withheld for taxes 10,696 Common Stock $.01 Par Value ND at $30.48 (~$326K)
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM exercised/converted 67,681 Common Stock $.01 Par Value ND
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM had withheld for taxes 26,633 Common Stock $.01 Par Value ND at $30.48 (~$812K)
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM exercised/converted 32,672 Common Stock $.01 Par Value ND
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM had withheld for taxes 12,857 Common Stock $.01 Par Value ND at $30.48 (~$392K)
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM exercised/converted 27,181 Restricted Stock Units
• · CEO AND PRESIDENT HORNBUCKLE WILLIAM exercised/converted 67,681 Performance Share Units

06-10-2026

CHIEF SCI OFCR, OPHTHALMOLOGY Naylor Stuart sold 27,659 Ordinary Shares at $10.64 (~$294K). Naylor Stuart holds 613,187 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · CHIEF SCI OFCR, OPHTHALMOLOGY Naylor Stuart sold 27,659 Ordinary Shares at $10.64 (~$294K)

06-10-2026

Director Jiao Zhenlong was awarded 6,995 Common Stock. Jiao Zhenlong holds 133,660 shares after the transaction.

• · Director Jiao Zhenlong was awarded 6,995 Common Stock

06-10-2026

Group President EMEA & LA Lawson Carlton was awarded 36,597 Common Stock at $17.20 (~$629K). Lawson Carlton holds 148,012.02 shares after the transaction.

• · Group President EMEA & LA Lawson Carlton was awarded 36,597 Common Stock at $17.20 (~$629K)

06-10-2026

Chief Marketing Officer Sarnoff Dafna was awarded 5,911 Class A Common Stock. Sarnoff Dafna holds 100,795 shares after the transaction.

• · Chief Marketing Officer Sarnoff Dafna was awarded 5,911 Class A Common Stock

06-10-2026

Director Jolley David R sold 12,845 Class B Common Stock at $3.20 (~$41.1K). Jolley David R holds 269,116 shares after the transaction.

• · Director Jolley David R sold 12,845 Class B Common Stock at $3.20 (~$41.1K)

06-10-2026

Alan H. Auerbach, President, CEO and director of Puma Biotechnology, filed an amended Schedule 13D disclosing beneficial ownership of 8,648,958 shares of common stock, representing 16.0% of outstanding shares as of October 5, 2026. The filing notes that a warrant to purchase 2,116,250 shares at $16.00 per share expired unexercised on October 4, 2026, reducing Auerbach's potential ownership. No other transactions in the past 60 days were reported.

• · Auerbach's warrant to purchase 2,116,250 shares at $16.00 per share expired unexercised on October 4, 2026.
• · No other transactions in common stock by Auerbach during the past 60 days.
• · Auerbach has sole voting and dispositive power over all 8,648,958 shares beneficially owned.

06-10-2026

10% owner GIC Private Ltd sold 7,183,013 Class A Common Stock at $35.05 (~$252M). 5 transactions reported in total. GIC Private Ltd holds 77,225,493 shares after the transaction.

• · 10% owner GIC Private Ltd sold 2,570,999 Class A Common Stock at $35.35 (~$90.9M)
• · 10% owner GIC Private Ltd sold 7,146,941 Class A Common Stock at $34.33 (~$245M)
• · 10% owner GIC Private Ltd sold 1,688,690 Class A Common Stock at $35.78 (~$60.4M)
• · 10% owner GIC Private Ltd sold 2,088,987 Class A Common Stock at $35.05 (~$73.2M)
• · 10% owner GIC Private Ltd sold 7,183,013 Class A Common Stock at $35.05 (~$252M)

06-10-2026

Cross Ocean Partners Management LP and related entities filed a Schedule 13D disclosing beneficial ownership of 22,495,104 shares of KLX Energy Services Holdings, Inc., representing approximately 21.3% of the outstanding common stock. The stake was acquired primarily through a backstop exchange in KLXE's $125 million rights offering, where Cross Ocean exchanged approximately $32.4 million of 2030 Notes plus accrued interest for 21,890,180 shares at $1.49 per share. The filing also notes that due to crossing the 10% ownership threshold, Cross Ocean has the right to designate a director to KLXE's board, and it intends to engage with management on strategy, operations, and capitalization.

• · Cross Ocean's total stake of 22,495,104 shares was acquired through a combination of a March 2025 refinancing ($50.7M cash + $30.5M Existing Notes for $85M 2030 Notes and 868,887 warrants), a March 2026 covenant amendment (305,438 additional warrants), and the September 2026 backstop exchange (21,890,180 shares for ~$32.6M in 2030 Notes and interest).
• · Between March and April 2026, Cross Ocean sold 569,401 shares after exercising all warrants, leaving 604,924 shares before the backstop exchange.
• · Cross Ocean has the right to designate a director to KLXE's board due to owning over 10% of outstanding shares; it has selected an independent candidate whose appointment is expected to be disclosed later.
• · The filing states Cross Ocean may engage with management on business strategy, cost structure, capitalization, board composition, and may seek to monetize its position through derivative transactions or pledges.

07-10-2026

Venture Global, Inc. reported preliminary Q3 2026 operating metrics, selling 465.8 TBtu of LNG at an implied weighted average fixed liquefaction fee of $6.79/MMBtu and exporting 124 cargos. The Plaquemines facility drove the majority of volume with 328.1 TBtu and 87 cargos, while Calcasieu Pass contributed 137.7 TBtu and 37 cargos. However, the company noted that 20.4 TBtu from five DES cargos exported in the quarter will be recognized in the following quarter, and full net income and cash flow results remain pending until the formal earnings release.

• · The implied weighted average fixed liquefaction fee of $6.79/MMBtu does not include the impact of gas supply basis.
• · Revenue from DES cargos is recognized upon delivery at the vessel destination, not at loading.
• · The company does not provide a reconciliation of forward-looking Consolidated Adjusted EBITDA to GAAP net income due to forecasting difficulties.
• · Full Q3 2026 financial results (net income, cash flow) will be announced in the formal quarterly earnings report.

07-10-2026

Gogoro Inc. announced a US$61.8 million new round of equity investment through share purchase agreements with four investors: Gold Sino Assets Limited, Peng-Lin Investment Limited, Ruen Hua Dyeing & Weaving Co., Ltd., and Yi Tai Investment Co., Ltd. The company also announced the appointment of three new directors. The filing does not provide any financial performance data for period-over-period comparison.

• · The share purchase agreements were all dated October 7, 2026.
• · The press release regarding the equity investment is Exhibit 99.1.
• · The press release regarding director appointments is Exhibit 99.2.

07-10-2026

Himalaya Shipping Ltd. filed a Form 6-K with the SEC on October 7, 2026, attaching a press release as Exhibit 99.1. The filing is a routine foreign private issuer report for the month of October 2026, signed by CEO Lars-Christian Svensen. No specific financial or operational data is disclosed in the filing itself.

• · Filing type is Form 6-K under the Securities Exchange Act of 1934.
• · Commission file number is 001-41676.
• · Registrant's address is S. E. Pearman Building, 2nd floor, 9 Par-la-Ville Road, Hamilton HM 11, Bermuda.
• · The registrant indicates it files annual reports under Form 20-F.

07-10-2026

Robo.ai Inc. reported September 2026 revenue exceeding US$100 million and expects full-year 2026 revenue of approximately US$600 million. The press release highlights strong revenue performance, but no prior-period comparisons are provided to assess growth trends or segment performance.

• · No prior-period revenue data or growth percentages were disclosed in the filing.
• · The filing does not provide segment-level or geographic breakdowns of revenue.

07-10-2026

Clinuvel Pharmaceuticals Ltd filed routine documents with the Australian Securities Exchange on October 5, 2026, including an application for quotation of securities, a notification of cessation of securities, and a cleansing statement. The filing was reported via Form 6-K to the SEC on October 7, 2026. No financial results or material business developments were disclosed.

• · Filed Appendix 2A (Application for quotation of securities), Appendix 3H (Notification of cessation of securities), and Section 708A Cleansing Statement with the ASX.
• · The filing is a routine disclosure under SEC Rule 13a-16 for foreign private issuers.

07-10-2026

NetEase, Inc. filed a Form 6-K with the SEC on October 7, 2026, attaching its monthly return submitted to the Hong Kong Stock Exchange regarding movements in its securities. The filing is a routine regulatory disclosure and contains no financial results or material business updates.

07-10-2026

Lufax Holding Ltd filed a Form 6-K with the SEC for October 2026, attaching its monthly return to the Stock Exchange of Hong Kong detailing movements in securities for equity issuers and Hong Kong Depositary Receipts listed under Chapter 19B. The filing was signed by CEO Xiang Ji and provides routine disclosure of share capital changes, if any, during the period. No financial results or material events were reported in this filing.

• · The filing is a routine monthly return on securities movements, not a financial results announcement.
• · The report covers equity issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules.
• · No specific share movements, new issuances, or cancellations were detailed in the provided text.

07-10-2026

Radware Ltd. announced it will host a conference call to discuss its third quarter 2026 financial results on a date to be determined. The filing is a routine Form 6-K providing notice of the upcoming earnings call, with no financial results or operational metrics disclosed.

• · The filing is dated October 7, 2026.
• · The conference call is for third quarter 2026 earnings.
• · No financial results, guidance, or performance data were provided in this filing.

07-10-2026

Lifezone Metals Ltd announced a US$8 million reduction in the cap on consideration payable to BHP Billiton (UK) DDS Limited, following an independent expert determination that the Kabanga Nickel Project's Resettlement Action Plan remains in material alignment with the International Finance Corporation's Performance Standard 5. This reduces the maximum potential payment to BHP, improving the company's financial outlook.

• · The reduction follows an independent expert determination that the Resettlement Action Plan is in material alignment with IFC Performance Standard 5.
• · The filing is a Form 6-K under the Securities Exchange Act of 1934.

07-10-2026

NorthStar Earth & Space Enterprises, Inc. (formerly Viking Acquisition Corp. I) has filed a Form 25 with the SEC to voluntarily withdraw its Common Shares and Warrants from listing and registration on the New York Stock Exchange, effective October 7, 2026. The delisting is being conducted under SEC Rule 12d2-2(c), which governs voluntary withdrawal of securities from an exchange. The filing was certified by CFO Beth Michelson.

• · The company's SEC Commission File Number is 001-42927.
• · The company's principal executive offices are located at 384 Rue Saint-Jacques #300, Montreal, Québec H2Y 1S1.
• · The company's telephone number is (514) 595-7474.
• · The delisting is voluntary under 17 CFR 240.12d2-2(c).

07-10-2026

AITX announced via an 8-K filing that it issued a press release on October 7, 2026, titled 'AITX's RAD Turns Small Orders into a Substantial Property Management Relationship'. The filing is furnished under Item 8.01 and is not deemed filed for Exchange Act purposes. No financial figures or performance metrics were disclosed in the filing.

• · The press release is attached as Exhibit 99.1 to the 8-K filing.
• · The filing is dated October 7, 2026, and the press release was issued on the same date.
• · The company's principal executive offices are located at 10800 Galaxie Avenue, Ferndale, Michigan, United States 48220.
• · The company's telephone number is (877) 787-6268.
• · The company is incorporated in Nevada and has IRS Employer Identification No. 27-2343603.

07-10-2026

Vertical Aerospace Ltd. (EVTWF) disclosed that its subsidiary VAGL filed a patent infringement counterclaim against Archer Aviation Inc. in the U.S. District Court for the Eastern District of Texas, alleging that Archer's eVTOL Midnight aircraft infringes VAGL's U.S. Patent No. 12,747,027. The counterclaim is part of an ongoing lawsuit initiated by Archer on February 23, 2026, and seeks injunctive relief and monetary damages. This is a legal escalation in the competitive eVTOL market, with no financial figures disclosed.

• · The counterclaim was filed on October 6, 2026, in the U.S. District Court for the Eastern District of Texas.
• · The underlying lawsuit was filed by Archer Aviation on February 23, 2026 (Civil Action No. 2:26-cv-00149-JRG).
• · The patent at issue is U.S. Patent No. 12,747,027.
• · The counterclaim seeks injunctive relief and monetary damages.
• · The filing is incorporated by reference into multiple Form F-3 registration statements.

07-10-2026

Titan Mining Corporation submitted a Form 6-K to the SEC for October 2026, which includes a press release dated October 7, 2026. The filing is a routine foreign issuer report but does not provide any quantitative financial data or operational metrics beyond the administrative details of the submission.

• · The filing is a Form 6-K (Report of Foreign Private Issuer) for the month of October 2026.
• · Annual reports are filed under Form 40-F (checked), not Form 20-F.
• · The press release (Exhibit 99.1) is dated October 7, 2026, but its content is not disclosed in this filing.

07-10-2026

Rezolve AI plc held an Investor Day on October 6, 2026, where management presented business developments and strategic plans. The company issued full-year 2026 revenue guidance of approximately $360 million and targeted an annual recurring revenue (ARR) exit rate of at least $500 million for 2026. It also expects approximately $60 million in annualized benefits from an operating efficiency program, but cautioned that operating cash outflows are expected in the second half of 2026 and the second half of 2027, highlighting ongoing cash burn alongside growth ambitions.

• · The company expects operating cash outflows in the second half of 2026 and the second half of 2027.
• · Rezolve has a limited operating history and history of financial losses.
• · The company highlighted risks including dependence on strategic relationships with Microsoft, Google, Tata Consultancy Services, and Tech Mahindra.
• · The filing includes forward-looking statements about revenue mix shift toward software, recurring platform, and infrastructure licensing revenue.
• · The company has a share repurchase authority but no exercise was specified.

07-10-2026

CSLM Digital Asset Acquisition Corp III, Ltd. (KOYN) filed a 425 communication regarding a podcast featuring First Digital Group Ltd.'s founder and KOYN's co-CEO, discussing the proposed business combination. The podcast covered First Digital's origins, stablecoin evolution, and its business model, including its FDUSD stablecoin and segregated reserve structure. The filing includes standard forward-looking statements and risk factors, with no specific financial metrics disclosed.

• · The Business Combination Agreement was signed on October 6, 2026.
• · The podcast was recorded on September 14, 2026 and published on October 6, 2026.
• · First Digital offers fully backed USD-denominated stablecoins, trust and custody services, global payment solutions, and white-label stablecoin issuance.
• · FDUSD is described as one of the world's most traded stablecoins, with a compliance-first governance model, segregated trust structure, and monthly independent attestations.
• · KOYN is a SPAC focused on digital assets, regulated financial infrastructure, and next-generation fintech.
• · The proposed business combination is subject to board and shareholder approvals, regulatory approvals, and other customary conditions.

07-10-2026

SeaTown Holdings Pte. Ltd. filed its quarterly Form 13F-HR with the SEC for the period ending September 30, 2026, disclosing its institutional holdings. The filing reports only two other reporting managers (SeaTown Holdings International Pte. Ltd. and SeaTown New Reality Sustainable Opportunities Master Fund) and no reportable equity holdings for the filer itself, as indicated by zero shares and zero value across all entries.

• · Filer reported zero holdings (0 shares, 0 value) for all securities in the information table.
• · The filing was signed by Ronald Ding, Head of Compliance, on July 23, 2026 (though the filing date is October 7, 2026).
• · The report covers the quarter ended September 30, 2026.

07-10-2026

Costco reported net sales of $297,247 million for fiscal 2026, a 10% increase from $269,912 million in fiscal 2025, with comparable sales up 8% (7% excluding FX and gasoline). Gross margin percentage declined slightly to 11.09% from 11.12%, while SG&A as a percentage of sales improved to 9.15% from 9.25%. Operating cash flow rose to $15,817 million from $13,335 million, but investing cash outflows increased to $6,378 million from $5,311 million.

• · Average sales per warehouse for warehouses opened in 2026 were $187 million (annualized), compared to $192 million for those opened in 2025.
• · Warehouses opened in 2024 averaged $170 million in their first year, while those opened in 2023 averaged $151 million.
• · U.S. net sales increased 10% in FY2026, Canada 10%, and Other International 12%.
• · Comparable sales excluding FX and gasoline: U.S. +7%, Canada +7%, Other International +6% in FY2026.
• · Interest income and other, net increased to $711 million in FY2026 from $589 million in FY2025.
• · Effective tax rate decreased to 24.7% in FY2026 from 25.1% in FY2025.
• · Net cash used in financing activities decreased to $3,355 million in FY2026 from $3,775 million in FY2025, and from $10,764 million in FY2024.

07-10-2026

Odyssey Marine Exploration Inc. filed an S-4/A registration statement with the SEC on October 6, 2026, providing selected historical financial information for itself, AOM, and CIC Limited in connection with a proposed merger. The filing reveals that Odyssey's financial position has deteriorated significantly: total assets fell from $18.5M (Dec 2024) to $15.8M (Dec 2025) and further to $13.2M (Jun 2026), while total liabilities increased from $97.6M to $93.2M over the same period, leaving stockholders' deficit at -$79.9M as of June 2026. Revenue dropped sharply from $768,677 in FY2024 to $353,719 in FY2025, and net loss attributable to Odyssey widened to -$43.1M in FY2025 compared to a net income of $15.7M in FY2024. The company's accumulated deficit reached -$332.5M by June 2026, and cash reserves declined from $4.8M (Dec 2024) to $2.3M (Jun 2026).

• · Odyssey's marine services revenue fell from $726,395 in FY2024 to $353,719 in FY2025, a decline of 51.3%.
• · Operating expenses increased from $12.8M in FY2024 to $13.8M in FY2025, despite the revenue drop.
• · Loss from operations widened from -$12.0M in FY2024 to -$13.4M in FY2025.
• · Change in derivative liabilities fair value swung from a gain of $18.9M in FY2024 to a loss of -$28.2M in FY2025.
• · AOM, formed on May 9, 2025, had total assets of $68.2M as of June 30, 2026, but total liabilities of $97.4M and a net loss of -$27.4M for the six months ended June 30, 2026.
• · CIC Limited's selected historical financial information is included but no specific figures are provided in the excerpt.

07-10-2026

Nuvve Holding Corp. reduced the exercise price of Outstanding AIR Warrants to $1.00 and removed the floor price, leading to the immediate exercise of 253,954 warrants for gross proceeds of approximately $253,954. The action was taken under the terms of the existing securities purchase agreement originally entered into on October 31, 2024, and follows prior exercises of Additional Investment Rights in 2025.

• · The exercise price reduction and floor price removal were made pursuant to Section 2(h) of the Outstanding AIR Warrants.
• · The resale of shares issuable upon exercise of the Additional Notes and Additional Warrants has been registered under Form S-1 (File No. 333-292624).
• · Prior exercises of the Additional Investment Right occurred in May 2025, September 2025, November 2025, and December 2025.

07-10-2026

REDLattice, a national security technology company, is going public via a SPAC merger with Bold Eagle Acquisition Corp. (Nasdaq: BEAG), announced in a fireside chat on October 5, 2026. CEO Andy Boyd highlighted the company's focus on bespoke intelligence, military, and law enforcement capabilities, with plans to expand organically and through M&A, particularly with Five Eyes allies. The transaction will be subject to a shareholder vote and requires SEC registration, with no financial terms disclosed in this communication.

• · REDLattice only sells to U.S. government agencies (intelligence, military, law enforcement) and allied nation-states, not commercial customers.
• · CEO Andy Boyd is a former CIA director of the Center for Cyber Intelligence, retired in late 2023.
• · REDLattice is owned by private equity firm AE Industrial Partners.
• · Bold Eagle's prior SPAC deals include DraftKings and Lionsgate.
• · The business combination will be filed via a Form S-4 registration statement with the SEC.
• · Bold Eagle's 10-K for FY2025 was filed on March 23, 2026.

07-10-2026

Nautilus Advisors LLC filed its Q3 2026 13F-HR, reporting total holdings of approximately $165.3 million as of September 30, 2026. The portfolio is diversified across large-cap equities, ETFs, and sector funds, with top positions including Amazon, Apple, and Netflix. The filing reflects routine quarterly disclosure of institutional holdings with no significant changes or notable events.

• · Top holdings by value: Amazon ($8.2M), Apple ($8.1M), Netflix ($3.7M), Alphabet Class A ($6.4M), Microsoft ($3.2M), Visa ($2.3M).
• · Largest ETF positions: Dimensional US Core Equity 2 ETF ($4.3M), State Street SPDR S&P 500 ETF ($7.1M), T. Rowe Price Dividend Growth ETF ($2.8M), Goldman Sachs Equal Weight US ETF ($2.8M).
• · Notable small-cap and thematic positions: Cibus Inc ($34.6K), Joby Aviation ($199K), Reddit ($703K), Space Exploration Technologies ($1.4M), Themes Trans Defense ETF ($580K).
• · Bitcoin exposure: iShares Bitcoin Trust ($230K) and WisdomTree Bitcoin Fund ($318K).
• · Gold exposure: SPDR Gold Trust ($259K).
• · International exposure: iShares MSCI Switzerland ($255K), iShares MSCI Germany ($302K), Vanguard FTSE Emerging Markets ETF ($794K).
• · All positions are held with sole voting and dispositive power; no shared or none authority.
• · The filing is a routine quarterly disclosure; no material changes or unusual activity indicated.

07-10-2026

CEMEX SAB DE CV filed a Form 6-K with the SEC on October 7, 2026, signed by Chief Comptroller Jaime Martínez Merla on October 6, 2026. The filing contains no financial data, business updates, or substantive disclosures beyond the signature block.

07-10-2026

Star Gold Corp. filed an 8-K on September 22, 2026, announcing the issuance of an updated Preliminary Economic Assessment (PEA) for its Longstreet Gold-Silver Project in Nevada. The press release and technical report summary are included as exhibits. No financial results or material changes were disclosed in the filing itself.

• · The PEA is for the Longstreet Gold-Silver Project in Nevada.
• · The full PEA is available on the company's website at www.stargold.com.
• · The filing includes exhibits: Press Release (99.1) and Technical Report Summary (99.2).

07-10-2026

Nasdaq Stock Market LLC has filed a Form 25-NSE to delist the common stock of NUSATRIP Inc (NUTR), effective at the opening of trading on October 16, 2026. The delisting follows Nasdaq Staff's determination on August 3, 2026, that the company no longer qualified for listing under Listing Rules 5250(c)(1) and 5101, and the company did not appeal the decision. The stock was already suspended on August 12, 2026, and the delisting determination became final on that date.

• · The delisting is effective at the opening of trading on October 16, 2026.
• · Nasdaq Staff determination was made on August 3, 2026, under Listing Rules 5250(c)(1) and 5101.
• · The company did not appeal the Staff Delist Determination Letter.
• · The company's common stock was suspended on August 12, 2026.
• · The Staff determination to delist became final on August 12, 2026.

07-10-2026

Morgan Stanley Solana Trust announced that Craig Abruzzo will become Co-Chief Operating Officer and a director of its Delegated Sponsor, Morgan Stanley Investment Management Inc., effective October 1, 2026. This is a leadership change with no direct financial impact on the Trust's operations or performance.

• · Craig Abruzzo previously served as global Head of Enterprise Controls at Morgan Stanley and global co-head of Foreign Exchange and Emerging Markets in the Fixed Income Division.
• · Abruzzo also held roles as global head of Futures and Derivatives Clearing, and in Prime Brokerage product development, strategy, and marketing.
• · Before Morgan Stanley, Abruzzo was an attorney in the swaps and derivatives practice at Cravath, Swaine and Moore.
• · The Trust is an emerging growth company as indicated in the filing.

07-10-2026

Morgan Stanley Bitcoin Trust (MSBT) announced that Craig Abruzzo has been appointed Co-Chief Operating Officer and director of its Delegated Sponsor, Morgan Stanley Investment Management Inc., effective October 1, 2026. Mr. Abruzzo brings extensive experience from senior roles at Morgan Stanley, including global Head of Enterprise Controls and co-head of Foreign Exchange and Emerging Markets. This is a routine leadership change with no financial impact on the Trust.

• · Mr. Abruzzo previously served as global Head of Enterprise Controls for Morgan Stanley and global co-head of Foreign Exchange and Emerging Markets in Morgan Stanley's Fixed Income Division.
• · He also held roles as global head of Futures and Derivatives Clearing, and was responsible for product development, strategy and marketing for Prime Brokerage.
• · Prior to Morgan Stanley, Mr. Abruzzo was an attorney in the swaps and derivatives practice area of Cravath, Swaine and Moore.
• · He holds a J.D. from New York University School of Law and a B.A. in economics from Drew University.

07-10-2026

Morgan Stanley Ethereum Trust disclosed in an 8-K filing that Craig Abruzzo has been appointed Co-Chief Operating Officer and a director of its Delegated Sponsor, Morgan Stanley Investment Management Inc., effective October 1, 2026. Mr. Abruzzo, a Managing Director, brings extensive experience from prior roles including global Head of Enterprise Controls at Morgan Stanley and co-head of Foreign Exchange and Emerging Markets. This is a routine personnel update with no financial impact or performance data reported.

• · The filing is an 8-K under Item 8.01 (Other Events) dated October 7, 2026, reporting an event effective October 1, 2026.
• · Mr. Abruzzo previously served as global Head of Enterprise Controls for Morgan Stanley and global co-head of Foreign Exchange and Emerging Markets in the Fixed Income Division.
• · He also held roles as global head of Futures and Derivatives Clearing, and earlier in Prime Brokerage product development, strategy, and marketing.
• · Mr. Abruzzo was an attorney in the swaps and derivatives practice at Cravath, Swaine and Moore before joining Morgan Stanley.
• · The Trust is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

07-10-2026

Figure Technology Solutions reported preliminary Q3 2026 operating data at the high end of its $4.8B-$5.2B guidance, with Consumer Loan Marketplace Volume surging 107% YoY to $5.119B and 20% QoQ. However, $YLDS in Circulation declined 9% QoQ to $504M, and Available Lender Supply on Democratized Prime dipped 1% MoM to $825M, signaling mixed momentum across key metrics.

• · Q3 2026 Consumer Loan Marketplace Volume of $5.119B was at the high end of the $4.8B-$5.2B guidance range.
• · Kiavi loan volumes for the approximate one-month period post-Merger (closed September 1, 2026) will be included in Q3 2026 financial results to be released in November.
• · Figure and its partners have originated approximately $30 billion of home equity to date.
• · Figure has received AAA ratings from S&P and Moody's on multiple loan securitizations.
• · More than 489 partners use Figure's loan origination system and capital marketplace.
• · $YLDS in Circulation declined 9% QoQ to $504M, while Available Lender Supply dipped 1% MoM to $825M.