US Pre-Market SEC Filings Roundup — October 16, 2026

15-10-2026

William Anderson Wittekind filed Amendment No. 25 to his Schedule 13D on Lunai Bioworks Inc. (LNAI), reporting that his beneficial ownership has fallen to 4.5% of common stock (226,665 shares, including shares held through trusts, Weird Science LLC, and shares of his spouse subject to a court writ of attachment). The decline is driven by the Issuer's 10-K reporting 5,034,452 shares outstanding as of October 13, 2026, following a 1-for-8 reverse split effective May 19, 2026, and the Reporting Person no longer holds more than 5%, which ends his obligation to report as a 5%+ holder. No sale of shares is reported in this amendment.

• · Filing relates to the Merger Agreement dated January 12, 2018 under which Weird Science received Issuer shares as majority stockholder of the Target; this is Amendment No. 25.
• · Spouse's 155,481 shares are subject to a writ of attachment in The Estate of Gregory Davis et al. v. Serhat Daniel Gumrukcu (Civil Case No. 5:22-cv-123, D. Vt.).
• · Filing is a 'LIVE' Schedule 13D/A with a stated event date of October 13, 2026; signed October 15, 2026.
• · Reporting Person states he no longer owns more than 5% of the Issuer's Common Stock; no acquisition or disposition transaction is described.

15-10-2026

City Therapeutics, Inc. (Cambridge, MA; pharmaceutical preparations, SIC 2834) filed a Rule 462(b) registration statement on October 15, 2026 to increase its offering by 1,597,222 shares of common stock, of which 208,333 are subject to the underwriters' over-allotment option. The filing is administrative in nature, incorporating by reference the Prior Registration Statement (File No. 333-299117), which was declared effective the same day, and is limited to an increase of no more than 20% of the maximum aggregate offering price in that prior filing.

• · Prior Registration Statement (File No. 333-299117) was originally filed September 24, 2026 and declared effective October 15, 2026
• · Company is an emerging growth company and smaller reporting company, non-accelerated filer
• · Exhibits include Goodwin Procter LLP legality opinion (5.1), PwC auditor consent (23.1), and filing fee table (107)

15-10-2026

Director Bhatt Nailesh was awarded 2,037 Common Stock. Bhatt Nailesh holds 48,951 shares after the transaction.

• · Director Bhatt Nailesh was awarded 2,037 Common Stock

16-10-2026

ZTO Express (Cayman) Inc. furnished a Form 6-K for October 2026 attaching Exhibit 99.1, an announcement of the date of a board meeting. The filing contains no financial results, quantitative metrics, or operational disclosures, and it is signed by Chief Financial Officer Huiping Yan.

• · Filing is a Form 6-K (Foreign Private Issuer report) for the month of October 2026, Commission File Number 001-37922
• · Company principal executive offices are in Shanghai, People's Republic of China
• · Exhibit 99.1 is titled 'Announcement — Date of Board Meeting'; the body text provided does not state the meeting date or agenda

16-10-2026

Benchmark Financial, LLC (CIK 0002107260, Wilmington, DE) filed its Form 13F-HR for the quarter ended September 30, 2026, on October 16, 2026, disclosing 60 equity and fund positions with a reported total portfolio value of approximately $130.2 billion (130,181,709 in thousands). Holdings are concentrated in broad-market and Treasury-linked ETFs, with large positions in SPDR S&P 500 Growth, iShares 7-10 Year and 3-7 Year Treasury bond ETFs, and ProShares S&P 500 Dividend Aristocrats, alongside mega-cap single stocks such as Berkshire Hathaway, Apple, Microsoft, and Alphabet. The filing reports sole investment discretion over all positions and no shared or other-manager holdings.

• · Portfolio is heavily weighted toward ETFs (majority of positions by value), with Treasury bond ETFs (iShares 3-7 Year and 7-10 Year) totaling roughly $15.2B combined
• · Single-stock exposure is comparatively small, led by Berkshire Hathaway, Microsoft, Apple, and Costco, with the largest individual stock position below $2B
• · Filing reports 100% sole investment discretion, indicating no co-managers or shared decision-making reported on this 13F
• · Filing is dated October 16, 2026, covering the quarter ended September 30, 2026, which is within the standard 45-day 13F deadline window

16-10-2026

Oaktree Acquisition Corp. III Life Sciences (OACCW) has postponed its extraordinary general meeting, originally set for October 16, 2026, to October 23, 2026, to allow further solicitation and voting of proxies on its proposal to extend the deadline for completing an initial business combination. Previously submitted proxies remain valid, the record date (September 22, 2026) is unchanged, and shareholders may still request withdrawal of redemptions via the transfer agent until the rescheduled meeting. The filing is a Regulation FD/Rule 14a-12 disclosure and does not report any financial results, deal terms, or quantified amounts.

• · Rescheduled General Meeting date: October 23, 2026 at 10:00 a.m. Eastern Time, at Kirkland & Ellis LLP offices (601 Lexington Avenue, New York) and virtually
• · In-person attendance requires reservation with the CEO by 10:00 a.m. Eastern Time on October 21, 2026
• · Shareholders wishing to request copies of proxy materials must do so no later than October 16, 2026
• · Proxy solicitor Sodali & Co can be reached at (800) 662-5200 or [email protected]

16-10-2026

Fermi Inc. disclosed that its indirect subsidiaries Fermi Turbine Warehouse LLC (Borrower) and Firebird Equipment Holdco LLC entered into a Limited Waiver and Amendment No. 1 to the Equipment Supply Loan Financing Agreement dated February 10, 2026, with MUFG Bank, Ltd. as administrative agent and lender. The amendment eliminates the covenant requiring a lease or offtake arrangement for 400 MW on the Project Matador site by November 10, 2026, and removes the associated potential increase in amortization; the company believes this avoids approximately $22M of principal payments in Q4 2026, $19M in Q1 2027 and $15M in Q2 2027. The company paid amendment fees totaling $25M, and MUFG remains administrative agent for a new syndicate of lenders.

• · Covenant deadline to secure a 400 MW lease or offtake arrangement on the Project Matador site was November 10, 2026; the amendment removes this requirement
• · Amendment fees of $25M were paid, which partially offsets the near-term principal relief of roughly $56M cumulatively across Q4 2026 to Q2 2027
• · Financing Agreement originally dated February 10, 2026; company shares trade on Nasdaq and London Stock Exchange under FRMI

16-10-2026

Chairman and Director Choo Chee Kong filed an amended Schedule 13D reporting beneficial ownership of 3,003,996 Ordinary Shares of CytoMed Therapeutics Ltd (GDTC), or 25.17% of the 11,934,908 shares outstanding. The filing discloses open-market purchases of 29,250 shares on the Nasdaq Capital Market between October 12 and October 15, 2026 for approximately $25,117.35 (weighted average price of $0.8587), funded with personal funds. The filing does not disclose any sales, and no regulatory action is reported.

• · Filing is a Schedule 13D/A (amendment) with a live event date of October 12, 2026, reported October 16, 2026
• · Reporting person may be deemed a 'group' under Section 13(d)(3) with remaining Glorious Finance shareholders, though no formal agreement exists
• · Company states all transactions complied with the insider trading policy and Rule 10b-5
• · Reporting person states no current plans regarding Item 4(a)-(j) matters beyond board-related discussions
• · Shares from Glorious Finance and EP Capital were issued in exchange for capital contributions; direct holdings were acquired with personal funds

16-10-2026

Standard Lithium Ltd. (SLI) furnished a Form 6-K for October 2026 that incorporates by reference a material change report dated October 14, 2026 (Exhibits 99.1 and 99.3) and a First Amendment, dated September 24, 2026, to a lithium carbonate offtake agreement between SWA Lithium LLC and Trafigura Trading LLC (Exhibit 99.2). The filing body itself contains no quantitative financial results, so the commercial terms of the amendment and the substance of the material change are not disclosed in the text provided.

• · Material change report dated October 14, 2026 is filed as Exhibits 99.1 and 99.3; the exhibit contents were not included in the provided text
• · Offtake amendment dated September 24, 2026 is filed as Exhibit 99.2 and involves SWA Lithium LLC and Trafigura Trading LLC
• · Exhibits 99.1 and 99.3 are incorporated by reference into Form F-10EF (File No. 333-289110) and Form S-8 (File No. 333-262400)
• · Company is a foreign private issuer filing under Form 20-F (not 40-F); Commission File Number 001-40569

16-10-2026

Vertical Aerospace Ltd. announced on October 15, 2026 that its wholly owned subsidiary Vertical Aerospace Group Limited signed long-term supply agreements with ANH Structure Co., Ltd. (pilot and passenger seating system with 30G energy-absorption technology) and Northrop Grumman LITEF GmbH (inertial reference system using fibre-optic gyroscopes and MEMS accelerometers) for its Valo eVTOL aircraft. The filing contains no quantitative financial results, contract values, or period-over-period comparisons.

• · Agreements were entered into on October 15, 2026, and announced via press release on October 16, 2026 (Exhibit 99.1).
• · ANH will design, develop, certify and manufacture Valo's pilot and passenger seating, holding EASA Design and Production Organisation Approvals.
• · NG LITEF will supply the aircraft's inertial reference system, which is approved to applicable EASA and FAA standards.
• · The filing references the Annual Report on Form 20-F filed March 24, 2026 for risk factors.

16-10-2026

International Seaways (INSW) agreed to acquire Bruton Limited (valued at about $370 million) in a two-step transaction: an immediate First-Step Exchange for 50.5% of Bruton shares at 0.0519 INSW shares per Bruton share, followed by a cash-and-stock merger for the remainder, with about 3.12 million INSW shares issued (about 96% of consideration). The company also reported preliminary Q3 2026 results showing shipping revenues of about $480-$490 million and net income of about $340-$350 million (including a roughly $50 million gain on a Suezmax sale), while blended spot earnings fell to about $68,000 per day from $79,000 in Q2 2026, though still well above $29,000 per day in Q3 2025.

• · First-Step Exchange expected to settle on or about October 20, 2026
• · Bruton special shareholder meeting on or about October 30, 2026; shareholders party to the First-Step Exchange agreed to vote in favor
• · Merger expected to close promptly after the Bruton special meeting, subject to customary conditions
• · Q3 2026 preliminary results to be finalized in the full earnings release on November 5, 2026
• · Preliminary Q3 2026 results are subject to completion of financial closing procedures and may change
• · Transaction structured under Rule 802 exemption; Seaways will file Form CB with the SEC for information documents
• · Receipt of consideration may be taxable for U.S. federal income tax purposes

16-10-2026

MDxHealth preliminarily reported third-quarter 2026 revenue from continuing operations of approximately $22.7 million, flat versus the re-presented $22.7 million in Q3 2025 (excluding Resolve mdx), and suspended its full-year 2026 revenue guidance of $110–115 million. Tissue-based test volume fell 11% YoY to 11,232, while liquid-based (Exo mdx) volume rose to 11,792 from 4,600, aided by the September 2025 acquisition. Management attributed the shortfall to unexpected sales force turnover following the Resolve mdx discontinuation and recruiter targeting, and expects a return to growth.

• · Full-year 2026 revenue guidance of $110–115 million was suspended, not merely lowered
• · Management cited sales force turnover catalyzed by recruiter targeting and a disrupted forecasting process as root causes
• · Full Q3 results and corrective action details are scheduled for an earnings call on November 12, 2026
• · Preliminary figures are unaudited and may differ materially from final results

16-10-2026

Loop Industries reported a Q2 FY2027 (three months ended August 31, 2026) net loss of $2,988 thousand, versus $3,204 thousand in the prior-year quarter, an improvement of about 6.7%. Revenue rose to $117 thousand from zero, but total stockholders' deficit widened to $(14,134) thousand from $(9,580) thousand at February 28, 2026, and the filing carries a going-concern disclosure. Cash fell to $836 thousand from $2,356 thousand, and current liabilities jumped to $4,781 thousand, driven by a $1,411 thousand Credit Facility draw.

• · Net loss per share was $(0.06) for the quarter versus $(0.07) a year earlier; six-month loss per share was $(0.13) versus $(0.14).
• · Total assets fell to $6,373 thousand from $8,559 thousand, while total liabilities rose to $20,507 thousand from $18,139 thousand.
• · Accumulated deficit reached $(210,698) thousand, up from $(204,326) thousand at February 28, 2026.
• · Loss on equity accounted investments rose sharply to $431 thousand in the quarter from $43 thousand a year earlier, and to $750 thousand for six months from $345 thousand.
• · Interest and other financial expenses were $460 thousand for the quarter, slightly above $419 thousand a year earlier.
• · Filing includes a going-concern disclosure (Note 1), a material risk indicator given the stockholders' deficit and reduced cash balance.

16-10-2026

Westport Fuel Systems Inc. (WPRT) changed its corporate name to Aetherion Technologies Inc. effective October 14, 2026. The company expects its common shares to begin trading under the new name and ticker AETR on the Toronto Stock Exchange and Nasdaq on or about October 23, 2026, subject to final exchange approvals, with trading under WPRT continuing until then. The CUSIP and ISIN numbers will also change as a result of the rename.

• · Exhibits 99.1 (Articles and Certificate of Amendment dated October 14, 2026) and 99.2 (Notice of Change in Corporate Structure dated October 15, 2026) accompany the filing
• · The report is incorporated by reference into Form F-3 (File No. 333-289669) and Form S-8 registrations (Nos. 333-248912, 333-211726, 333-168847)
• · The filing is a Form 6-K for a foreign private issuer, with the registrant filing annual reports on Form 20-F

16-10-2026

M&T Bank Corporation reported third quarter 2026 net income of $775 million, or $5.04 diluted EPS, versus $818 million ($5.32) in Q2 2026 and $792 million ($4.82) in Q3 2025. Net operating income was $780 million ($5.08 diluted), down 5% QoQ but up 4% YoY on a per-share basis. Credit quality improved year over year, with nonaccrual loans down 14% to $1.3 billion, though net charge-offs rose sharply quarter over quarter to 0.35% from 0.23%.

• · Net income declined 6% sequentially and 2% year over year, while per-share metrics improved YoY due to share repurchases.
• · Net charge-offs rose to 0.35% of average loans from 0.23% in Q2 2026, though they fell from 0.42% a year earlier.
• · Capital markets and advisory revenues fell 24% QoQ and 8% YoY on lower loan syndication fees and swap revenues.
• · Other revenues from operations fell 25% YoY, reflecting a $28M CIT earnout distribution and a $12M equipment lease gain in Q3 2025 that did not recur.
• · Outside data processing and software costs rose 25% YoY and professional services rose 22% YoY, pressuring the efficiency ratio to 54.4% from 52.8% QoQ.
• · CET1 capital ratio declined to an estimated 10.16% from 10.99% a year earlier, and return on average assets fell to 1.40%.
• · Average deposits and borrowings shifted, with short-term FHLB borrowings down 35% QoQ while long-term borrowings rose 9%.

16-10-2026

IHG Hotels & Resorts PLC disclosed share buyback purchases of ordinary shares across six trading days in early-to-mid October 2026, totaling 115,016 shares, with prices ranging from $157.25 to $165.00 per share. Purchases were concentrated in the October 9, 13, and 14 sessions, and the average price rose from about $157.89 on October 12 to $163.55 on October 15, indicating the share price moved higher over the period. The filing is a routine buyback transaction disclosure rather than a change in corporate strategy or financial performance.

• · Lowest and highest prices paid ranged from $157.25 (12 October) to $165.00 (15 October), with the 15 October session the highest-priced purchase window in the filing
• · Purchase volume was heaviest on 09 October (44,953 shares) and lightest on 02 October (1,000 shares)
• · The 15 October session had the widest intraday range ($160.80 to $165.00) among the disclosed dates

16-10-2026

Regions Financial reported 3Q26 net income of $631 million ($611 million available to common shareholders) and diluted EPS of $0.71, up 11% and 16% respectively versus 3Q25 on a reported basis, with adjusted diluted EPS of $0.73. Quarter-over-quarter, net interest margin edged up to 3.68% and total revenue rose 3.5% to $1,973 million, while average loans grew 0.5% and average deposits declined 1.2%. Credit quality improved, with annualized net charge-offs falling to 0.29% from 0.42%, though non-interest expense was essentially flat and wealth management income and securities losses weighed on certain lines.

• · Wealth management income declined 2.7% QoQ following a record second quarter, reflecting lower production volumes.
• · Mortgage income fell 3.0% QoQ and 15.8% YoY.
• · Average deposits declined 1.2% QoQ, with corporate deposit outflows driven by a limited number of large clients reallocating balances to off-balance sheet products.
• · Average consumer loans decreased 0.5% QoQ, while average business loans rose 0.9%.
• · Professional, legal and regulatory expenses rose 25% QoQ due to higher legal settlement costs.
• · Securities losses were $15 million in 3Q26 versus $40 million in 2Q26 due to repositioning trades.
• · Operating expenses were essentially flat QoQ, with salaries and employee benefits down 0.4%.

16-10-2026

Temasek Holdings (Private) Limited filed a Schedule 13G reporting beneficial ownership of 11,873,655 ordinary shares of Pasqal Holding SA (formerly Bleichroeder Acquisition 2 France), representing 5.6% of the 212,293,691 shares outstanding as of September 1, 2026. The holding is passive, filed under Rule 13d-1(d), and held through two indirect wholly-owned subsidiaries, with Temasek reporting sole voting and dispositive power over all shares.

• · Event date of the reportable change is 09/30/2026, with the filing made on October 16, 2026
• · Filing is a LIVE Schedule 13G under Rule 13d-1(d), which applies to passive holders who acquired shares before the issuer's registration under Section 12
• · Temasek reports 0 shares with sole voting power and 11,873,655 with shared voting power and shared dispositive power
• · Issuer's CUSIP is F70289107 and the issuer changed names from Bleichroeder Acquisition 2 France (March 2026) and later Bleichroeder Acquisition France Merger Sub 2 (May 2026) before becoming Pasqal Holding SA

16-10-2026

Equity Bancshares (EQBK) held its Q3 2026 earnings call, reporting net income of $26.8 million ($1.29 per diluted share) and core EPS of $1.40, with core ROTCE of 16.5% and an efficiency ratio of 54%. Total loans grew $39 million to $5.44 billion, the first quarterly increase since the prior acquisitions closed, but total deposits declined $136 million (2.2%) to $6.17 billion, and net interest margin compressed 16 basis points to 4.2%. Management is on track to close the Lincoln Bancorp merger in Q4 2026, which would lift pro forma assets to approximately $9.1 billion.

• · Net interest income declined $1 million QoQ to $72.8M as deposit costs rose 7 bps on flat balances and investment yields fell.
• · Loan coupon yields fell 5 bps, though the spot coupon rose 8 bps to 6.48% after the September FOMC rate hike.
• · Management expects Q4 2026 NIM of 4.25%-4.35% excluding Lincoln, Q4 noninterest income of $10M-$11M, and Q4 noninterest expense of $47M-$48M excluding Lincoln.
• · Share repurchases are paused pending the Lincoln close, and management expects pro forma TCE of ~8.5% and total risk-based capital of ~13.4% at close.
• · Lincoln is expected to close in Q4 2026 and convert to Equity systems in Q2 2027, with no branch closures planned and cost savings beginning in 2027.
• · Year-to-date core EPS is $4.14, positioning the company to surpass its $5.00 2026 core EPS target.
• · Net charge-offs rose to 15 bps annualized from 12 bps last quarter, and provision guidance is $1.5M-$2.0M per quarter.

16-10-2026

Caledonia Mining Corporation Plc filed a Form 6-K for October 2026 furnishing a press release dated October 16, 2026 as Exhibit 99.1. The filing cover page, signature block (signed by CEO John Mark Learmonth) and exhibit index contain no operational, financial or quantitative disclosures, and the substantive content of the press release is not included in the text provided.

• · Filing is a Form 6-K (Report of Foreign Private Issuer) for the month of October 2026, Commission File Number 001-38164
• · Registrant principal executive office is located at 2 Mulcaster Street, St Helier, Jersey JE2 3NJ
• · Registrant files annual reports on Form 20-F
• · Exhibit 99.1 is a Press Release dated October 16, 2026, whose content is not included in the provided text

16-10-2026

Ensysce Biosciences filed Amendment No. 2 to its Form 8-K to supplement its previously reported merger with Cy Biopharma, Inc. by adding risk factors, a business overview of Cy Biopharma, audited financial statements for fiscal 2025 and 2024, unaudited interim financial statements for the six months ended June 30, 2026, and unaudited pro forma condensed combined financial information. The filing is informational in nature, and the pro forma figures are explicitly stated not to represent actual results or projections. The amendment does not itself disclose specific revenue, earnings, or dollar figures in the text provided.

• · Original Form 8-K was filed August 6, 2026, reporting Items 1.01, 2.01, 3.02, 3.03, 5.02, 5.03, 7.01 and 9.01, and was amended the same day to file exhibits and correct an error.
• · Transaction-related date of earliest event reported is August 5, 2026.
• · Exhibits include a consent of EisnerAmper LLP (Exhibit 23.1), Business Overview (99.1), Risk Factors (99.2), Cy Biopharma audited statements for FY2025 and FY2024 (99.3), Cy Biopharma unaudited statements for six months ended June 30, 2026 and 2025 (99.4), and pro forma combined statements (99.5).
• · Common stock (par value $0.0001) trades on Nasdaq under symbol ENSC; the filing references warrants under ENSCW in the header.
• · Filing signature is dated October 15, 2026, while the EDGAR filing date is October 16, 2026.

16-10-2026

Franchise GP Ltd, a Cayman Islands-based filer, submitted a Form 13F-HR for the quarter ended September 30, 2026, reporting 42 holdings with an aggregate reported value of approximately $235.6 billion (reported as 235,635,255 in thousands of dollars). The portfolio is concentrated in semiconductors and AI-related names (e.g., Broadcom, NVIDIA, Micron, Lam Research, ASML), with large positions in PDD Holdings, Petroleo Brasileiro, and iShares Bitcoin Trust, while also holding a range of REITs and smaller speculative names. The filing contains only current-period holdings, so no period-over-period changes can be assessed from this document.

• · Filing is a 13F-HR for the period ended September 30, 2026, filed October 16, 2026 with SEC file number 028-25995; the filer is registered in Grand Cayman with Shihong Wang as signatory from Hong Kong.
• · Portfolio is highly concentrated: the largest reported positions (PDD, Petrobras, NVIDIA, AMD, Micron, TSMC, bitcoin ETF) each exceed $8 billion, while the bulk of the 42 holdings are REITs and smaller names.
• · Notable crypto-linked exposure via iShares Bitcoin Trust ETF ($10.96B) and iShares Ethereum Trust ($337M), plus Circle Internet Group and BitMine Immersion Technologies.
• · Leveraged/derivative-like exposure includes Direxion Daily 20+ Year Treasury Bull ETF ($23.95B, 480,140 shares), a significant position in a leveraged Treasury product.
• · Sizable energy exposure via Petrobras ADRs ($17.66B) and United States Oil Fund LP ($5.95B).
• · All positions are reported as sole investment discretion with no shared or other-manager voting or investment authority.
• · The filing does not include prior-period comparisons, so changes in holdings cannot be determined from this document alone.

16-10-2026

Brand Engagement Network Inc. (Nasdaq: BNAI, BNAIW) entered into a Settlement and Forbearance Agreement on September 30, 2026 with Evora Partners, LLC, resolving a roughly $1.3 million accounts payable obligation under a January 2021 consulting agreement for $825,000 (including a $75,000 attorneys' fee reimbursement). Evora will dismiss its September 2, 2026 breach of contract and declaratory relief lawsuit in the U.S. District Court for the Southern District of New York. The Company has paid $175,000 and will pay the remaining $650,000 in installments through December 2026, with guarantor BEN Capital Fund I, LLC guaranteeing payment.

• · Settlement represents a discount of roughly $475,000 (about 37%) from the ~$1.3M obligation carried in accounts payable
• · Lawsuit filed September 2, 2026 in S.D.N.Y. (Evora Partners, LLC v. Brand Engagement Network Inc.) asserted breach of contract and declaratory relief claims
• · Full Settlement Agreement expected to be filed as an exhibit to the Form 10-Q for the quarter ended September 30, 2026
• · Filing dated October 16, 2026 for an event on September 30, 2026; signed October 15, 2026
• · Company is an emerging growth company; warrants exercisable at $115.00 per share

16-10-2026

Mesoblast Limited furnished a 6-K filing on October 16, 2026, reporting that it filed a press release announcement with the Australian Securities Exchange on that date, attached as Exhibit 99.1 and incorporated by reference. The filing body itself contains no substantive financial, operational, or regulatory details; the content of the press release is not included in the provided text.

16-10-2026

GLOBAL STRATEGIC MANAGEMENT INC (CIK 0001413303, Puerto Rico address) filed a Form 13F-HR reporting institutional holdings as of September 30, 2026, covering 29 positions with a reported total portfolio value of approximately $132,156 thousand (as stated in the cover page). The portfolio is concentrated in precious metals and mining, royalty and streaming companies, with gold and silver producers and royalty firms dominating holdings. This is a routine quarterly disclosure with no period-over-period comparison available in the filing.

• · Largest position by reported value is Franco-Nevada Corp at approximately $18.354M, followed by Metalla Royalty & Streaming at $25.141M; Metalla is the largest by value in the schedule shown.
• · Metalla Royalty & Streaming holds 2,666,083 shares, the largest share count in the portfolio.
• · Most positions are held with sole investment discretion; the filing reports no shared or other-manager discretion.
• · Portfolio includes exposure to royalty/streaming companies (Metalla, Elemental, OR Royalties, Triple Flag, Wheaton, Royal Gold, Franco-Nevada) and BDCs (Ares Capital, Golub Capital BDC, Gladstone Land).

16-10-2026

White & Co Financial Planning Inc (CIK 0002039300, Sunnyside, WA) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 21 holdings with an aggregate reported market value of approximately $151.3 million. The portfolio is concentrated in ETFs spanning U.S. large-, small- and mid-cap equities, international equities, fixed income (corporate, municipal, multisector and international bonds), REITs and commodities. Because this is a holdings snapshot rather than a period-over-period report, no quarter-on-quarter comparison is available in the filing.

• · Filer is a Washington-state investment adviser (SEC File No. 028-24600) with a reported $151.3M in 13F securities as of 9/30/2026
• · Portfolio is 100% ETFs; the largest single position (Schwab US Large Cap ETF, $20.4M) represents roughly 13.5% of reported value
• · Fixed income exposure (corporate, municipal, multisector and international bond ETFs) totals roughly $47M, about 31% of reported value
• · Equity exposure is spread across U.S. large/mid/small-cap, international developed, emerging markets, and sector/thematic funds (REIT, global real estate, natural resources)
• · Holdings include an options-income strategy ETF (WisdomTree PutWrite) and a flexible income ETF (TCW), which are smaller positions
• · Some very small positions (e.g., iShares Core S&P 500 ETF at $0.24M) appear alongside much larger allocations, suggesting incremental or residual holdings
• · Filing was made by the filer itself (self-filed, 13F-HR, 21 holdings, no other included managers listed)

16-10-2026

REDL Intermediate Holdings, LLC (REDLattice) and Bold Eagle Acquisition Corp. are pursuing a proposed business combination, in which Bold Eagle will domesticate as PubCo and file a Form S-4 registration statement with the SEC. This Rule 425 filing contains a LinkedIn post shared by Paragon Solutions LTD. on October 15, 2026, along with standard legal disclosures on proxy solicitation, forward-looking statements, and the absence of any offer of securities. The filing discloses no specific deal value, financial results, or quantitative performance figures.

• · Bold Eagle Acquisition Corp. Commission File No. is 001-42385.
• · Bold Eagle's Form 10-K for FY2025 was filed with the SEC on March 23, 2026.
• · Bold Eagle's registered address is 955 Fifth Avenue, New York, NY 10075.
• · The transaction is subject to Bold Eagle's shareholder approval and a business combination deadline that the filing flags as a risk.

16-10-2026

KENNICOTT CAPITAL MANAGEMENT LLC (CIK 0001863265, Larkspur, CA) filed a Form 13F-HR reporting its equity holdings as of September 30, 2026, with 49 reported positions. The portfolio is concentrated in broad-market and sector ETFs, led by Vanguard Mega Cap Growth ETF, Vanguard Large Cap ETF, Invesco QQQ, and Apple, with a total reported market value of roughly $300 million. The filing contains only current-period holdings and no prior-period comparison, so no period-over-period changes can be assessed.

• · Holdings are reported as SOLE investment discretion with no shared or other-manager voting authority, indicating the filer exercises full discretion over all 49 positions.
• · The portfolio is heavily weighted toward ETFs and index funds rather than individual stocks; individual equity positions include Apple, Alphabet (Class A and C), Amazon, NVIDIA, Meta, Broadcom, Lam Research, Roblox, Doximity, Twilio, and Uber.
• · Mortgage REIT positions (Blackstone Mortgage Trust, Chimera Investment, Starwood Property Trust) are among the smaller holdings, each under $0.4M in reported value.
• · Filing period is September 30, 2026, with the filing dated October 16, 2026; the 13F-HR is a quarterly institutional disclosure, not an event-driven announcement.

16-10-2026

Japan Science & Technology Agency filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 13 holdings with an aggregate reported value of approximately $5.51 billion (5512221339 in thousands of USD, as reported in the cover page). The portfolio is concentrated in exchange-traded funds spanning high-yield bonds, investment-grade corporate bonds, U.S. and emerging-market equities, and Nasdaq-100 exposure. The filing is a routine regulatory disclosure of equity-type holdings and does not indicate any material corporate action.

• · Filing covers the period ended September 30, 2026, with a filing date of October 16, 2026 (fiscal year end is March 31).
• · All 13 positions are reported with SOLE investment discretion and no shared or other-manager voting authority.
• · Portfolio tilts toward fixed income ETFs (high yield and investment grade corporate bonds) by value, with equity exposure across U.S. large-cap, Nasdaq-100, equal-weight S&P 500, emerging markets and growth/value factor funds.
• · Figures reproduced as reported; the cover page and information table are internally consistent in units of thousands of USD.

16-10-2026

Farrell Financial LLC (CIK 0002031235, Orchard Park, NY) filed a Form 13F-HR on October 16, 2026 reporting equity and fund holdings as of September 30, 2026, across 81 positions with an aggregate reported market value of approximately $186.88 billion ($186,881,231 in thousands). The portfolio is dominated by broad-market and fixed-income ETFs, with the largest single positions in Schwab US Large Cap ETF, Vanguard Mid-Cap and Large-Cap index funds, and Apple. The filing is a routine quarterly holdings disclosure and does not indicate any change in control, acquisition, or regulatory action.

• · Filing covers a single reporting manager (Farrell Financial LLC, SEC file no. 028-24232) with a New York business address; all 81 positions are reported with SOLE voting/investment authority
• · Portfolio composition is heavily weighted toward ETFs and index funds rather than single-name equities; individual stock positions are comparatively small (e.g., Apple, Amazon, Microsoft, Alphabet, NVIDIA)
• · Filing was signed by Aryn Sands as agent on October 15, 2026 and accepted October 16, 2026 under accession number 0001754960-26-000890

16-10-2026

Suzano S.A. (SUZ) furnished a Form 6-K for October 2026 attaching Exhibit 99.1, a Notice to the Market. The cover page and signature block identify the filing as a foreign private issuer report signed by Marcos Moreno Chagas Assumpção, Vice-President of Finance and Investor Relations. The filing text provided contains no financial figures, performance metrics, or substantive operational details, so its investor significance cannot be assessed from the content supplied.

16-10-2026

Firy Inc. (formerly Skillz Inc., NYSE: FIRY) completed the redemption of all $49,671,000 aggregate principal amount of its 10.250% Secured Notes due 2026 on October 15, 2026, at 100.000% of principal plus accrued and unpaid interest. No Notes remain outstanding following the redemption, eliminating this debt obligation from the company's balance sheet.

• · Redemption was executed at par (100.000% of principal) plus accrued and unpaid interest through the redemption date
• · Company was renamed from Skillz Inc. to Firy Inc.; the filing lists trading symbol FIRY on NYSE, while the user-provided ticker is SKLZ
• · Filing reports the event as previously announced, indicating a prior redemption notice had been issued

16-10-2026

Trail Ridge Investment Advisors, LLC (Fort Collins, CO; CIK 0001911013) filed a Form 13F-HR reporting its institutional equity holdings as of September 30, 2026, covering 96 positions with a reported total portfolio value of $236,353,175 (table value field, as stated in the filing; units per the 13F information table). The portfolio is concentrated in large-cap technology and index/ETF exposures, with Apple, NVIDIA, Alphabet, Amazon and Microsoft among the largest single-name holdings, alongside substantial ETF positions including GOLDMAN SACHS ETF TR ACTIVEBETA INT, ISHARES INC MSCI EMRG CHN and JANUS DETROIT STR TR HENDRSN SHRT ETF. The filing is a routine quarterly disclosure with no indication of regulatory action, and performance trends cannot be assessed because prior-period comparatives are not included.

• · Filing reports holdings as of September 30, 2026 and was filed October 16, 2026 (accession 0001754960-26-000889), with the filer's SEC file number 028-21968
• · Investment discretion is reported as SOLE for all 96 positions, with no shared or other-manager discretion disclosed
• · Filer is a Wyoming LLC with business address in Fort Collins, Colorado
• · Holdings include ETF and index positions as well as individual equities, with a large share of value in ETFs by aggregate position value
• · No prior-period comparison data is provided, so quarter-over-quarter changes in holdings cannot be determined from this filing alone

16-10-2026

Skydance Corporation (NYSE: SKYD) filed an 8-K disclosing the distribution on October 13, 2026 of 470,746,773 warrants to purchase Class B Common Stock at an initial exercise price of $12.00 per share, issued as a dividend to Class B holders of record on October 5, 2026 following the October 6, 2026 closing of its merger with Warner Bros. Discovery, Inc. (WBD). The filing also discloses a temporary blackout period for the Paramount Global 401(k) Plan's Class B Common Stock Fund, which began October 5, 2026 at 4:00 p.m. ET and is expected to end the week of October 18, 2026, during which participants cannot direct trades into or out of the Fund or take loans, withdrawals or distributions from it.

• · Warrants were distributed at a ratio of one warrant per Class B share held by stockholders other than the Ellison-related holders, RedBird, and certain company subsidiaries and retirement plans.
• · The 401(k) Plan did not receive warrants due to ERISA restrictions; instead it receives additional Class B shares (rounded down) under a conversion formula approved by State Street as independent fiduciary.
• · Warrants and underlying shares were registered on Form S-3 (File No. 333-297906), originally filed July 31, 2026, with a prospectus supplement filed October 5, 2026.
• · Notice to directors and executive officers was issued October 15, 2026 under Section 306 of Sarbanes-Oxley and Regulation BTR Rule 104, with trading prohibitions applicable during the blackout.
• · Participants may obtain the actual blackout end date from the General Counsel for two years after the blackout ends.

16-10-2026

Awaysis Capital, Inc. (AWCA) filed its annual 10-K for the fiscal year ended June 30, 2026, reporting a net loss of $2,586,639 versus $2,724,941 in FY2025, a modest improvement of roughly 5%, while the accumulated deficit grew to $17,917,948 from $15,331,309. The filing flags a potential unwinding of the Chial Reserve property acquisition, a liquidity risk on promissory notes that could cost the company securing properties, and substantial accounts payable and current liabilities. Management also cites higher revenue from villa sales and rental/management income at Chial Mountain, offset by timing-driven swings in marketing and commission expenses.

• · The company is considering unwinding its acquisition of the Chial Reserve property, a risk that could materially affect business, financial condition, and stock price.
• · Company may lack liquidity to repay certain promissory notes at maturity, risking loss of properties and related assets securing those notes.
• · Accumulated deficit rose about 16.8% year over year despite the narrower annual net loss.
• · Company is a development-stage entity that has only recently established material and recurring revenue and has not yet achieved profitability.
• · Company qualifies as a smaller reporting company and as a penny stock, with a limited trading market and risk of listing non-compliance on NYSE American.
• · Management's MD&A cites decreased marketing expense and real estate commission expense, partly due to timing of third-party marketing engagement and professional fee payments, as contributors to results.

16-10-2026

Algoma Steel Group Inc. furnished a Form 6-K for October 2026 attaching Exhibit 99.1, a press release dated October 15, 2026. The cover page and signature block contain no financial figures, operational metrics, or substantive disclosures; the substance of the announcement is only in the referenced exhibit, which is not reproduced in the filing text provided.

• · Filing made under Form 40-F reporting status (Form 20-F box unchecked), indicating Algoma files annual reports under the MJDS framework
• · Commission File Number 001-40924; principal executive offices at 105 West Street, Sault Ste. Marie, Ontario
• · Attached Exhibit 99.1 is a press release dated October 15, 2026; its content is not included in the provided text

16-10-2026

Michael J. Porro & Co. Financial Advisors, Inc. (CIK 0002158818, SEC File No. 028-27222, Old Tappan, NJ) filed a Form 13F-HR on October 16, 2026 reporting equity holdings as of September 30, 2026. The filing lists 134 positions with a reported aggregate market value of approximately $165,545,243 (about $165.5 million), with the bulk of the portfolio concentrated in large-cap technology, semiconductor, and broad-market ETF positions. The filing is a routine quarterly disclosure and contains no explicit mention of regulatory action, acquisitions, or corporate events.

• · Filing is a Form 13F-HR (Holdings Report) for the quarter ended September 30, 2026, filed October 16, 2026 under the Securities Exchange Act of 1934.
• · Largest reported single positions by market value include Apple (~$36.7M), Microsoft (~$28.5M), NVIDIA (~$27.8M), Amazon (~$30.4M), and Alphabet (~$24.5M).
• · Portfolio includes a substantial ETF sleeve (Vanguard, State Street SPDR, Invesco QQQ, iShares, VanEck) alongside individual equities.
• · Holdings span semiconductors, cloud/software, healthcare, energy (including Canadian and Australian energy names), industrials, and consumer names.

16-10-2026

Aduro Clean Technologies Inc. (ADUR) furnished a Form 6-K on October 16, 2026 (signed October 15, 2026) under the Securities Exchange Act, submitting its interim condensed consolidated financial statements and Management's Discussion and Analysis for the three-month period ended August 31, 2026, along with CEO and CFO certifications under Form 52-109F2. The filing itself contains no specific financial figures, so no quantitative performance comparison can be assessed from the text provided.

• · Principal executive office located at 542 Newbold Street, London, Ontario, Canada
• · Registrant files under Form 40-F (multijurisdictional disclosure system), not Form 20-F
• · Commission File Number 001-42393
• · Exhibits 99.1 and 99.2 (financial statements and MD&A) contain the actual results and are not reproduced in the filing text provided, so performance metrics should be reviewed directly from those exhibits

16-10-2026

CADV Ventures S.A. (a SPAC-related filer, CIK 0002077033) filed an amended Form S-4 registration statement on October 16, 2026, in connection with a proposed business combination. The filing's content is almost entirely XBRL-tagged scenario data modeling outcomes under five redemption cases (no redemption and 25%, 50%, 75%, and 100% of maximum redemptions) for items such as trust balances, deferred underwriting fees, shares outstanding post-closing, and net tangible book value. The excerpt contains no narrative text, transaction terms, or dollar amounts that can be verified, so the financial outcome of the deal cannot be determined from this content.

• · Filing is an S-4/A amendment covering periods through June 30, 2026, with a stated filing date of October 16, 2026, while the cover-tag date is October 2, 2026.
• · Redemption scenarios model outcomes at 0%, 25%, 50%, 75%, and 100% of maximum redemptions for trust account, shares outstanding, and tangible book value.
• · Private placement units and a working capital loan with sponsor officers and directors are referenced.
• · Predecessor/successor accounting presentation applies to Kukugan Invest, with a change in reporting entity around January 6, 2026.
• · Equity statements reference a subscription receivable and a reclassification of mezzanine (redeemable) equity to permanent equity.

16-10-2026

Northann Corp. (NCL) disclosed in an 8-K that its Board of Directors elected Mr. Dat Nguyen as a director on October 12, 2026, to fill the vacancy created by the resignation of Mr. Lin Li. Mr. Nguyen was determined to be independent under NYSE American listing rules and financially literate, and will join the Audit, Nomination and Compensation Committees; the board returns to a full five members, including three independent directors.

• · Mr. Nguyen will serve on the Audit, Nomination and Compensation Committees
• · Mr. Nguyen previously led EY Indochina's Technology Advisory Practice (January to October 2017) and served as Country Director of Accenture Vietnam (August 2012 to September 2015)
• · Mr. Nguyen has been an angel investor and advisor to startups in AI, blockchain, and quantum-safe cybersecurity since 2018
• · Mr. Nguyen holds a B.A.Sc. in Engineering and a B.Sc. in Biology from the University of Ottawa and completed executive education at Harvard Kennedy School and MIT Sloan
• · No familial or other relationships with directors or management, and no Item 404(a) related-party transactions disclosed
• · Filing is signed by Bradley Lalonde, who serves as both Chairman and CEO, and is dated October 15, 2026

16-10-2026

North Capital, Inc. (CIK 0002065938) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 96 holdings with an aggregate reported market value of approximately $140,079,262 thousand per the filing header (about $140.1 billion as reported in the information table's value column). The portfolio is concentrated in broad-market and sector ETFs, U.S. large-cap technology and mega-cap stocks, and short-duration Treasury ETFs, with notable positions including Space Exploration Technologies (SpaceX) Class A shares, Dimensional ETF Trust core equity funds, and Vanguard short-term Treasury ETFs. The filing contains no period-over-period comparison data, so performance changes versus the prior quarter cannot be assessed from this document alone.

• · Reporting period ends September 30, 2026; filed October 16, 2026 under Investment Manager CIK 0002065938 (SEC file no. 028-25515), with signature date October 15, 2026.
• · Holdings are overwhelmingly sole-discretion (SOLE voting/investment authority), with minimal shared or other-manager allocation.
• · Largest reported positions by value include Dimensional US Core Equity ETF (~$17.2B), Space Exploration Technologies (~$7.3B), State Street S&P 500 ETF (~$4.5B), Apple (~$5.4B), and Dimensional Emerging Markets Core Equity ETF (~$6.9B aggregated across Dimensional lines).
• · Filing includes a significant allocation to cash-equivalent instruments (SPDR Bloomberg 1-3 Month T-Bill ETF ~$34.0B reported value; Vanguard Short-Term Treasury ETF ~$3.9B; Vanguard Ultra-Short Treasury ETF ~$3.3B), indicating a defensive/liquidity-oriented posture alongside equity exposure.
• · Private-company exposure via Space Exploration Technologies Corp. Class A shares is an unusual holding for a 13F filer and warrants note for investors tracking late-stage private valuations.
• · Oscar Health Inc. (9,450 shares) and Venu Holding Corp. (13,931 shares) are small-cap or thinly traded names that stand out relative to the otherwise large-cap-heavy portfolio.
• · Includes an Invesco CurrencyShares Swiss Franc Trust position and gold exposure via SPDR Gold Shares and iShares Gold Trust, indicating currency and commodity hedging.

16-10-2026

Select Water Solutions, Inc. (WTTR), through its subsidiary Select Water Holdings LLC, agreed on October 14, 2026 to sell $900 million aggregate principal amount of 7.625% Senior Notes due November 1, 2034 in a Rule 144A/Regulation S private placement, upsized from an initial $800 million. Net proceeds of approximately $882.6 million will fund part of the cash consideration for the previously announced Pilot Water Solutions LLC acquisition, repay the term loan in full, repay revolver borrowings, cover fees and expenses, and support general corporate purposes. Closing is expected October 21, 2026, and the offering is not contingent on completing the Pilot Water Acquisition.

• · Notes mature November 1, 2034 and are issued at par
• · Proceeds to repay the full term loan facility and any outstanding revolving credit facility loans, reducing existing debt
• · Closing expected October 21, 2026, subject to customary closing conditions
• · Offering is not contingent on consummation of the Pilot Water Acquisition
• · Company issued a press release on October 14, 2026 announcing pricing (Exhibit 99.1)

16-10-2026

Rockingstone Advisors LLC (Great Barrington, MA) filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing 112 holdings with a combined reported market value of approximately $248.6 billion (filing value field: 248,597,905 in thousands). The portfolio is concentrated in large-cap technology names and broad-market ETFs, with the largest single positions in Alphabet, Apple, Amazon, NVIDIA, and Microsoft. The filing is a holdings snapshot only and contains no prior-period comparison, so no period-over-period performance change can be computed from it.

• · Filing is a point-in-time 13F holdings report with no prior-quarter figures, so quarter-over-quarter position changes cannot be assessed from this document alone.
• · Portfolio is heavily weighted toward ETFs and index funds (Vanguard, iShares, SPDR, Select Sector SPDR, J.P. Morgan ETFs), with the J.P. Morgan Ultra Short ETF (~$12.2B) being the single largest holding by reported value.
• · Equity exposure is concentrated in mega-cap technology (Alphabet, Apple, Amazon, NVIDIA, Microsoft, Meta), each position reported at roughly $4.8B to $7.5B.
• · Filing was submitted under SEC file number 028-24217 and CIK 0002027176, with signatory Brandt Sakakeeny, Chief Compliance Officer, on October 15, 2026.

16-10-2026

Varonis Systems (VRNS) announced on October 15, 2026 a Merger Agreement with Proofpoint, Inc. and its subsidiary Vail Merger Sub, Inc. under which Varonis would combine with Proofpoint to form a combined data, AI, and collaboration security platform. The deal requires stockholder approval and regulatory clearances, and is expected to close in the first half of 2027, with both companies operating independently until then. This DEFA14A soliciting material contains customer and partner communication emails, forward-looking statement disclaimers, and participant disclosures; no financial results, deal value, or other quantitative financial figures are disclosed in the document.

• · Filing is a DEFA14A soliciting material, with the customer email emphasizing no changes to account teams, account numbers, contracts, or support channels
• · Partner email states existing partner agreements, co-sell agreements, and channel/referral program structures remain unchanged through close, with work continuing through the same Varonis partner portal
• · Closing is subject to stockholder adoption of the Merger Agreement and regulatory approvals from various governmental entities, with risk of termination and potential termination fee payment
• · Financing is subject to commitment letters received in connection with the Transaction
• · Company's proxy statement for a special meeting of stockholders is expected to be filed with the SEC and will contain full deal details
• · Relevant SEC filings referenced include the 2025 Form 10-K (filed February 4, 2026), 2026 annual meeting proxy (filed April 17, 2026), and Form 8-Ks filed April 28, June 2, and July 28, 2026

16-10-2026

HALBERT HARGROVE GLOBAL ADVISORS, LLC filed a Form 13F-HR on October 16, 2026, reporting equity holdings as of September 30, 2026, with the filing indicating 363 reported holdings and an aggregate information-table value of approximately $2,289,218,219 (per the cover page, reported in thousands). The portfolio is dominated by exchange-traded funds (iShares, Invesco QQQ, J.P. Morgan ETFs, Direxion), with large direct positions in Apple, Alphabet, Amazon, Microsoft, Home Depot, Eli Lilly, Intuitive Surgical, Airbnb and Ball Corp, plus put options on several of these names. The filing contains no period-over-period comparison, so no change metrics are reported.

• · Filer's business address is Long Beach, CA; filing SEC file number 028-13854; period of report September 30, 2026
• · Options exposure is reported separately as 'PUT' entries (e.g., Apple, Eli Lilly, Intuitive Surgical, Home Depot, Microsoft, Airbnb) with a combined notional in the information table of several million dollars
• · Largest single equity-type position by reported value includes iShares MSCI EAFE ETF and iShares Russell 2000 ETF, with the iShares Core S&P 500 ETF among the largest fund holdings
• · Holdings are heavily concentrated in index and factor ETFs rather than individual stocks

16-10-2026

Jeter Robert S II, a Bethany Beach, Delaware-based filer, submitted a Form 13F-HR reporting equity and fund holdings as of September 30, 2026, filed October 16, 2026. The portfolio comprises 81 reported positions with a total reported value of approximately $151.5 billion (the header's 151461285 figure, in thousands). Holdings are concentrated in broad-market and fixed-income ETFs, with large positions in S&P 500 index ETFs and bond funds alongside individual mega-cap technology stocks such as Apple, NVIDIA, Microsoft, and Amazon.

• · Portfolio is heavily weighted toward ETFs, including a large fixed-income sleeve (bond and ultra-short duration ETFs) alongside equity index funds
• · Largest direct stock holdings by reported value are Apple (~$6.37B), NVIDIA (~$5.93B), Microsoft (~$4.57B), and Amazon (~$2.74B)
• · Filing is a standard 13F-HR disclosure of institutional holdings as of quarter-end; it does not itself indicate buy/sell activity versus prior quarters, as no prior-period comparison is included in the filing