US Pre-Market SEC Filings Roundup — October 21, 2026

20-10-2026

CFO & COO Giroux Richard sold 56,000 Ordinary Shares at $9.95 (~$557K). Giroux Richard holds 852,530 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · CFO & COO Giroux Richard sold 56,000 Ordinary Shares at $9.95 (~$557K)

20-10-2026

Director Seidl Randy exercised/converted 6,481 Common Stock. 4 transactions reported in total. Seidl Randy holds 314,101 shares after the transaction.

• · Director Seidl Randy exercised/converted 6,481 Common Stock
• · Director Seidl Randy exercised/converted 2,817 Common Stock
• · Director Seidl Randy exercised/converted 6,481 Restricted Stock Units
• · Director Seidl Randy exercised/converted 2,817 Restricted Stock Units

20-10-2026

Oaktree Capital Management, L.P. and affiliated Oaktree entities filed a Schedule 13G/A on October 20, 2026 reporting beneficial ownership of 3,020,171 shares of Matthews International Corporation Class A Common Stock, representing 9.68% of outstanding shares (based on 31,213,173 shares outstanding as of June 30, 2026). The filing is made under Rule 13d-1(c) and includes a certification that the securities were not acquired for the purpose of changing or influencing control of the issuer. No change in control intent or transaction is disclosed in the filing.

• · Filing is a Schedule 13G/A amendment filed under Rule 13d-1(c), a passive-investor filing category
• · Shares are held jointly by Oaktree Value Opportunities Fund Holdings (1,619,685 shares) and other Oaktree-managed funds (1,400,486 shares), with shared voting and dispositive power reported
• · Reporting Persons disclaim beneficial ownership for purposes of Section 13(d) and 13(g) beyond their pecuniary interest

20-10-2026

Phillip Oldridge filed Amendment No. 1 to Schedule 13D/A on October 20, 2026 for Rantizo (formerly SKK Holdings Ltd, SKK), solely to correct the share count used in the ownership percentage. The Original Schedule 13D reported 68,344,237 Class A ordinary shares outstanding; the corrected figure is 62,344,237 as of October 16, 2026. The reporting person's beneficial ownership is unchanged at 6,166,402 shares, but the corrected percentage is 9.89% of the class.

• · Amendment was filed solely to correct the outstanding share denominator; the reporting person's share count did not change.
• · Issuer is a Cayman Islands exempted company limited by shares, per the amendment text.
• · Reporting person holds sole voting and dispositive power over all 6,166,402 shares.
• · Original Schedule 13D was filed October 19, 2026 and this amendment was filed October 20, 2026.

20-10-2026

Chief Legal Officer Schlossman Robert was awarded 14,185 Common Stock. Schlossman Robert holds 75,710 shares after the transaction.

• · Chief Legal Officer Schlossman Robert was awarded 14,185 Common Stock

20-10-2026

Investors 5C 2024 filed an amended Schedule 13G reporting beneficial ownership of 664,511 shares of common stock of 5C Lending Partners Corp., representing 3.78% of the outstanding shares. The filing is a passive ownership disclosure under Rule 13d-1(d) and reports no sole or shared voting or dispositive power changes beyond the reported holding. The filing does not indicate any acquisition, disposition, or change of control.

• · Shares are held in a fiduciary capacity by Boyle Trust and Investment Company for collecting and disbursing capital commitment monies
• · Reporting person disclaims beneficial ownership beyond its pecuniary interest for Section 13(d)/13(g) purposes
• · Event date of the ownership change is September 30, 2026; filing made October 20, 2026
• · Filing made under Rule 13d-1(d), indicating an exempt investor not acquiring with the purpose of changing or influencing control

20-10-2026

Director Lefebvre d'Ovidio Manfredi exercised/converted 817 Ordinary Shares. Lefebvre d'Ovidio Manfredi holds 53,924 shares after the transaction.

• · Director Lefebvre d'Ovidio Manfredi exercised/converted 817 Ordinary Shares
• · Director Lefebvre d'Ovidio Manfredi was awarded 817 Restricted Share Units
• · Director Lefebvre d'Ovidio Manfredi exercised/converted 817 Restricted Share Units

20-10-2026

Director Sheena Jonathan sold 280 Common Stock at $401.29 (~$112K). 12 transactions reported in total. Sheena Jonathan holds 8,250 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Director Sheena Jonathan sold 215 Common Stock at $399.34 (~$85.9K)
• · Director Sheena Jonathan sold 280 Common Stock at $401.29 (~$112K)
• · Director Sheena Jonathan sold 90 Common Stock at $404.25 (~$36.4K)
• · Director Sheena Jonathan sold 50 Common Stock at $405.15 (~$20.3K)
• · Director Sheena Jonathan sold 35 Common Stock at $406.63 (~$14.2K)
• · Director Sheena Jonathan sold 80 Common Stock at $409.36 (~$32.7K)
• · Director Sheena Jonathan sold 142 Common Stock at $398.95 (~$56.7K)
• · Director Sheena Jonathan sold 280 Common Stock at $400.68 (~$112K)

16-10-2026

Banzai International, Inc. filed a DEF 14A proxy statement seeking stockholder approval for two proposals: (1) an increase in authorized common stock from 350,000,000 to up to 850,000,000 total shares, and (2) authorization under Nasdaq Listing Rule 5635(d) for a potential public offering or financing of up to $14,000,000 of Class A common stock, potentially issued at a discount of up to 50% to the Minimum Price. The filing highlights the company's limited available authorized shares (approximately 96,724 available for equity plans after accounting for outstanding shares and 3,127,184 reserved for warrants), which the Board views as insufficient to support near-term financing needs, indicating dilution risk and liquidity pressure.

• · Proposed offering must be consummated within three months of stockholder approval
• · Company would not enter a transaction constituting a change of control under Nasdaq Listing Rule 5635(b)
• · Abstentions count as votes AGAINST; broker non-votes have no effect on outcome
• · Stockholders have no preemptive rights and no appraisal rights under Delaware law
• · Proposal 2 would permit zero-cash-exercise warrant provisions allowing exchange for shares in excess of the exercise entitlement
• · Company may use the offering to exchange trade debt or settle outstanding liabilities for securities
• · Board may abandon the authorized share amendment even after stockholder approval

19-10-2026

Jasper Therapeutics, Inc. (JSPRW) filed a definitive proxy statement for a virtual special meeting of stockholders on November 13, 2026, seeking approval of Nasdaq-required issuances of voting common stock upon conversion of non-voting preferred stock issued in the completed Kira Pharmaceuticals merger (closed July 16, 2026) and in a related private placement, plus ratification of director Patrick Crutcher's appointment and a possible adjournment proposal. The Board recommends voting FOR all proposals; stockholder approval of the merger itself is not required, and the company has 33,274,561 shares of voting common stock outstanding as of the September 28, 2026 record date.

• · Proposal 1 seeks Nasdaq Listing Rules 5635(a) and 5635(b) approval for common stock issuable on conversion of non-voting Preferred Stock issued in the Kira merger; stockholder approval of the merger itself was not required.
• · Proposal 2 seeks Nasdaq Listing Rule 5635(d) approval for common stock issuable on conversion of Preferred Stock sold in the private placement.
• · Proposal 3 asks stockholders to ratify the appointment of Patrick Crutcher to the Board.
• · Proposal 4 is a contingent adjournment proposal, to be used only if votes are insufficient for Proposals 1, 2 or 3.
• · The Reverse Stock Split has not been effected and no ratio has been selected; share and per-share figures in the proxy are not adjusted for it.
• · Proxy materials are expected to be mailed on or about October 23, 2026; the meeting is virtual at 10:00 a.m. Pacific Time via webcast.
• · Shareholders with questions may contact Alliance Advisors, LLC at 1-866-206-8305 or [email protected].

21-10-2026

Guardian Metal Resources plc (GMTL) filed a 6-K on October 21, 2026, consisting of an investor-contact and advisory-roster block rather than substantive operating or financial content. The filing lists CEO Oliver Friesen as the principal contact alongside Cairn Financial Advisers LLP (Nominated Adviser), Berenberg and Tamesis Partners LLP (Joint Brokers), and Tavistock (UK) and Edelman Smithfield (US) as financial PR firms. No financial results, amounts, percentages, or operational updates are disclosed in the provided content.

21-10-2026

EigenQ, Inc. and Silicon Valley Acquisition Corp. (SVAQ) disclosed under Rule 425 an unsecured subordinated financing of up to $5.0 million from a special purpose investment vehicle, entered into on October 19, 2026 as part of the pending business combination (announced June 17, 2026, amended three times). An initial closing issued a note with an original principal amount of $2.41 million (10% original issue discount) and warrants for 201,111 shares at $12.00, in exchange for $2.17 million previously funded by the investor. The notes are fully subordinated to the senior secured financing and cannot receive payments while those notes are outstanding, which limits the investor's recovery position relative to the secured lender.

• · Unsecured notes mature April 15, 2027, extendable to July 15, 2027 on conditions matching the secured notes
• · Subordination Agreement dated October 19, 2026 bars payments on unsecured notes (other than scheduled interest) while secured notes are outstanding, including at maturity, default, or change of control
• · No lien or collateral secures the unsecured notes, unlike the secured notes
• · Unsecured PubCo notes carry a $12.00 initial conversion price, nine-month VWAP reset, and $5.00 floor price
• · Domestication moves SVAQ from the Cayman Islands to Delaware before closing; EigenQ becomes a wholly owned subsidiary of PubCo
• · Additional closing is at a mutually agreed date and subject to conditions, so the full $5.0M is not yet committed

21-10-2026

Innate Pharma S.A. (IPHYF) furnished a Form 6-K dated October 21, 2026, attaching Exhibit 99.1, a press release of the same date. The cover page and signature block identify Jonathan Dickinson, Chief Executive Officer, as signatory. The filing body contains no financial figures, so the substance of the announcement can only be determined from the attached press release, which was not included in the provided content.

• · Registrant files annual reports on Form 20-F (Form 40-F box not checked), consistent with a foreign private issuer status.
• · Commission File Number 001-39084; principal executive office at 117 Avenue de Luminy, 13009 Marseille, France.
• · Exhibit 99.1 (press release dated October 21, 2026) is referenced but its content is not included in the provided filing text.

21-10-2026

Cadeler A/S announced a reminder that the voluntary share exchange offer by Cadeler plc to Cadeler A/S shareholders, tied to the company's redomiciliation from Denmark to the United Kingdom, expires today, 21 October 2026, at 5:00 PM ET / 11:00 PM CEST, unless extended by up to a total of 10 weeks from 22 September 2026 (latest possible expiry 1 December 2026). The offer requires more than 90% of outstanding shares to be validly tendered, so completion is conditional and not assured. The filing contains no financial results, revenue, or other quantitative performance data, so no period-over-period comparison is possible.

• · Offer expiry is subject to Cadeler plc's sole discretion to extend, up to 1 December 2026
• · Acceptance is via DNB Carnegie as receiving agent (email [email protected] or post); Norwegian retail holders with BankID may accept electronically; ADS holders tender via Computershare with Georgeson as information agent
• · Cadeler plc will not accept tenders from Russian or Belarusian nationals/residents or persons where issuance would breach sanctions
• · All current Cadeler board members and executive management will remain in place at Cadeler plc post-redomiciliation; Cadeler plc will become ultimate parent of the Cadeler Group
• · Cadeler is listed on NYSE (CDLR) and Oslo Stock Exchange (CADLR); filed Form F-4 registration statement with the SEC

21-10-2026

Vertical Aerospace Ltd. (EVTWF) announced that its Board of Directors appointed Marc Fontaine as a director effective October 21, 2026, following a proposal from Mudrick Capital Management L.P. under its director appointment rights. Mr. Fontaine is currently CEO of Helsing SAS, the French entity of Helsing, and previously held senior roles at Airbus across commercial aircraft, defence and space, and helicopter businesses. The filing contains no quantitative financial results or period-over-period performance data.

• · Board appointment made on October 20, 2026, effective October 21, 2026
• · Appointment proposed by Mudrick Capital Management L.P. under director appointment rights in the Company's amended and restated memorandum and articles of association
• · Press release announcing the appointment furnished as Exhibit 99.1
• · Company's Annual Report on Form 20-F was filed with the SEC on March 24, 2026
• · Report incorporated by reference into multiple Form F-3 registration statements

21-10-2026

ChipMOS Technologies disclosed via a Form 6-K (filed on TWSE MOPS and furnished to the SEC) that it acquired machinery equipment and related accessories for a total transaction price of NT$1,237,950 thousand, with transactions occurring between 2026/03/15 and 2026/10/21, approved at the President level for manufacturing purposes. The company also disposed of machinery equipment for NT$58,557 thousand, projecting a gain of NT$37,904 thousand from that disposal. The counterparty is K-SHINE ELECTRONIC CORPORATION, which the company states has no relationship with ChipMOS and is not a related party.

• · Transaction period runs from 2026/03/15 to 2026/10/21, approved at President level with no board resolution required
• · Disclosure made under TWSE material information rule Article 4, Paragraph 1, Item 20 for non-related-party equipment transactions exceeding NT$500 million
• · Transaction price was negotiated by mutual agreement referencing market value; no independent appraisal was obtained
• · Acquisition is stated to be for manufacturing purposes

21-10-2026

reAlpha Tech Corp. (AIRE) filed an 8-K disclosing that, effective March 9, 2026, its Board approved an updated non-executive director compensation policy totaling $100,000 per director annually, comprising $75,000 in stock and $25,000 in cash. The filing is a routine governance disclosure with no reported financial results, deal activity, or negative developments.

• · Share Awards are issued quarterly on January 30, April 30, July 30 and October 30, with share count set by dividing $18,750 by the 10-day VWAP ending on the grant date
• · Policy approved by the Board upon recommendation of the Compensation Committee; the filing itself was made October 21, 2026, roughly seven months after the stated effective date
• · Common stock trades on Nasdaq under the symbol AIRE; the company is an emerging growth company

21-10-2026

HUTCHMED (China) Ltd filed a Form 6-K for October 2026 furnishing Exhibit 99.1, a press release announcing the closing of its licensing agreement with GSK for KRAS-EGFR antibody conjugate therapy outside China. The filing itself contains no financial figures, and the financial terms of the deal are not disclosed in the body of the 6-K provided.

• · The filing is a Form 6-K for the month of October 2026, Commission File Number 001-37710.
• · HUTCHMED's principal executive offices are at 48th Floor, Cheung Kong Center, 2 Queen's Road Central, Hong Kong.
• · The licensed rights are scoped to territories outside China, with China rights not part of this transaction.
• · The company identifies itself as a foreign private issuer filing under Form 20-F rather than Form 40-F.

21-10-2026

Thermo Fisher Scientific reported Q3 2026 revenue of $12.14 billion, up 9% YoY (6% organic), with GAAP diluted EPS of $4.64 (up 9%) and adjusted EPS of $6.68 (up 15%). GAAP operating margin expanded to 18.6% from 17.4%, while adjusted operating margin rose to 24.5% from 23.3%. Growth was partly acquisition-driven (3 points) and the company completed the divestiture of its microbiology business; the company will provide updated 2026 guidance on the earnings call.

• · Specialty Diagnostics segment revenue declined about 6.5% YoY to $1,098M, and segment margin was 31.0% versus 27.4%.
• · Laboratory Products and Biopharma Services grew about 15% YoY to $6,863M, the largest contributor to growth.
• · Consolidated depreciation expense rose to $307M from $227M, and GAAP operating income was held back by a $244M held-for-sale loss and a $72M gain on sale of a business that are excluded from adjusted results.
• · Interest expense increased to $417M from $347M, and the GAAP effective tax provision rose to $352M from $207M.
• · Nine-month YTD revenue reached $35,136M, up about 8.6% from $32,341M.

21-10-2026

KB Financial Group reported that its largest shareholder, the Korean National Pension Service, reduced its holding from 32,622,276 shares (9.20%) as of August 7, 2026 to 32,576,394 shares (9.18%) as of September 30, 2026, based on the shareholder registry against 354,687,734 total shares. The change is a marginal decline of 45,882 shares, or roughly 0.14% of the position, and total share count was unchanged.

• · Filing is a Form 6-K for the month of October 2026, filed as a foreign private issuer report
• · Shareholding figures are based on the company's shareholder registry as of September 30, 2026

21-10-2026

DRDGOLD reported gold production of 1,307 kg (42,021 oz) for the quarter ended 30 September 2026, up 2% quarter-on-quarter and 10% year-on-year, with gold sold up 14% year-on-year. Revenue rose 31% year-on-year to Rm 2,950.6 million (US$181.2 million), but declined 6% quarter-on-quarter, and operating profit fell 14% sequentially to Rm 1,627.4 million (US$100.0 million) even as it grew 42% year-on-year. Unit costs were mixed: cash operating costs per kg rose 5% year-on-year and all-in sustaining costs per oz rose 15% in US dollar terms, while all-in costs per oz fell 19% quarter-on-quarter.

• · Gold sold was flat quarter-on-quarter (1,324 kg vs 1,322 kg).
• · Sustaining capital expenditure rose 22% QoQ to Rm 119.7 million, and 132% YoY.
• · Tonnage throughput declined 3% QoQ and 5% YoY to 6,170 thousand tonnes.
• · Average gold price received fell 6% QoQ in Rand (R 2,223,112 per kg) and 5% in US dollars (US$4,247 per oz), while rising 24% YoY in US dollars.
• · Cash operating costs per oz rose 6% QoQ to US$1,909 and 13% YoY in US dollars.
• · Average R/US$ exchange rate strengthened to 16.28 from 17.63 a year earlier (down 8% YoY), which inflated the US dollar growth of revenue relative to Rand growth.

21-10-2026

XWELL, Inc. filed a definitive additional-materials supplement (DEFA14A) to its October 8, 2026 proxy statement for a virtual special stockholder meeting on October 28, 2026, correcting the number of shares outstanding as of the October 7, 2026 record date from 9,970,883 to 10,620,883 (an increase of 650,000 shares, or about 6.5%, from restricted stock awards to Board members issued in August 2026 that were inadvertently omitted). The correction does not change the record date, meeting logistics, proposals, required vote, or the Board's recommendation. The filing also restates details of support agreements under which directors, executive officers and American Ventures LLC Series XXIV XWELL agreed to vote in favor of the sale transaction, with the Support Parties collectively holding approximately 26.4% of outstanding shares entitled to vote.

• · Board members and executive officers who hold shares are Support Parties bound to vote in favor of the Purchase Agreement and against alternative transactions, and to be present for quorum at every stockholder meeting.
• · If the Special Meeting is adjourned, prior proxies from Support Parties remain valid without new submissions.
• · Support Parties' transfer restrictions and non-solicitation obligations apply solely in their capacity as stockholders.
• · XWELL is not a party to the Support Agreements but is an express third-party beneficiary.
• · Stockholders who already returned proxies need not take action unless they wish to change their vote.

21-10-2026

Standard BioTools (LAB) filed Amendment No. 1 to its S-4 registration statement on October 21, 2026, for an all-stock reverse merger with clinical-stage biopharma Treeline Biosciences, under which Standard BioTools stockholders are expected to own about 16% and former Treeline holders about 84% of the combined company. The deal is paired with the divestiture of Standard BioTools' mass cytometry business to Element Biosystems and a separate microfluidics sale to ARCHIMED, and Casdin Capital, which owns roughly 23% of LAB, is also a Treeline investor, prompting a special committee review. The filing is a registration document and does not itself report new operating results, so the key figures are deal terms rather than financial performance.

• · Merger Agreement signed June 6, 2026; Element Mass Cytometry Purchase Agreement signed September 30, 2026; Microfluidics Purchase Agreement signed October 4, 2026
• · Merger is intended to qualify as a tax-free reorganization under Section 368(a) of the Code and is accounted for as a reverse recapitalization with Treeline as accounting acquirer
• · Closing of the Merger is not conditioned on the Element divestiture, though the parties expect the two to close substantially concurrently
• · Standard BioTools must use commercially reasonable efforts to monetize its Legacy Businesses (mass cytometry and microfluidics)
• · Special Meeting of Standard BioTools stockholders to approve the share issuance and charter amendment (name change to Treeline Biosciences, Inc. and Reverse Stock Split) is scheduled for a date still to be set (blank in filing)
• · Treeline's preclinical pipeline includes neurology and immunology programs in addition to oncology
• · The filing lists risk factors beginning on page 44 and notes that historical financials going forward will be those of Treeline

21-10-2026

Woodside Energy Group Ltd furnished a Form 6-K on October 21, 2026, attaching its ASX announcement 'Third Quarter 2026 Report' as Exhibit 99.1. The filing itself is a cover document with signature block and exhibit index; the substantive operating and financial figures are contained only in the referenced exhibit, which was not included in the provided content.

• · Filing is a Form 6-K for the month of October 2026, Commission File Number 001-41404
• · Registrant files annual reports on Form 20-F (not 40-F)
• · Exhibit 99.1 is the ASX Announcement dated October 21, 2026, titled 'Third Quarter 2026 Report'
• · Filed with principal executive offices at Mia Yellagonga, 11 Mount Street, Perth, Western Australia

21-10-2026

Alterity Therapeutics Limited filed a Form 6-K on October 21, 2026, submitting a Notice of Annual General Meeting and Proxy Form as Exhibit 99.1. The filing is a procedural governance disclosure with no financial results, transaction, or operational update included in the submitted content.

• · Registrant is a development stage enterprise headquartered at Level 15, 500 Collins Street, Melbourne, Victoria, Australia
• · Filer is a foreign private issuer reporting under Form 20-F annual report obligations
• · The 6-K is incorporated by reference into Form S-8 registrations (333-251073, 333-248980, 333-228671) and Form F-3 registration (333-274816)
• · Filing was signed by Chairman Julian Babarczy on October 21, 2026

21-10-2026

AITX reported fiscal Q2 2027 (quarter ended August 31, 2026) revenue of $1,985,604, up 5% year-over-year and up 8% sequentially, with a return to sequential and YoY growth. Revenue excluding its largest customer rose 61% YoY to a record $1,627,444, while the largest customer's revenue fell to $358,160 (18% of total, down from 46%). However, gross margin fell to 54% including a $270,987 inventory write-down (67% excluding it, versus 71% in the prior-year quarter), operating expenses for the six months declined only 5%, loss from operations remained at $2,680,396 for the quarter, and the company continues to flag going-concern risk and reliance on external financing.

• · Largest customer began reducing spend in December 2025 as part of its own cost-cutting initiatives; its share fell from 46% to 18% of revenue YoY
• · Management targets monthly operating cash breakeven (excluding debt service and device builds) in January 2027 and all-in cash breakeven in Q2 calendar 2027; these are non-GAAP internal measures
• · Company explicitly warns that achieving these objectives would not establish positive operating cash flow under GAAP, overall profitability, or elimination of need for external financing
• · Results were reviewed but unaudited; the 10-Q was filed October 20, 2026, and the company references ability to continue as a going concern as a risk factor
• · Company is a penny stock (OTC), so the forward-looking statement safe harbor is not available
• · Only one month of the August cost-reduction program is reflected in Q2 results; further savings expected in Q3

21-10-2026

Luma Capital S.A. - SPF filed a Form 13F-HR for the period ending September 30, 2026, disclosing 13 equity positions with a combined reported market value of approximately $121.8 billion (121,783,150 thousand USD as reported in the information table). Largest reported positions include Brookfield Corp (~$9.8B), Amazon (~$19.6B), Berkshire Hathaway Class B (~$10.1B), Markel Group (~$12.0B), and Visa (~$12.2B). The filing is a routine quarterly holdings disclosure; it does not itself report period-over-period changes in holdings, so no growth or decline comparisons can be drawn from this document.

• · Filer is a non-US (Luxembourg) institutional investment manager, SEC file number 028-25956
• · Report covers period ending September 30, 2026; filed October 21, 2026
• · All positions reported with sole investment discretion and no shared or other voting authority indicated
• · Filing does not disclose prior-period holdings, so changes in positions cannot be determined from this document alone

21-10-2026

Elevance Health reported Q3 2026 operating revenue of $50.4 billion, up 0.7% YoY, with diluted EPS of $6.27 (up 17.9%) and adjusted diluted EPS of $6.99, aided by a net non-operating benefit of $1.85 per share. The company raised FY 2026 diluted EPS guidance to at least $22.00 and adjusted diluted EPS guidance to at least $29.00. However, operating gain was flat at $1.3 billion, Health Benefits operating gain fell 27.5%, operating expense rose 9.1%, and medical membership declined 1.1% YoY.

• · Benefit expense ratio improved 70 bp to 90.6%, driven by Medicare Advantage and Individual ACA performance
• · Nine-month operating cash flow of $7.5B vs $4.2B prior year, largely from favorable working capital
• · Nine-month operating margin compressed 120 bp to 3.4%, with operating gain down 25.7% YoY
• · Medicare Advantage membership fell 15.5% YoY, the steepest membership decline among segments
• · Q4 2026 dividend of $1.72 per share declared, payable December 18, 2026
• · Management targets at least 12% adjusted diluted EPS growth in 2027 from a baseline of at least $26.75

21-10-2026

Lufax Holding Ltd furnished a Form 6-K under Exhibit 99.1 announcing that it will report its third quarter 2026 financial results on October 27, 2026. The filing contains no quantitative financial data, and it is signed by CEO Xiang Ji.

• · Third quarter 2026 financial results are scheduled for release on October 27, 2026
• · Filing is a Form 6-K for a foreign private issuer, with Form 20-F as its annual report form

21-10-2026

JinkoSolar Holding Co., Ltd. filed a Form 6-K on October 21, 2026, furnishing a press release (Exhibit 99.1) announcing the results of its 2026 Annual General Meeting of shareholders. The filing is a routine shell report with no financial results, quantitative metrics, or deal terms disclosed in the body of the document.

21-10-2026

Nuburu, Inc. (BURUW) entered into an implementation agreement with Tekne S.p.A.'s existing shareholders under which its subsidiary Nuburu Defense LLC will acquire 67.1% of Tekne's share capital for an aggregate price of EUR 5.2 million, of which EUR 1.2 million was paid at signing and EUR 4.0 million is deferred in four EUR 1.0 million installments through March 31, 2027. The agreement also contemplates a recapitalization of Tekne, whose losses as of June 30, 2026 may require urgent measures under Italian Civil Code Articles 2446 and 2447, and an earn-out of EUR 20.0 million payable to the existing shareholders, including a guaranteed minimum of EUR 2.0 million per year. The transaction carries significant financial strain signals alongside the acquisition, as Nuburu has already advanced EUR 27.7 million in shareholder loans to Tekne.

• · Golden Power Authorization was obtained subject to requirements on August 5, 2026, making the Investment Agreement effective
• · Tekne's losses as of June 30, 2026 may trigger urgent equity-strengthening measures under Italian Civil Code Articles 2446 and 2447
• · Earn-Out was reduced from EUR 29.692M to EUR 20.0M, with the Existing Shareholders waiving the difference as part of the recapitalization
• · Nuburu and Nuburu Defense are jointly and severally liable for Earn-Out payments; failure to pay the Guaranteed Annual Minimum within 60 days could trigger acceleration of the full outstanding Earn-Out, recoverable within a further 120 days
• · Security for Deferred Price is an SFE - SocFinEur 7.5% bond (ISIN GB00BNYKP345) held by ADA, to be returned to Nuburu after final installment
• · Purchase and Sale closing was scheduled for October 15, 2026, prior to this filing date

21-10-2026

Entravision Communications appointed Brian Krzanich (former Intel CEO and current Cerence CEO) and Gary Ferrera (former CFO of nine companies) to its Board of Directors, effective October 14, 2026, with Ferrera also joining the Audit Committee and being determined an audit committee financial expert. Directors Fehmi Zeko will step down after the October board meeting following seven years of service, and Gilbert Vasquez, a 19-year director and Audit Committee Chair, will not stand for reelection at the 2027 annual meeting. The board refresh is framed by management as supporting growth of the ATS (advertising technology services) business.

• · Gilbert Vasquez chairs the Audit Committee, so his departure creates a leadership vacancy that Ferrera's audit committee appointment only partly fills
• · Zeko's exit is effective after the October board meeting, while Vasquez's departure is delayed until the 2027 annual stockholder meeting

21-10-2026

Lichen International Ltd (LICN) filed a 6-K/A to confirm completion on October 12, 2026 of a previously announced share transfer agreement dated October 7, 2026, under which its indirect subsidiary Legend Consulting Limited (Legend HK) transferred all issued shares of Bondly Enterprises Limited (the Target) to an unaffiliated Transferee for one Hong Kong dollar. Following completion, the Company no longer holds any equity interest in the Target. The filing reports no financial results, revenue, or valuation figures for the disposed entity.

• · Share transfer agreement signed October 7, 2026 and completed October 12, 2026
• · Filing is incorporated by reference into Form F-3 (File No. 333-291878) and Form S-8 (File No. 333-291376)
• · Filing amends/supplements the October 13, 2026 6-K previously furnished to the SEC

21-10-2026

On October 21, 2026, the Board of Shinhan Bank, a wholly-owned subsidiary of Shinhan Financial Group, resolved to declare an interim cash dividend of KRW 630.67 per common share, totaling KRW 1,000,000,000,000 (KRW 1 trillion), with a record date of November 5, 2026. As sole shareholder, the parent company is entitled to receive the entire dividend amount. The filing is a routine intra-group dividend determination with no reported performance comparisons.

• · Dividend per common share: KRW 630.67
• · Record date for interim dividend: November 5, 2026
• · Parent company is sole shareholder of Shinhan Bank and receives the entire dividend

21-10-2026

Hotel101 Global Holdings Corp. (Nasdaq: HBNB) signed definitive binding agreements for a country-wide joint venture with IGI Holding affiliates WNTR Property and WNTR Hospitality to expand into Egypt, its first African market, starting with Hotel101-Cairo West, an approximately 750-room hotel on a 15,984 sqm site in 6th of October City, Giza, expected to be completed by 2029 with a total project value of 5.465 billion Egyptian pounds (US$102.09 million). The development remains subject to customary governmental, regulatory, corporate and other approvals, and the filing provides no comparative financial period data.

• · Project value converts to approximately US$102.09 million, using the filing's stated exchange rate; the EGP figure is the primary reported value
• · Hotel101-Cairo West is expected to be one of the top 3 largest hotels by room count in Cairo
• · Site is roughly ten minutes from the Giza Pyramids and the Grand Egyptian Museum, with access to Sphinx International Airport and the Cairo Ring Road
• · The business model is designed to generate revenue twice: from advance sale of condotel units during construction and from long-term recurring hotel operations
• · Expansion is expected to be driven mainly by joint ventures and, later, license agreements with local developers
• · Forward-looking risks flagged include joint venture partner interests, project cost and completion risk, deferred payment schemes and customer default risk, and foreign regulatory compliance

21-10-2026

Cenntro Inc. (CENN) filed Amendment No. 1 to its October 15, 2026 Form 8-K solely to add Exhibit 5.1, a legal opinion from Wendot Law Group (its newly engaged Nevada counsel), and the related Exhibit 23.1 consent, in connection with its at-the-market (ATM) offering. The amendment does not change any other disclosure in the original filing and contains no financial results or quantitative performance data.

• · Amendment relates to the original Form 8-K filed with the SEC on October 15, 2026
• · Incorporated by reference into Form S-3 registration statement (File No. 333-292994)
• · Exhibit 5.1 (legal opinion) and Exhibit 23.1 (consent) tied to the ATM offering
• · Event date of earliest report is October 9, 2026; signature dated October 20, 2026

21-10-2026

Helio Corp /FL/ (HLEO), a Berkeley, CA-based company classified under guided missiles, space vehicles and parts (SIC 3760), filed an S-1 registration statement with the SEC on October 21, 2026 (SEC file no. 333-299557), indicating a proposed securities offering. The filing's extracted content is primarily XBRL tagging metadata covering fiscal periods through July 31, 2026, with references to convertible preferred stock (Series A through D), convertible notes, related-party notes payable and subsequent-event notes, but the operative narrative, offering size, pricing, and use of proceeds are not present in the excerpt provided. Financial performance (revenue, net income, cash position) cannot be assessed from this content, so the filing's balance of positive and negative developments cannot be determined.

• · Registration statement S-1 filed October 21, 2026 under SEC file number 333-299557; the 'IPO Registration' preliminary classification is consistent with the form type
• · Fiscal year end is October 31 (FYE 1031); reporting periods referenced run through July 31, 2026
• · Outstanding capital structure includes Series A, B, C and D convertible preferred stock, plus common stock and common stock to be issued
• · Multiple convertible note and promissory note agreements are referenced, including related-party notes (two officers, the CEO, and an individual named James Byrd) and notes with a maturity date of June 20, 2026
• · Debt disclosures reference notes from unrelated parties with interest/terms ranges and a subsequent-event note agreement with a September 30, 2026 date
• · Company has undergone two name changes (Stirling Bridge Group Inc in 2022; WEB3 Corp in 2023)
• · Excerpt does not include offering size, price range, underwriters, use of proceeds, or audited financial results; these should be verified in the full prospectus

21-10-2026

Churchill Capital Corp XI (CCXI) filed a Form 425 containing a CNBC interview transcript in which Agility Robotics CEO Peggy Johnson discusses the proposed business combination between Churchill XI and Agility Robotics, alongside the company's product and commercial strategy. Johnson highlights Digit 5, slated for release next year, which is designed to operate outside fenced work cells alongside humans, and cites $300 million of booked multi-year orders and a manufacturing facility built for 10,000 robots per year. The filing does not disclose transaction valuation, deal terms, or financial results, and the transcript contains no discussion of risks, shortfalls, or flat metrics.

• · Digit 5 is expected to be released next year and is designed to work outside fenced work cells alongside humans
• · Digit robot uses LIDAR sensors plus RGB and IR camera pairs positioned around the robot for 360-degree human detection
• · Robot stops when a human approaches within a set radius and powers down to the ground at very close proximity
• · Agility offers both robot-as-a-service monthly fees (including hardware, software, maintenance, and upgrades) and outright purchase
• · Stated transaction-related disclosure is limited to the interview; no deal valuation, structure, or timing is provided in this filing

21-10-2026

ClimateRock (CLRWF), a SPAC-structured company, reported a Q2 2026 net loss of $124,477 (vs. $172,412 in Q2 2025) and a six-month net loss of $292,815 (vs. $357,450). Trust Account assets fell to $103,568 from $160,938 at year-end 2025 following $60,032 of shareholder redemptions, and total shareholders' deficit widened to $(10,588,448). Results are mixed: losses narrowed year over year, but the company remains deeply insolvent on a balance-sheet basis, with current liabilities of $8,231,018 against only $5,070 of unrestricted cash.

• · Trust Account redemptions of $60,032 in six months 2026 compare with $24,663,840 in six months 2025, reflecting a sharp slowdown in shareholder redemptions
• · Working capital deficit: current liabilities of $8,231,018 exceed current assets of $5,070 by roughly $8.2 million
• · Related-party funding continues to fund operations: $218,376 of related-party loan proceeds and $60,000 of accrued administrative service fees in six months 2026
• · Redemption value per Class A share rose to $13.26 at June 30, 2026 from $13.03 at December 31, 2025, reflecting Trust dividend accretion
• · Deferred underwriting commission of $2,362,500 remains payable and is classified as non-current

21-10-2026

Farnam Financial LLC (Phoenix, AZ) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting an equity and ETF portfolio of 58 holdings with a total reported value of approximately $135,476,927 (thousands-based reporting). The portfolio is concentrated in broad-market index ETFs, fixed-income ETFs (including defined-maturity bond ETFs), and large-cap individual stocks such as Apple, Microsoft, Nvidia, Amazon, and Berkshire Hathaway Class B. No quarter-over-quarter comparison is provided in this filing, so no period-over-period change can be calculated.

• · Largest individual equity positions by reported value include Apple (~$65.0M per information table), Microsoft (~$41.1M), Nvidia (~$7.5M) and Amazon (~$6.5M), with Berkshire Hathaway Class B among the larger single-name holdings (~$7.0M).
• · Portfolio includes a significant allocation to defined-maturity bond ETFs (iShares iBonds and Invesco BulletShares series maturing 2026 through 2034), indicating a fixed-income laddering component.
• · Filing is signed by Aryn Sands on October 20, 2026, with a stated filing manager location in Reno, NV; amendment status is original (not 13F-HR/A).