US Pre-Market SEC Filings Roundup — October 26, 2026

26-10-2026

Game Your Game Inc. disclosed an 8-K covering the appointment of Wendy Loundermon as Chief Financial Officer (effective October 16, 2026), succeeding Dominic Poole, who remains as Vice President of Finance, and a First Amendment to CEO Soumya Das's employment agreement that raised his base salary from $200,000 to $300,000 and expanded his maximum annual bonus from $50,000 to $200,000. The filing also discloses amendments to two warrants held by Streeterville Capital, LLC that reset the exercise price to $1.00 per share, which is an incremental dilution and financing-related change; the filing does not report current-period revenue or earnings, so the performance direction is not quantified.

• · Warrant Amendment No. 1 (Exhibit 4.1) reset the exercise price for the Streeterville Capital debt warrant to $1.00 per share, effective from the Disclosure Date through expiration
• · Warrant Amendment No. 1 (Exhibit 4.2) amends the Preferred Warrant held by Streeterville Capital, LLC, dated October 23, 2026
• · The company must file a 424B sticker update to Form S-1 (File No. 333-296763) within two trading days to disclose the warrant amendment
• · Loundermon previously served as CFO of Grafiti LLC (March 2024 to October 2026), a former controlling stockholder whose parent holds more than 5% of shares
• · Acquisition-linked bonuses for both the CFO (up to 1.0%) and CEO (tiered 3.0%/1.0%) are contingent on Board-approved acquisitions of over 50% of voting equity or substantially all assets
• · Loundermon severance on termination without Just Cause or resignation for Good Reason includes 12 months salary continuation, 12 months COBRA, and 100% equity acceleration

26-10-2026

SK hynix Inc. filed an amendment to its prior decision on the cancellation of treasury shares, changing the number of common shares to be cancelled to 23,693,272 due to movements in the company's share price during the treasury share acquisition period (August 20, 2026 to October 23, 2026). The estimated aggregate cancellation value is KRW 40,004,339,063,500, and the scheduled cancellation date is November 5, 2026. No preferred shares are included in the cancellation.

• · Acquisition period for treasury shares ran from August 20, 2026 to October 23, 2026
• · Share count was revised downward or upward solely due to share price movements during the acquisition window, not a change in the underlying program scope
• · Only common shares are involved; no preferred share cancellation is included

26-10-2026

Artificial Intelligence Technology Solutions Inc. (AITX) furnished a press release under Item 7.01 (Regulation FD) describing four internal operating milestones management will use to measure progress toward breakeven, accompanied by a CEO video update that the company states does not supplement the press release. The filing emphasizes that the milestones are non-GAAP internal management targets, not projections or guarantees, and repeats going-concern doubt disclosed in the 10-K for the fiscal year ended February 28, 2026 and the 10-Q for the quarter ended August 31, 2026.

• · Company carries substantial doubt about its ability to continue as a going concern, as disclosed in its FY ended February 28, 2026 10-K and Q ended August 31, 2026 10-Q
• · Company's common stock is a 'penny stock,' so the PSLRA forward-looking statement safe harbor is not available
• · CEO video update is excluded from incorporation and the press release controls in case of any discrepancy
• · Milestones are internal, non-GAAP measures and are not projections or guarantees

26-10-2026

111, Inc. (YI) furnished a Form 6-K dated October 26, 2026, attaching Exhibit 99.1, a press release announcing the appointment of an independent financial advisor and legal counsel to the Special Committee of its Board. The filing itself contains no financial results, monetary amounts, or performance metrics, and the substance of the appointment is only referenced by exhibit, not reproduced in the filed body text provided.

• · Filing made under Rule 13a-16 as a report of a foreign private issuer; registrant files annual reports on Form 20-F
• · Principal executive offices located in Shanghai, People's Republic of China
• · Commission file number 001-38639

26-10-2026

HyOrc Corporation (HYOR) received a notice on October 21, 2026 from ONENERGY GREENPOWER EAD and ON ENERGY EOOD (OnEnergy) purporting to discontinue HyOrc's participation in a proposed Bulgarian waste-to-methanol project, following an unsuccessful joint grant application under a March 23, 2026 agreement. HyOrc disputes the validity of the purported termination, has formally challenged OnEnergy's position, reserved its contractual and intellectual property rights, and remains open to a constructive resolution.

• · Termination notice dated October 21, 2026; 8-K filed October 26, 2026 and signed October 25, 2026
• · Governing agreement dated March 23, 2026 between HyOrc and OnEnergy
• · Stated trigger for purported termination was an unsuccessful joint grant application
• · HyOrc contends the contractual conditions for termination have not been established
• · Company has reserved contractual and intellectual property rights
• · No financial amounts, percentages, or quantified impact were disclosed in the filing
• · Filed under Items 1.02 (Termination of a Material Definitive Agreement) and 9.01 (Financial Statements and Exhibits)

26-10-2026

Bambusa Therapeutics, Inc. filed Amendment No. 1 to its S-1 registration statement on October 26, 2026, describing itself as a clinical-stage biopharmaceutical company developing long-acting bispecific antibodies for immunology and inflammation (I&I). The lead candidate BBT001 (IL-4Rα/IL-31) reported positive 4-week topline proof-of-concept data in bio-naïve moderate-to-severe atopic dermatitis (AD) in July 2026, while the company expects further readouts through the first half of 2027. The filing also notes that the 17 enrolled patients had a median follow-up of only 71 days, which limits the strength of the early data.

• · BBT001 is evaluated in a global Phase 1 study (US, Australia, Europe, New Zealand) and a China Phase 1a/1b AD study, plus a China Phase 2a CSU study.
• · BBT002 (IL-4Rα/IL-5) has a healthy-volunteer half-life of approximately 29 days; BBT001 estimated half-life is 33 days.
• · Upcoming readouts in the first half of 2027 include 12-week bio-naïve AD, 12-week bio-experienced AD, 14-week CSU, 4-week COPD and 12-week CRSwNP data.
• · BBT003 (TL1A/IL-23p19 for IBD) is preclinical with clinic entry targeted by end of 2026; BBT004 is a preclinical dual B-cell depletion antibody for autoimmune disease.
• · Pumitamig, cited as clinical validation of the platform, is a distinct molecule discovered at BioNTech Zhuhai; the filing explicitly cautions that it may not offer the same benefits as Bambusa's candidates.
• · Phase 2b AD study start-up is planned by end of 2026 with a standard-of-care biologic active control.

26-10-2026

KB Financial Group disclosed that its largest shareholder, the Korean National Pension Service, reduced its holding from 32,576,394 shares (9.18%) as of September 30, 2026 to 32,536,871 shares (9.17%) as of October 19, 2026, based on the shareholder registry. The change is a marginal decline of 39,523 shares, with total shares outstanding unchanged at 354,687,734.

• · Reported figures are based on the shareholder registry as of October 19, 2026, and the filing does not state the reason for the reduction.

26-10-2026

ICICI Bank Limited disclosed in a Form 6-K furnished to the SEC that ICRA Limited and CARE Ratings Limited have re-affirmed the credit ratings of the Bank's facilities and instruments, via press releases dated October 23, 2026. The Bank notified the Indian stock exchanges of the rating affirmations, and copies of the rating press releases were posted to its website. The filing contains no monetary amounts, percentages, or changes in rating levels.

• · ICRA and CARE Ratings notified the Bank by email on October 25, 2026 (ICRA at 3:58 p.m., CARE Ratings at 7:47 p.m.), with both press releases dated October 23, 2026
• · The filing is a routine disclosure under Indian listing regulations and reports no change in ratings, only re-affirmation

26-10-2026

Oaktree Acquisition Corp. III Life Sciences (OACCW) shareholders approved a Special Resolution at an Extraordinary General Meeting held October 23, 2026, amending the company's Articles to extend the deadline for completing a Business Combination from November 25, 2026 to as late as May 25, 2027, via up to six one-month extensions requested by the Sponsor. The amendment also revises the redemption mechanics, and any future change to the redemption rights triggers a new redemption opportunity for public shareholders. The filing contains no new quantitative financial results, so the trust balance and per-share redemption amounts are not disclosed here.

• · Original deadline for consummating a Business Combination was November 25, 2026; the amendment permits extension up to May 25, 2027.
• · Extensions require a written request from the Sponsor and a resolution of the Directors, not another shareholder vote.
• · Failure to complete a Business Combination by the Termination Date triggers cessation of operations and redemption of all Public Shares, extinguishing public shareholder rights.
• · Any future amendment affecting redemption rights or the timing of the redemption obligation must give public shareholders the opportunity to redeem at the trust per-share amount.
• · Shareholders approved the amendment at the Extraordinary General Meeting in lieu of Annual Meeting held October 23, 2026, virtually and at Kirkland & Ellis LLP's New York offices.
• · Filing includes Item 3.02 (Unregistered Equity Sales), Item 5.03 (Amendments to Articles), Item 5.07 (Shareholder Vote), and Item 9.01 (Financial Statements and Exhibits).

26-10-2026

Stratum Holdings Corp. (formerly La Rosa Holdings Corp., Nasdaq: SRTM) completed an additional closing on October 26, 2026 under its September 15, 2026 securities purchase agreement, issuing 200 shares of Series E Convertible Preferred Stock at a $1,000 stated value to an institutional investor for gross proceeds of $200,000. The unregistered sale was made under Rule 506(b) of Regulation D; the filing contains no comparative period financial results, so no balanced performance metrics are reported.

• · Additional Closing was exercised under an investor option in the September 15, 2026 Purchase Agreement, subject to its conditions
• · Securities issued under Section 4(a)(2)/Rule 506(b) of Regulation D, exempt from Securities Act registration
• · Company is an emerging growth company; Certificate of Designation filed previously as Exhibit 3.1 (July 16, 2026 8-K/A)
• · Company name changed from La Rosa Holdings Corp. to Stratum Holdings Corp.; trading symbol SRTM on Nasdaq

26-10-2026

Abu Dhabi Investment Authority (ADIA), together with Platinum International Investment Holding RSC Limited and Platinum Falcon B 2018 RSC Limited, filed a Schedule 13G reporting beneficial ownership of 35,732,138 shares of Jersey Mike's Subs Inc. Class A Common Stock, equal to 15.3% of the 233,405,414 Class A shares outstanding as of September 4, 2026. The shares are held directly by Boardwalk II Aggregator L.P., with Platinum Falcon as the entity sharing dispositive power and ADIA as the ultimate owner through Platinum Holdings. The filing is a passive Rule 13d-1(d) disclosure with no reported sole voting or dispositive power.

• · Filing type is a Schedule 13G under Rule 13d-1(d), indicating a passive holder (typically a pre-IPO or exempt investor) rather than an activist filing under 13D
• · Reporting persons hold shared voting and dispositive power over all 35,732,138 shares; no sole power is reported
• · Ownership is held through a chain: ADIA owns Platinum Holdings, which solely owns Platinum Falcon, which may share power over shares held by Boardwalk II Aggregator L.P.
• · Event date (ownership measurement date) is September 30, 2026; filing date is October 26, 2026
• · Jersey Mike's Subs Inc. is registered in Delaware, with a Tinton Falls, NJ business address; SIC code 5812 (Retail-Eating Places)

26-10-2026

KE Holdings Inc. (BEKE) furnished a Form 6-K on October 26, 2026 that transmits five Next Day Disclosure Returns (Exhibits 99.1 through 99.5) dated October 20 through October 23, 2026. The filing body itself contains no substantive financial results, operating metrics, or narrative disclosure; the investor-relevant content resides entirely in the unreviewed exhibits.

• · Exhibits 99.1 and 99.2 are both dated October 20, 2026; 99.3 is dated October 21, 2026; 99.4 is dated October 22, 2026; and 99.5 is dated October 23, 2026
• · Commission File Number 001-39436; registrant files annual reports on Form 20-F
• · Next Day Disclosure Returns are typically Hong Kong Stock Exchange filings for share-related events, which may indicate the exhibits relate to share repurchases, director dealings, or similar disclosures; the filing text does not confirm this

26-10-2026

Elme Communities filed an 8-K under Items 3.01, 8.01 and 9.01 disclosing the impending delisting of its Common Shares from the NYSE in connection with its Plan of Sale and Liquidation, with a press release dated October 23, 2026 furnished as Exhibit 99.1. The filing contains extensive forward-looking risk disclosure covering the Liquidating Trust transfer, potential liquidating distributions, possible legal proceedings tied to the sale of 19 multifamily assets to an affiliate of Cortland Partners, LLC, and REIT tax status risks. The filing itself does not disclose specific per-share distribution amounts or dollar figures in the text provided.

• · Common Shares are being delisted from the NYSE; OTC trading may begin, though this is not assured
• · Elme intends to transfer remaining assets and liabilities to a Liquidating Trust and voluntarily dissolve
• · Board of Trustees retains the ability to terminate the Plan of Sale and Liquidation
• · Risks include possible legal proceedings over the 19-asset sale to Cortland affiliate and whether any property sale could be deemed a prohibited transaction under the Internal Revenue Code
• · Elme's ability to maintain REIT status for U.S. federal income tax purposes is flagged as a risk
• · Company is operating with a small number of employees until asset transfer is complete

26-10-2026

Phathom Pharmaceuticals disclosed that the FDA opened public docket FDA-2026-N-13038 soliciting comment on legal and regulatory questions raised by BDR Pharmaceuticals' challenge to the FDA's June 6, 2025 decision recognizing 10 years of NCE exclusivity for VOQUEZNA (vonoprazan) through May 3, 2032. Comments are due November 23, 2026, and the company says the FDA reached the right decision and will defend the exclusivity in comments and court. A second purported ANDA filer, Saba Ilac Sanayii Ve Ticaret AS, says it will seek to consolidate a related case with BDR's, adding uncertainty to the exclusivity outcome.

• · FDA public docket comment deadline is November 23, 2026
• · Litigation challenges FDA's June 6, 2025 decision granting Phathom's Citizen Petition
• · Second ANDA filer intends to move to consolidate its related case with BDR's litigation
• · Risks include possible earlier ANDA approvals for VOQUEZNA if the exclusivity challenge succeeds, and possible FDA reversal after public comment

26-10-2026

MakeMyTrip Limited filed a Form 6-K on October 26, 2026 announcing unaudited financial results for the second quarter of fiscal 2027 (quarter ended September 30, 2026) via an earnings release attached as Exhibit 99.1. The filing itself contains no quantitative financial figures; the results are only referenced and incorporated by reference into the company's Form F-3 shelf registration statement.

• · Filing references Form F-3 shelf registration statement (File No. 333-288084) dated June 16, 2025, as amended
• · Company is a foreign private issuer filing under Form 20-F (not Form 40-F)
• · Principal executive office located at DLF Cyber City, Gurugram, India
• · Financial results are unaudited and detailed figures are only in Exhibit 99.1, which is not included in the provided content

26-10-2026

Zhihu Inc. furnished a 6-K on October 26, 2026 containing an exhibit index of six documents: an announcement regarding the grant of restricted share units under its Amended and Restated 2022 Share Incentive Plan, and five Next Day Disclosure Returns dated October 20 through October 23, 2026. The filing body itself contains no financial results, quantitative metrics, or operating commentary, so the disclosure is administrative in nature.

• · Filing includes a grant of restricted share units under the Amended and Restated 2022 Share Incentive Plan (Exhibit 99.1)
• · Five Next Day Disclosure Returns (Exhibits 99.2 to 99.6) cover dates October 20, 2026 through October 23, 2026, which are typically filed under Hong Kong Stock Exchange rules for share issuer and director dealing disclosures
• · The exhibit content itself was not provided, so grantee identities, share counts, and exercise terms cannot be verified from this filing alone

26-10-2026

CEMEX, S.A.B. de C.V. (NYSE: CX; ticker CXMSF) furnished a Form 6-K dated October 26, 2026 containing its press release, third quarter 2026 results, and an accompanying results presentation. The filing consists of exhibit-level materials and a signature block by Chief Comptroller Jaime Martínez Merla; the actual financial figures are contained in the referenced exhibits and are not reproduced in the filing text provided.

• · Filing includes three exhibits: Exhibit 1 (Q3 2026 earnings press release), Exhibit 2 (Q3 2026 results), and Exhibit 3 (Q3 2026 results presentation)
• · Filing is dated October 26, 2026, and the company's common shares trade on the NYSE under the symbol CX

26-10-2026

NovaBridge Biosciences (NBP) furnished a 6-K on October 26, 2026 containing a press release reporting mature Phase 1b data for givastomig, a Claudin 18.2/4-1BB bispecific antibody, presented at ESMO 2026, and a poster detailing expanded safety and efficacy of givastomig combined with nivolumab and mFOLFOX6 in first-line metastatic gastroesophageal carcinoma (mGEC). The company positions the data as supporting progression toward registrational development. The filing exhibits contain no quantitative financial results, so no period-over-period comparisons are available.

• · Data presented at ESMO 2026 cover mature Phase 1b results for givastomig.
• · The poster evaluates givastomig in combination with nivolumab and mFOLFOX6 in 1L metastatic gastroesophageal carcinoma (mGEC).
• · Filing contains only press release and poster exhibits; no financial statements or quantitative financial metrics are included.

26-10-2026

Elbit Systems Ltd. furnished a Form 6-K for October 2026 attaching a press release dated October 26, 2026, with the press release incorporated by reference as Exhibit 1. The filing body contains no financial figures, named initiatives, or quantitative disclosures; the substantive content resides entirely in the unattached exhibit, so the nature of the announcement cannot be determined from this document alone.

• · Filing is a Form 6-K for the Month of October 2026, filed by a foreign private issuer that files annual reports on Form 20-F (Commission File No. 000-28998)
• · Attached Exhibit 1 is a press release dated October 26, 2026, which is not included in the provided content

26-10-2026

Borr Drilling Limited furnished a Form 6-K to the SEC on October 26, 2026, attaching a press release as Exhibit 99.1. The filing is a standard foreign private issuer report signed by Director Mi Hong Yoon. The filing text provided does not disclose the contents of the press release, so no financial results, operational metrics, or material developments can be confirmed from this document alone.

• · Filing made under Form 20-F annual reporting status (Form 40-F not applicable)
• · Commission File Number 001-39007
• · Principal executive office located at S. E. Pearman Building, 9 Par-la-Ville Road, Hamilton, Bermuda
• · Exhibit 99.1 (Press Release) is referenced but its content is not included in the provided text

26-10-2026

ArriVent BioPharma (AVBP) furnished an 8-K on October 26, 2026 attaching an October 25, 2026 press release announcing initial Phase 1 data for ARR-217 (MRG007), a cadherin-17 (CDH17)-targeted antibody-drug conjugate, in patients with gastrointestinal cancers, presented at the European Society for Medical Oncology (ESMO) Congress 2026. The filing itself contains no quantitative efficacy or safety results; those details reside in Exhibit 99.1, which was not included in the provided content.

• · Target is cadherin-17 (CDH17), with the program directed at gastrointestinal cancers
• · Filing furnished under Regulation FD and not deemed 'filed' for Exchange Act Section 18 purposes
• · Company is an emerging growth company; common stock (AVBP) trades on Nasdaq; Commission File No. 001-41929
• · Quantitative trial results are only available in Exhibit 99.1, not in the 8-K body

26-10-2026

Eikon Therapeutics furnished an 8-K disclosing updated data from the open-label Phase 2 TeLuRide-005 trial of TLR7/8 dual-agonist EIK1001 in 72 previously untreated stage 4 NSCLC patients, presented at the 2026 ESMO Congress. Among 65 efficacy-evaluable patients, pooled ORR was 63.1% and DCR was 89.2% at a median follow-up of 17.2 months, with the squamous cohort (ORR 72.4%) outperforming the non-squamous cohort (ORR 55.6%, DCR 80.6%). Grade 3+ treatment-related adverse events occurred in 48.6% of participants, with 6.9% discontinuing due to TRAEs.

• · Median duration of response was 12.9 months in squamous cohort and 11.2 months in non-squamous cohort
• · Median follow-up was 12.7 months for squamous and 17.9 months for non-squamous cohorts
• · Cytokine release syndrome events were all low-grade with no Grade 3 or higher events and no TRAE-related deaths
• · Company expects first interim analysis of TeLuRide-008 to select a single EIK1001 dose in 2H 2027
• · Dosing schedule: weekly IV EIK1001 reduced to every third week after 8 cycles, with maximum treatment duration of 2 years (up to 35 cycles)
• · The trial is open-label and single-arm, so efficacy figures are not comparative against standard of care

26-10-2026

Nanobiotix S.A. filed a Form 6-K on October 26, 2026 (signed October 24, 2026) furnishing a press release dated October 24, 2026 as Exhibit 99.1. The filing body itself contains no financial figures, named initiatives, or substantive operating disclosures; the content of the press release is incorporated by reference and is not included in the provided text.

• · Filing is a Form 6-K for the month of October 2026 (Commission File No. 001-39777), filed by a foreign private issuer that reports on Form 20-F.
• · The underlying press release (Exhibit 99.1, dated October 24, 2026) is incorporated by reference but its substantive content is not included in the provided text.

26-10-2026

Pacific Booker Minerals Inc. furnished a Form 6-K on October 26, 2026 (signed by President and CEO John Plourde, with an internal date of October 7, 2026) attaching a News Release dated October 7, 2026. The filing body itself contains only the cover page, the reference to the attached news release, and the signature block, so no financial results, transaction terms, or quantitative disclosures are present in the text provided.

• · The filing references an attached News Release dated October 7, 2026, whose substance is not included in the provided content
• · Registrant file number 001-33649; principal executive offices at #1203 – 1166 Alberni Street, Vancouver, B.C. V6E 3Z3
• · The cover page indicates the registrant files annual reports on Form 40-F (Form 40-F box checked)
• · Filing date (October 26, 2026) differs from the signature date (October 7, 2026), which may reflect the news release date being furnished later

26-10-2026

E6 Portfolios, LLC, a Midvale, Utah-based institutional investment manager, filed its Form 13F-HR for the quarter ended September 30, 2026, reporting 89 holdings with an aggregate reported market value of approximately $132.4 billion. The portfolio is concentrated in large-cap technology and ETFs, led by Apple, NVIDIA, Microsoft, and Amazon, alongside broad index and factor-based ETF positions. The filing reports holdings only and contains no period-over-period comparison data.

• · All 89 reported positions are held with sole investment discretion and no shared or other-manager voting authority reported in the Information Table.
• · Concentration is notable: the top holdings (Apple, NVIDIA, Microsoft, Amazon, JPMorgan) are individually in the $0.7B to $3.1B range, while a large number of positions are ETF-based index and factor exposures.
• · Digital-asset exposure appears through spot bitcoin and ether ETFs, plus several crypto-linked equities (Strategy, MARA, BTCS, Bit Digital, SharpLink, Twenty One Capital).
• · The filing reports no prior-period comparison, so quarter-over-quarter changes in position size cannot be assessed from this document alone.

26-10-2026

Cyber Enviro-Tech, Inc. (CETI) entered into Amendment No. 2 to its Equity Purchase Agreement with Monroe Street Capital Partners, LP on October 14, 2026, changing how the purchase price is set for shares sold under puts. Both the Initial Purchase Price and Market Price are now tied to end-of-day VWAP rather than the lowest traded price, while the 15% discount (85% factor), $30,000,000 maximum commitment, and beneficial ownership limits are unchanged. The company also discloses Amendment No. 1 (August 6, 2026), which reduced the minimum put amount and which the parties had previously considered immaterial.

• · Amendment No. 2 applies only to puts with a put date on or after October 14, 2026; earlier puts remain governed by the agreement as in effect on their put dates.
• · Amendment No. 2 includes a limited waiver of the amendment restriction in Section 10.14 of the Agreement, solely for the changes it makes.
• · Equity Purchase Agreement originally dated March 17, 2026; Amendment No. 1 dated August 6, 2026 reduced the minimum put amount.
• · The company states there is no material relationship with the Investor beyond the Agreement, as amended.
• · Exhibits 10.1 (Amendment No. 1) and 10.2 (Amendment No. 2) are filed with the report; the 8-K was filed October 26, 2026, about 12 days after the October 14 event, with the report date reflected as October 23, 2026.

26-10-2026

Equity Wealth Partners, LLC (Independence, MO; SEC file no. 028-25881) filed its Form 13F-HR for the quarter ended September 30, 2026, on October 26, 2026, reporting 109 holdings with a total reported portfolio value of $303,842,094 (figures reported in thousands on the source table, shown here as $303.8M). The portfolio is concentrated in broad-market, international, and fixed-income ETFs, with the largest single positions in iShares Russell Top 200 Growth ETF, Capital Group Growth ETF, and Vanguard Mid-Cap Index ETF. Individual stock exposure is comparatively small and includes NVIDIA, Apple, Amazon, and Microsoft. The filing is a routine quarterly disclosure and does not itself indicate a change in strategy, nor does it provide prior-period comparisons to assess directional change.

• · Holdings are predominantly held as ETF shares (SOLE voting authority across all 109 positions), with no reported shared or no-voting-authority positions
• · Equity exposure is heavily weighted toward passive and factor-based ETFs; direct single-stock holdings are a small share of reported value
• · Fixed-income exposure is held through several bond ETFs, including Vanguard Intermediate-Term Bond ETF, iShares Core U.S. Aggregate Bond ETF, and Capital Group Core Plus Income ETF

26-10-2026

Gerdau S.A. furnished a Form 6-K dated October 23, 2026 attaching Exhibit 99.1, a Notice to the Market regarding a credit rating review. The filing body itself contains no rating action, figures, or financial results, so the substance of the review must be taken from the exhibit, which was not included in the provided content.

• · Filing is a Form 6-K (Report of Foreign Private Issuer) under Rule 13a-16 or 15d-16, with Commission File Number 1-14878
• · Exhibit 99.1 is titled 'Notice to the Market – Credit Rating Review'; its contents are not included in the provided text
• · Gerdau files annual reports on Form 20-F, as indicated by the cover page check mark
• · Filing dates are inconsistent: the cover page states 'Dated October 23, 2026' and the signature date is October 23, 2026, while the submission date provided is October 26, 2026

26-10-2026

Expion Energy, Inc. (formerly Expion360 Inc., Nasdaq: XPON) filed a Form S-3 shelf registration statement and a Rule 424(b)(5) preliminary prospectus supplement for an at-the-market (ATM) offering of up to $1,666,183 of common stock through H.C. Wainwright & Co., LLC, at a 3.0% commission. The company's public float is approximately $8,963,061 (977,433 non-affiliate shares), which constrains sales under the Baby Shelf Limitation to one-third of float in any 12-month period, and about $1,321,503 has already been sold under that limit in the prior 12 months. The stock last traded at $3.92 on October 22, 2026, versus a $9.17 high on August 26, 2026.

• · Company is an emerging growth company electing reduced reporting requirements
• · Baby Shelf Limitation applies because public float is below $75.0 million
• · Sales agent is not required to sell any minimum amount; no escrow arrangement exists
• · Prospectus lists 10-K for FY2025 (filed March 17, 2026), 10-K/A (April 30, 2026), and 10-Qs for Q1 and Q2 2026 as incorporated by reference
• · Company changed its name from Expion360 Inc. to Expion Energy Inc. on August 24, 2026

26-10-2026

On October 23, 2026, Charlton Aria Acquisition Corp (CHARU) notified Nasdaq that its audit committee had not satisfied Nasdaq Listing Rule 5605(c)(2)(A) from August 25, 2026, because director Kyoung Tak Kim, a partner at Leading Edge Advisory Inc. (which received a $30,000 invoice paid August 25, 2026), was deemed to have indirectly accepted a consulting fee under Exchange Act Rule 10A-3. The company identified the issue on October 20, 2026, reconstituted its committees on October 22, 2026, and believes it regained compliance as of that date, with its units, shares and rights still listed on Nasdaq and no Nasdaq notice received.

• · Company identified the audit committee independence deficiency on October 20, 2026 during review of financials for the quarter ended September 30, 2026
• · On October 22, 2026, Kim was removed from the audit committee and Wang Jo Cha appointed; Cha was removed from the compensation committee and Kim appointed to it
• · Company states it did not rely on any cure period or exemption from Rule 10A-3 or Nasdaq rules
• · Board determined Kim remains an Independent Director under Nasdaq Listing Rule 5605(a)(2) and continues as a director
• · Company will disclose any future Nasdaq deficiency notice as required

26-10-2026

PUBLIC CO MANAGEMENT CORP (PCMC), a Nevada-incorporated blank check company headquartered in Beverly Hills, CA, filed a Form S-4 registration statement on October 26, 2026 (SEC File No. 333-299629) in connection with a proposed business combination. The filing body provided to this analysis consists largely of XBRL tagging and financial statement context data, with references to Physicians Capital Management Corporation, Specialty Capital Lenders LLC, Academy Bank, Ivie Health Consultants, and an Indiana property (PC Indiana Carmel LLC), but the narrative terms of the transaction, the counterparty's full identity, and the deal consideration are not discernible from the excerpt provided.

• · Filing is an S-4 registration statement (SEC File No. 333-299629) filed October 26, 2026, with 205 public documents, indicating a registered securities offering tied to a business combination.
• · Company fiscal year ends September 30; the filing references financial periods through June 30, 2026.
• · Filing references debt and financing arrangements with Specialty Capital Lenders LLC, including a Note Transfer and Settlement Agreement dated within the period ending June 30, 2026.
• · Filing references subsequent events dated October 24 and October 27–28, 2025, including Indiana property matters and related-party loans and SAFE notes involving Physicians Capital Management Corporation.
• · Filing references a revolving credit line and notes payable with related party Physicians Capital Management Corporation, including a bifurcated derivative liability as of September 30, 2025.

26-10-2026

Idaho Copper Corporation (COPR) filed its Preliminary Economic Assessment and NI 43-101 Technical Report (the Canadian PEA) on SEDAR+ on October 23, 2026, and made it available on its investor website. The company intends to file a revised version compliant with Subpart 1300 of Regulation S-K (the US PEA) with the SEC in the near future. The filing is a Regulation FD disclosure and contains no quantitative financial results, so no period-over-period performance is reported.

• · The Canadian PEA was filed under National Instrument 43-101 on October 23, 2026, the date of the report.
• · The company is securities-registered under the Exchange Act with common stock (COPR) and warrants (COPR WS) listed on NYSE American.
• · The company states the filing does not constitute an admission of materiality of the information disclosed.

26-10-2026

Lichen International Limited (LICN) furnished a Form 6-K in connection with an upcoming extraordinary general meeting (EGM) of shareholders. The filing attaches the Notice of Meeting and Proxy Statement, a Form of Proxy Card, and Amended and Restated Memorandum and Articles of Association. The filing contains no financial results, transaction amounts, or performance metrics.

• · The 6-K cover page references a filing date of October 26, 2026, while the signature block is dated October 23, 2026.
• · Shareholders will vote at the EGM on the matters described in the attached Notice of Meeting and Proxy Statement; the specific agenda items are not reproduced in the filing text provided.
• · The amended and restated constitutional documents (Exhibit 99.3) suggest governance or capital-structure changes may be proposed, but their substance cannot be determined from the text provided.

26-10-2026

Peterson Wealth Services (CIK 0001906799, South Ogden, UT) filed a Form 13F-HR on October 26, 2026 reporting its equity holdings as of September 30, 2026. The filing covers a long list of U.S. and foreign-listed common stocks, ETFs and ADRs, all reported with sole investment discretion. The filing is a routine quarterly institutional disclosure and does not itself describe any transaction, strategy change, or regulatory action.

• · Filing is a 13F-HR for the period ended September 30, 2026, filed October 26, 2026; accession number 0001906799-26-000006.
• · All reported positions are held with sole voting and investment discretion (no shared or other-manager discretion reported).
• · Portfolio is concentrated in large-cap technology and semiconductor names, with broad ETF exposure, and includes a number of foreign-domiciled issuers (e.g., ASML, Canadian Natural Resources, IREN, Ferrovial, Chubb).

26-10-2026

Ladder Capital Corp reported Q3 2026 net income attributable to Class A shareholders of $65,865 thousand ($0.53 diluted EPS), up sharply from $19,189 thousand ($0.15) in Q3 2025, largely driven by a $65,627 thousand gain on real estate. Quarterly net interest income declined to $28,830 thousand from $34,163 thousand (down about 15.6% YoY), and fee and other income swung to a $5,526 thousand loss, while total assets grew to $6,044,678 thousand from $5,152,550 thousand at year-end 2025 and debt obligations rose to $4,346,438 thousand.

• · Nine-month diluted EPS was $0.66 versus $0.38 a year earlier, while nine-month net interest income fell to $85,616 thousand from $89,344 thousand.
• · Interest expense rose 37.3% YoY in Q3 2026 ($51,616 thousand vs $37,605 thousand), outpacing 12.1% growth in interest income, compressing net interest margin.
• · Other liabilities increased to $145,690 thousand from $52,524 thousand at year-end 2025.
• · Treasury stock purchases totaled $29,652 thousand over nine months, and shares outstanding declined to 125,992,003 from 127,233,559.
• · Q3 2026 compensation and employee benefits rose 28.9% YoY to $16,174 thousand, and investment related expenses more than doubled to $1,900 thousand from $855 thousand.
• · Nine-month operating cash flow was $42,314 thousand, roughly flat versus $41,656 thousand, while net investing outflows were $732,284 thousand.

26-10-2026

Blume Capital Management, Inc. (Berkeley, CA; CIK 0001587192) filed its Form 13F-HR for the quarter ended September 30, 2026, on October 26, 2026, disclosing equity and fund holdings under SEC file number 028-15990. The information table reflects a substantial, highly diversified portfolio concentrated in mega-cap technology (Alphabet, Apple, Amazon, Microsoft, Meta, Micron, Applied Materials) alongside large positions in broad-market and factor ETFs (Dimensional, iShares, J.P. Morgan Exchange-Traded Funds). The filing is a holdings snapshot and does not itself disclose quarter-over-quarter changes, so period-over-period performance cannot be assessed from this document.

• · Filing covers holdings as of September 30, 2026, reported under SEC file number 028-15990 and filed October 26, 2026.
• · Portfolio includes approximately 357 other included managers/entries per the cover page, indicating broad diversification.
• · Largest disclosed exposures include Alphabet (Class A and Class C), Apple, Micron, Amazon, Microsoft, Meta, and Charles Schwab.
• · A significant share of holdings is in passive/factor ETFs (Dimensional, iShares, J.P. Morgan), suggesting a blended core-and-satellite approach.
• · Several micro-position lines (e.g., Lexicon Pharmaceuticals, Curbline Properties, Halliburton at 2 shares) appear to be residual or legacy holdings.
• · The filing contains no quarter-over-quarter comparison data; prior-period holdings would be needed to assess position changes.

26-10-2026

VIEWPOINT INVESTMENT PARTNERS CORP (CIK 0001767457, Calgary, Alberta) filed a Form 13F-HR on October 26, 2026 reporting its institutional equity holdings as of September 30, 2026, comprising 142 holdings with a total reported value of approximately $319,445,953 (the filing's stated table value total, reported in thousands of USD). The portfolio is concentrated in energy, Canadian and global infrastructure, financials, and broad-market and fixed-income ETFs, with the largest single positions including iShares TIPS Bond ETF, iShares Broad USD High Yield Corporate Bond ETF, and VanEck Emerging Markets Local Currency Bond ETF.

• · Top 5 positions by reported value are all ETFs or large-cap equities: iShares TIPS Bond ETF ($56.6M), VanEck EM Local Currency Bond ETF ($28.3M), iShares Broad USD High Yield Corporate Bond ETF ($14.3M), Vanguard Morningstar Total Stock Market ETF ($9.1M), and Canadian Natural Resources ($8.6M)
• · Filing indicates sole investment discretion (SOLE) for all 142 holdings, with no shared or other-manager discretion reported
• · Portfolio has a notable Canadian and energy/infrastructure tilt, including Enbridge, TC Energy, Suncor, Cenovus, Pembina, and South Bow

26-10-2026

Uni-Fuels Holdings Limited (UFG) entered into an At the Market Offering Agreement dated October 23, 2026 with Rodman & Renshaw LLC, establishing an at-the-market equity offering program under which the Company may sell class A ordinary shares from time to time at its discretion, subject to a 3.0% placement fee. The filing does not disclose a specific maximum offering size in dollar terms; the cap is the lesser of the amount registered under the Prospectus Supplement, authorized but unissued shares, and any limit required to preserve Form F-3 eligibility. The Company is under no obligation to sell any shares.

• · Net proceeds are intended for working capital and general corporate purposes, including supporting trade credit and financing for the marine fuels sales business, expanding operations in new and existing markets, and potential acquisitions of or investments in complementary businesses.
• · Shares may be sold on The Nasdaq Capital Market under the Company's Form F-3 registration statement (No. 333-292786) and a Prospectus Supplement filed October 23, 2026.
• · The offering terminates upon the sale of all shares subject to the Sales Agreement or earlier termination under its terms.
• · Exhibit 5.1 is an opinion of Ogier (legal counsel), filed alongside the Sales Agreement as Exhibit 1.1.

26-10-2026

HOURGLASS CAPITAL, LLC filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing long equity holdings across 125 securities with a reported total portfolio value of approximately $4.88 billion (487,930,210 thousand-dollar reporting basis). Top positions include Alphabet, NVIDIA, Newmont, Citigroup, and Core Natural Resources, with sole investment discretion over all positions. The filing contains no prior-period comparison, so period-over-period performance cannot be assessed from this document.

• · Filing reflects holdings as of September 30, 2026, submitted October 26, 2026 (filed as of October 26, 2026; date of change October 23, 2026).
• · Filer is headquartered in Houston, TX (5020 Montrose Blvd, Suite 400); SEC file number 028-13181; state of incorporation TX.
• · All 125 reported positions are held with sole investment discretion (SOLE), with no shared or other-manager discretion reported.
• · Portfolio mixes large-cap technology (Alphabet, NVIDIA, Microsoft, Apple, Broadcom, Oracle), energy/midstream MLPs, materials/mining (Newmont, Freeport-McMoRan, BHP), financials, and multiple ETFs/closed-end funds.
• · Largest holdings by value are concentrated in roughly $12B–$14B positions (Alphabet, NVIDIA, Newmont, Citigroup, Core Natural Resources), though the table does not provide prior-quarter comparisons to show position changes.
• · Filing includes a list of institutional holdings only; it does not disclose buys, sells, or quarter-over-quarter share changes, so trading activity cannot be inferred from this document alone.

26-10-2026

On October 26, 2026, EQT Corporation filed a Form 425 furnishing a joint news release with Range Resources Corporation regarding a merger agreement dated October 25, 2026, under which the companies would combine (EQT Holdings LLC, Rhino Merger Sub Inc., and Rhino Merger Sub LLC are parties to the Agreement and Plan of Merger). The filing contains no disclosed deal value, exchange ratio, or financial metrics; the joint release itself is incorporated by reference but its figures are not reproduced in this filing text. Completion is subject to EQT shareholder approval of the share issuance, Range stockholder adoption of the merger agreement, and governmental and regulatory approvals.

• · Merger agreement dated October 25, 2026; joint news release issued October 26, 2026
• · Filed under Form 8-K-style Item 7.01 (Regulation FD) and Item 9.01 with Exhibit 2.1 (merger agreement, schedules omitted under Item 601(a)(5)) and Exhibit 99.1 (joint news release)
• · EQT intends to file a Form S-4 registration statement including a joint proxy statement/prospectus
• · Closing conditions include EQT shareholder approval of the Share Issuance and Range stockholder adoption of the merger agreement
• · Forward-looking statements cover expected accretion to earnings and free cash flow, anticipated dividends, synergies, debt levels, leverage ratio, and credit ratings of the combined company

26-10-2026

Dr. Reddy's Laboratories Limited furnished a Form 6-K to the SEC on October 26, 2026, attaching Exhibit 99.1, an intimation dated October 24, 2026, signed by Company Secretary K Randhir Singh. The filing itself contains only the cover page, exhibit index, and signature block, so the substance of the intimation cannot be determined from the text provided.

• · Commission File Number 1-15182; principal executive office at 8-2-337, Road No. 3, Banjara Hills, Hyderabad, Telangana 500 034, India
• · Registrant is a foreign private issuer filing annual reports on Form 20-F
• · Exhibit 99.1 is an intimation dated October 24, 2026, whose content is not included in the provided text

26-10-2026

James Reed Financial Services, Inc. (CIK 0001911052, Cleveland, OH) filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing equity holdings across 18 positions with an aggregate reported market value of approximately $132.4 billion. The largest reported positions include Vanguard and iShares index funds, Capital Group Global Equity, JPMorgan Chase, Apple, Microsoft, and NVIDIA. The filing is a routine quarterly disclosure of long-only institutional holdings and contains no period-over-period comparison data.

• · Filer is classified as a 13F-HR under Section 13(f) of the Securities Exchange Act of 1934 (SEC File No. 028-22159), with Ohio incorporation and EIN 34-1529260.
• · Largest holdings are concentrated in broad-market index ETFs and mega-cap technology names (Apple, Microsoft, NVIDIA, Amazon), with a single-name exposure to Capital Group Global Equity fund shares.
• · Holdings include a mix of individual equities (3M, AMD, Amazon, Amgen, Apple, ExxonMobil, JPMorgan, Microsoft, NVIDIA, Progressive) and ETFs, with all positions reported as sole investment and voting authority (SOLE).

26-10-2026

Motive Wealth Advisors filed a Form 13F-HR reporting its institutional equity holdings as of September 30, 2026, covering approximately 103 securities with a total reported market value of roughly $249.5 billion. The portfolio is concentrated in large-cap technology and index-tracking ETFs, with NVIDIA, Apple, Microsoft, Alphabet, and Amazon among the largest reported positions. This is a routine regulatory holdings disclosure and does not disclose a period-over-period comparison, so no growth or decline figures are reported in the filing itself.

• · Filing is for the quarter ended September 30, 2026 and was filed October 26, 2026 by a Birmingham, Michigan-based adviser (SEC file no. 028-21346).
• · Holdings are reported as sole investment discretion (SOLE), with no shared or other-manager discretion indicated.
• · Portfolio includes a notable put option position on Intel Corp common stock (PUT) alongside long common stock holdings in Intel.
• · Holdings span multiple asset classes including broad equity ETFs, sector and style ETFs, fixed income ETFs (aggregate bond, 0-3 month Treasury, municipal bonds), and a managed-futures ETF (EA Series Trust Alpha Arch 1-3).

26-10-2026

Amanat Acquisition Corp (Nasdaq: AMAN), a Cayman Islands SPAC, entered into a Business Combination Agreement on October 25, 2026 with Corxel Pharmaceuticals, Inc. and its parent Corxel Pharmaceuticals Limited, implying a Corxel equity value of $200 Million. The combination is expected to close in the first half of 2027, subject to HSR clearance, a Form S-4 registration statement, AMAN shareholder approval, and other customary conditions. Existing AMAN shareholders may redeem Class A shares for cash, and the outcome of redemptions will determine whether AMAN retains a board seat (Rakhi Kumar) if the trust account exceeds $25 Million after redemptions.

• · Shares are exchanged at an exchange ratio based on the $200 Million implied Corxel equity value, with pre-funded warrants available at Parent's election
• · AMAN will de-register from the Cayman Islands and domesticate as a Delaware corporation prior to closing
• · Corxel must identify and publicly announce a CEO and board of New Corxel as a closing condition
• · Parent intends to distribute New Corxel shares and other consideration to its shareholders after closing

26-10-2026

Larry Mathis Financial Planning, LLC (Phoenix, AZ; SEC file no. 028-26761) filed its Form 13F-HR for the quarter ended September 30, 2026, on October 26, 2026, disclosing equity and ETF holdings with a reported total of approximately $117.5 billion (117,519,219 thousand dollars, as listed in the filing header). The holdings table spans roughly 190 positions, with the largest reported values concentrated in broad-market ETFs, mega-cap technology, and large financial and healthcare names. The filing is a routine quarterly disclosure of holdings and does not itself report period-over-period changes in position size.

• · Filing made under the Securities Exchange Act of 1934 for period ending September 30, 2026, with a filing date of October 26, 2026
• · Reported total value of about $117.5 billion, with a substantial share in ETF positions (Dimensional, SPDR, iShares, Vanguard, Invesco, First Trust, ProShares, Northern Lights)
• · Largest single-line positions by reported value include Dimensional ETF Trust US Core Equity Market (approx. $17.7B reported value) and Dimensional International Core Equity (approx. $15.2B reported value), though exact per-position values should be verified against the information table
• · Holdings are predominantly listed as sole investment discretion (SOLE), indicating the filer exercises sole voting and investment authority over the reported positions
• · Positions span U.S. large-cap equities, international ADRs (e.g., HSBC, Toyota-style ADRs such as Takeda, Shell, BHP, Vale), and fixed-income ETFs