US SEC Filings Daily Market Digest — October 02, 2026

02-10-2026

Sam Levinson and related entities filed a Schedule 13D/A disclosing aggregate beneficial ownership of approximately 46.6% of Clipper Realty Inc. common stock (on a fully diluted basis including convertible units). The filing details recent open-market purchases by Starburst 2016 II LLC totaling over 256,000 shares between August and September 2026 at prices ranging from $3.08 to $3.39 per share, reflecting continued accumulation by the Levinson group. No corresponding sales or dispositions by the group were reported, indicating a sustained bullish stance.

• · Sam Levinson's direct beneficial ownership includes 764,001 vested LTIP Units, 270,557 shares of Common Stock, and 57,099 shares through the Samuel D. Levinson Profit Sharing Plan.
• · Trapeze Inc. owns 1,253,016 shares of Common Stock and 4,464,692 Class B LLC Units.
• · Starburst 2016 II LLC purchased shares in 12 separate open-market transactions from August 18 to September 24, 2026, with the largest single purchase being 110,710 shares on September 9 at an average price of $3.3054.
• · The filing states that none of the Reporting Persons have been convicted in a criminal proceeding or been subject to securities-related judgments in the last five years.
• · The Reporting Persons disclaim forming a 'group' under Section 13(d)(3) and each disclaims beneficial ownership of shares held by others except Mr. Levinson.

02-10-2026

Golden Minerals Company announced the appointment of Keith Laskowski as Executive Vice President of Exploration and Barbara Henderson as Corporate Secretary, effective October 1, 2026. Additionally, David Watkins has assumed the role of President and CEO following the resignation of Pablo Castanos from his positions as President, CEO, and Director, effective September 30, 2026. The board thanked Mr. Castanos for his service and improvements to the company's financial position, while expressing confidence in the new leadership team to drive future growth.

• · Keith Laskowski holds an MSc in Geology from the Colorado School of Mines (1987) and has been a registered Qualified Person with the Mining and Metallurgical Society of America since 2006.
• · Barbara Henderson holds a B.Sc. in Earth Sciences from the University of Waterloo and an M.Sc. in Economic Geology from the University of Alberta, and is a registered Professional Geologist.
• · Golden Minerals holds a 67% majority control in the Desierto 1 & 2 concessions and a 51% joint venture interest in the Sarita Este concession in Argentina, and a 60% interest in the Sand Canyon project in Nevada.

02-10-2026

NIKE, Inc. reported Q1 FY27 (three months ended August 31, 2026) revenues of $11,213M, down 4.3% YoY from $11,720M, and net income of $712M versus $727M in the prior year, a decline of 2.1%. While gross profit decreased 2.9% to $4,798M, the company generated positive free cash flow and reduced total debt slightly. However, operating cash flow fell 39.2% to $135M, and inventories rose 4.6% sequentially to $7,846M, signaling ongoing working capital pressure.

• · Demand creation expense increased 5.4% YoY to $1,252M, while operating overhead expense decreased 6.0% to $2,658M.
• · Total selling and administrative expense declined 2.6% YoY to $3,910M.
• · Interest income, net was $14M vs $18M in the prior year.
• · Other income, net swung to $19M income from $23M expense in Q1 FY26.
• · Effective tax rate was 22.7% in Q1 FY27 vs 21.1% in Q1 FY26.
• · Diluted EPS was $0.48, down from $0.49.
• · Accounts receivable decreased 11.6% sequentially to $5,242M.
• · Total assets decreased 1.6% sequentially to $37,794M.
• · Total liabilities decreased 3.8% sequentially to $22,574M.
• · Share repurchases were nil in Q1 FY27 vs $126M in Q1 FY26.
• · Dividends paid were $610M vs $591M in the prior year.
• · Non-cash additions to PP&E were $225M, more than double the $101M in Q1 FY26.
• · Retained earnings deficit improved from -$155M to -$56M.
• · Accumulated other comprehensive loss improved from -$141M to -$39M.

02-10-2026

YY Group Holding Ltd. subsidiary Xtreme Solution Pte. Ltd. reported a significant decline in financial performance for the year ended March 31, 2026. Revenue decreased 9.5% YoY to SGD 5,829,900, and net profit fell 46.6% to SGD 288,825, primarily due to a sharp drop in gross profit margin. However, total equity surged 214% to SGD 715,557, boosted by a SGD 198,885 property revaluation surplus, and operating cash flow improved 16.5% to SGD 824,341.

• · Trade receivables dropped to zero as of March 31, 2026 from SGD 241,919 a year earlier.
• · Amount due from a director increased sharply to SGD 613,245 from SGD 94,694.
• · Inventories decreased 19.5% to SGD 1,010,180.
• · Current bank loans were reduced by 55.4% to SGD 298,920, but non-current bank loans rose 7.6% to SGD 1,978,508.
• · A new financial asset of SGD 131,244 was recorded in FY 2026.
• · Deferred tax liabilities of SGD 40,736 were recognized in FY 2026, related to property revaluation.
• · Dividends of SGD 1,200,000 were paid in FY 2025; no dividends were paid in FY 2026.
• · Net cash used in investing activities was SGD 649,795 in FY 2026 vs. net cash provided of SGD 160,236 in FY 2025, driven by director advances.
• · Cash balance continued to decline, falling 29.5% to SGD 137,632.

02-10-2026

Realty Advisors, Inc. (RAI) filed an amended Schedule 13D disclosing its acquisition of 2,000,000 newly issued shares of New Concept Energy, Inc. (GBR) at $1.00 per share, for a total cash consideration of $2,000,000. The transaction closed on September 29, 2026, after stockholder and NYSE American approval. Following the issuance, RAI beneficially owns 2,400,000 shares, representing 33.65% of the outstanding common stock, up from its prior stake.

• · RAI used its own working capital to fund the acquisition.
• · The transaction was originally conditioned on approval by GBR's stockholders and the NYSE American Exchange; the last approval occurred on August 21, 2026.
• · RAI has sole voting and dispositive power over all 2,400,000 shares it owns.
• · RAI stated it has no present plans or proposals that would result in any of the actions listed in Items (b) through (j) of Schedule 13D, but is available to consider any proposal to dispose of shares at attractive prices.
• · May Realty Holdings, Inc. is the 100% owner of RAI, and is in turn owned by a trust for the children of Gene E. Phillips (the 'May Trust').

02-10-2026

VS MEDIA Holdings Ltd converted $830,952.46 in outstanding loan obligations into equity, issuing 1,811,848 Class A Ordinary Shares and 214,866 Pre-Funded Warrants at a conversion price of $0.41 per share. The loans, originally taken on August 3, 2026, had a six-month term with 10% annual interest, but all accrued interest was forgiven as part of the conversion. While the debt-to-equity swap strengthens the balance sheet by removing a liability, the forgiveness of all accrued interest represents a loss of potential interest income for the company, and the issuance of shares at $0.41 may indicate a depressed valuation.

• · The original unsecured loan agreements were dated August 3, 2026, with a six-month term.
• · All accrued and unpaid interest on the loans was completely forgiven and cancelled as of the conversion effective date.
• · The Shares and Pre-Funded Warrants are restricted securities not registered under the Securities Act of 1933 and bear customary restrictive legends.
• · Each Lender represented itself as an accredited investor under Rule 501(a) of Regulation D.
• · The issuance relied on exemptions from registration under Section 4(a)(2) of the Securities Act and Regulation D.
• · The filing is incorporated by reference into the company's registration statements on Form F-3 (File 333-297756) and Form S-8 (File Nos. 333-276310 and 333-292063).

02-10-2026

Piermont Valley Acquisition Corp entered into a PIPE Securities Purchase Agreement for a $5.0M financing in connection with its business combination with Tigerless AI Holdings Inc. The PIPE involves 5,000 shares of Series A Convertible Preferred Stock at $1,000 per share, funded in two tranches post-closing ($3.5M at first closing, $1.5M at second closing). The terms include a conversion price with a floor that can reset lower over time, potentially diluting existing shareholders significantly.

• · The PIPE Securities Purchase Agreement was entered into on September 30, 2026.
• · The Business Combination Agreement was dated April 17, 2026.
• · The Series A Preferred Stock has a par value of $0.00001 per share.
• · The initial floor price for conversion is $2.00, which can reset lower every six months after shares become freely tradable.
• · The PIPE Investor is subject to a 4.99% beneficial ownership limitation, which can be increased to up to 9.99% after 61 days' notice.
• · Pubco must reserve at least 200% of the shares needed for conversion at the floor price.
• · Triggering Events include failures to maintain registration, trading or Nasdaq listing, delivery failures, payment failures, defaults on indebtedness, bankruptcy, judgments, material breaches, delinquent Exchange Act reporting, material adverse effect, and DTC restrictions.
• · Upon a Triggering Event, the stated value increases by 15% and a 5% annual default dividend accrues.
• · Pubco may redeem Series A Preferred Stock at 110% of stated value plus dividends, with at least 15 business days' notice, provided no Triggering Event is continuing.
• · Closing Fee Shares of 2,000,000 Pubco Class A Common Stock will be transferred by existing stockholders of Tigerless and/or Piermont to the PIPE Investor.
• · The PIPE Investor has demand and piggyback registration rights.
• · Leak-out restrictions limit daily sales to the greater of $75,000 / prior closing price or 8% of trading volume until the earlier of termination of the PIPE agreement or completion of the second closing.
• · Pubco must use PIPE proceeds for working capital, growth initiatives, transaction expenses, and general corporate purposes.
• · The Series A Preferred Stock generally has no voting rights except protective votes and those required by Nevada law.

02-10-2026

Professional Diversity Network, Inc. (IPDN) announced on October 2, 2026, that the Board decided not to renew CEO Xun Wu's appointment, effective July 22, 2026, with no disagreement related to operations, policies, or practices. The Board appointed CFO Yiran Gu as the new CEO, effective October 2, 2026, while she continues as CFO. Ms. Gu's employment agreement provides $300,000 annual base compensation for a 12-month term, with no negative or declining financial metrics reported in this filing.

• · Ms. Gu has served as CFO since August 2025 and was previously director and chief strategy officer at Koala Malta Limited from July 2021 to August 2025.
• · The Employment Agreement is effective October 2, 2026, with a 12-month term, and supersedes the prior employment agreement dated August 8, 2025.
• · Ms. Gu may terminate employment upon material reduction in authority, duties, responsibilities, or annual compensation; the Company may terminate for cause, death, or disability.
• · The agreement includes customary confidentiality, non-disclosure, conflicts-of-interest, non-solicitation, and other restrictive covenants.
• · Ms. Gu has no family relationships with directors or executive officers and is not party to any transaction requiring disclosure under Item 404(a).

02-10-2026

PROCEPT BioRobotics Corp (PRCT) announced the appointment of Dr. Michael Mack as an independent Class II director, effective October 2, 2026, expanding the board from nine to ten members. Dr. Mack, a renowned cardiac surgeon with extensive leadership experience, will serve until the 2029 annual meeting and receive standard non-employee director compensation. No financial impact or performance metrics were disclosed in this filing.

• · Dr. Mack's initial term expires at the 2029 annual meeting of stockholders.
• · Dr. Mack is board-certified in internal medicine, general surgery, and thoracic surgery.
• · Dr. Mack has practiced in Dallas, Texas since 1982.
• · Dr. Mack serves as Chairman of the Board of the Baylor Scott & White Research Institute and Associate Academic Officer of Baylor Scott & White Health.
• · Dr. Mack is Chair of the American Board of Thoracic Surgery, Co-Chair of the FDA Heart Valve Collaboratory, and Senior Vice Chair of the NIH's Cardiothoracic Surgical Trials Network.
• · Dr. Mack's prior leadership roles include President of the Society of Thoracic Surgeons (2011), President of the Thoracic Surgery Foundation for Research and Education (2009-2011), President of the Southern Thoracic Surgical Association (2009), and President of the International Society for Minimally Invasive Cardiothoracic Surgery (2000).
• · Dr. Mack earned his medical degree from Saint Louis University and completed residencies at the University of Minnesota and the University of Texas Southwestern Medical Center.
• · Dr. Mack will enter into the Company's standard director and officer indemnification and advancement agreement.
• · No transactions requiring disclosure under Item 404(a) of Regulation S-K were identified.

02-10-2026

Quantum Computing Inc. (QUBT) filed an 8-K on October 2, 2026, disclosing an updated investor presentation posted on its website. The presentation highlights the company's strong balance sheet with $1.3B in cash and investments and no debt, a market cap of $1.9B, and a vertically integrated quantum photonics platform. However, the filing contains no new financial results or operational metrics, and the company cautions that forward-looking statements involve risks and uncertainties.

• · The company has 300+ employees across 11 locations worldwide.
• · The company operates a vertically integrated manufacturing stack with facilities in Bedford, MA; Princeton, NJ; Wilmington, MA; Santa Barbara, CA; Hoboken, NJ; Park Ridge, IL; Tempe, AZ; Morrisville, NC; Odon, IN; and Batavia, IL.
• · The company claims to have the first U.S.-based TFLN foundry (established October 2025) and is building out Fab 2.
• · The presentation includes a technical milestone timeline for 2026-2029, including Dirac-3 10,000-variable benchmarking in 2026 and an all-optical quantum optimization machine in 2026-2027.
• · The company has 10+ peer-reviewed publications in Physical Review, Optics Letters, Scientific Reports, and IEEE JSTQE.
• · The company's technology is based on thin-film lithium niobate (TFLN) photonic integrated circuits (PICs) operating at room temperature.
• · The company's quantum technology roadmap includes four product lines: quantum computing, photonic AI, sensing & imaging, and quantum-secure communications.
• · The company's investor presentation includes forward-looking statements and cautions that actual results may differ materially from projections.
• · The company has no debt, as highlighted in the presentation.
• · The company's market cap is $1.9B with 226.3M shares outstanding and an average daily trading volume of 8.1M shares (as of October 1, 2026).

02-10-2026

Sunshine Biopharma Inc. filed an S-1 registration statement for a best-efforts offering of common stock, Series D Warrants, and Pre-Funded Warrants at an assumed price of $0.6876 per unit, aiming to raise approximately $6.0 million in net proceeds for general corporate purposes. The company faces significant risks, including a Nasdaq minimum bid price non-compliance (stock trading below $1.00), a potential new $5 million market value listing requirement (currently stayed), and the possibility of raising substantially less capital due to no minimum offering amount. While the company has $13.7 million cash on hand (actual) and a pro forma cash balance of $22.0 million, it also carries an accumulated deficit of $77.8 million and has a history of reverse stock splits to maintain listing.

• · The Series D Warrants have an initial exercise price of $0.6876 per share, subject to adjustment.
• · The company has 12,980,583 shares issuable upon exercise of Series B Warrants (exercise price $2.3949) and 2,017,770 shares issuable upon exercise of Series C Warrants (exercise price $5.00), both as of June 30, 2026.
• · Dr. Steve N. Slilaty beneficially owns 130,000 shares of Series B Preferred Stock (100% of the class), each with 1,000 votes.
• · The company's common stock has recently traded below the $1.00 minimum bid price required by Nasdaq, and a 10-for-1 reverse stock split was effective June 1, 2026.
• · A proposed Nasdaq rule change for a $5 million Market Value of Listed Securities requirement was approved by the SEC on July 22, 2026, but stayed on July 29, 2026, pending SEC review.
• · The company has no minimum offering amount, so actual proceeds may be substantially less than the maximum.
• · The Pre-Funded Warrants and Series D Warrants will not be listed on any exchange, limiting liquidity.

02-10-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

02-10-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

02-10-2026

ChronoScale Holdings Corporation (NASDAQ: CHRN) announced two new AI infrastructure customer agreements that, together with existing contracts, are expected to drive annualized revenue run-rate to $1 billion by calendar Q3 2027. The company also completed the sale of its Ekso Bionics business unit to sharpen focus on its core accelerated compute and AI infrastructure business. While the new agreements signal strong demand, the company cautioned that achieving the contracted revenue is subject to risks including timely deployment, power availability, and access to capital.

• · The two new agreements include a contract extension with an existing AI infrastructure customer and a separate agreement with a new customer.
• · ChronoScale was formed through the strategic combination of Applied Digital’s cloud business and EKSO Bionics Holdings, Inc.
• · The company's strategy focuses on delivering scalable accelerated computing capacity for large-scale AI deployments.
• · The forward-looking statements caution that actual results could vary materially due to risks such as the ability to raise capital, customer concentration, and slower-than-expected industry growth.

02-10-2026

John Marshall Bancorp, Inc. (JMSB) filed an S-4 registration statement with the SEC on October 2, 2026, in connection with its merger with EFSI. The pro forma combined entity would have total assets of approximately $4.29 billion and total shareholders' equity of $504.7 million as of June 30, 2026. For the six months ended June 30, 2026, pro forma net income is $25.7 million, with basic EPS of $1.03, reflecting the combination of JMSB's $13.1 million and EFSI's $8.7 million net income. However, the pro forma results include significant adjustments such as $2.6 million in intangible asset amortization and a $5.7 million provision for credit losses, and the actual combined performance may differ materially due to integration costs, fair value adjustments, and stock price changes.

• · Pro forma net interest income for six months ended June 30, 2026 is $74.2M, up from JMSB's $33.8M and EFSI's $32.9M combined.
• · Pro forma non-interest income is $15.2M, with EFSI contributing $13.5M vs JMSB's $1.7M, highlighting EFSI's wealth management fees ($4.0M) and service charges.
• · Pro forma non-interest expenses are $50.8M, including $2.6M of intangible amortization; JMSB's historical expenses were $18.4M and EFSI's $29.7M.
• · Pro forma basic EPS of $1.03 is lower than EFSI's standalone $1.61 but higher than JMSB's $0.93, reflecting dilution from share issuance.
• · The merger is accounted for as an acquisition of EFSI by JMSB, with JMSB as the acquirer for accounting purposes.
• · The final purchase price allocation is subject to change based on the closing stock price of JMSB common stock (closing price on September 25, 2026 used for pro forma).
• · Nonrecurring integration charges (systems, severance, etc.) are anticipated but not yet estimable and are not reflected in the pro forma financials.

02-10-2026

Outdoor Holding Co (POWWP) filed an 8-K on October 2, 2026, disclosing its conversion from a Delaware corporation to a Texas corporation, effective [●], 2026. The new certificate of formation authorizes 210,000,000 shares (200,000,000 common, 10,000,000 preferred) and includes provisions on director removal, special meetings, and exclusive forum. The filing also names five initial directors and confirms the designation of the 8.75% Series A Cumulative Redeemable Perpetual Preferred Stock.

• · The company converted from Delaware to Texas, with the new registered office at 211 East 7th Street, Suite 620, Austin, Texas 78701.
• · The certificate of formation includes a provision requiring a two-thirds shareholder vote to remove directors (with or without cause).
• · Shareholders holding at least 50% of outstanding voting stock can request a special meeting.
• · Quorum for shareholder meetings is set at one-third of outstanding voting stock.
• · The company elects to be governed by Section 21.419 of the Texas Business Organizations Code.
• · The certificate includes an exclusive forum provision (Article XI).

02-10-2026

Georgia Banking Company, Inc. filed Form S-1 with the SEC on October 2, 2026, to register the resale of up to 7,040,514 shares of common stock by existing shareholders. The company is seeking a direct listing on the Nasdaq Capital Market under the symbol 'GBC' without a firm-commitment underwritten IPO, meaning it will not receive any proceeds from the sale. The filing notes that while 2,298,970 shares were sold in private placements in 2026 at $30.00 per share, the opening public price may differ materially, and the company warns that the listing method may cause more volatile trading.

• · The company is classified as a 'non-accelerated filer', 'smaller reporting company', and 'emerging growth company'.
• · The offering is contingent on Nasdaq approval of the listing application; no assurance is given that it will be approved.
• · The company will not receive any proceeds from the sale of shares by the Registered Shareholders.
• · The filing includes a detailed description of Nasdaq's price discovery and launch process involving a 'Display Only' period and a 'Pre-Launch' period managed by Performance Trust Capital Partners, LLC.
• · The securities are not FDIC insured or guaranteed by any governmental agency.

02-10-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

02-10-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

02-10-2026

CareTrust REIT announced a definitive agreement to acquire 45 new UK care homes from LNT Care Developments for approximately £1.1 billion, with the first closing of 24 homes for £576 million (~$764 million) completed on October 1, 2026. The transaction is structured with a lease-up phase followed by a transition to a RIDEA/SHOP structure, expected to be accretive and generate mid-to-high 7% yields. The company also closed ~$488 million of other investments and raised its full-year 2026 guidance, reflecting strong investment activity, though the remaining 21 homes are subject to development and regulatory approvals.

• · First closing of 24 homes occurred on October 1, 2026; one additional home is completed and operating but closing subject to regulatory approval expected in October 2026.
• · Remaining 21 homes are under development, with closings expected on a rolling basis throughout 2027.
• · All homes will be leased to Crystal Care under triple-net leases with fixed annual escalators and renewal options during the Lease-up Phase.
• · SHOP Phase expected to begin between years two and four after each home's completion, with first transition anticipated by Q4 2027.
• · LNT has granted CareTrust an option to acquire the LNT platform in its entirety in the future.
• · Revised FY2026 guidance: net income $1.54-$1.57 per share, Normalized FFO $2.06-$2.09 per share, Normalized FAD $2.02-$2.05 per share.
• · Company has deliberately run below target leverage to maintain capacity for strategic opportunities.
• · LNT founder Lawrence Tomlinson has built more than 250 care homes; LNT delivers at a pace approaching 30 homes per year.

02-10-2026

Nukkleus Inc. (now T3 Defense Inc.) filed an S-3/A shelf registration to offer up to $125,000,000 of common stock, preferred stock, debt securities, warrants, units, and/or subscription rights. The company has pivoted to an aerospace and defense acquisition platform, completing several acquisitions including Star 26 Capital, Tiltan Software Engineering, Nimbus Drones, and I.T.S. However, the filing includes extensive risk factors and forward-looking cautionary statements, and the company retains emerging growth company status with reduced disclosure obligations, indicating potential governance and reporting limitations.

• · Company renamed from Nukkleus Inc. to T3 Defense Inc. effective February 9, 2026
• · Acquisitions closed: Tiltan Software Engineering (December 30, 2025), Star 26 Capital (January 12, 2026), Nimbus Drones (January 15, 2026), I.T.S. (August 29, 2026)
• · Emerging growth company status until December 31, 2024, or until revenue exceeds $1.235 billion, or large accelerated filer status
• · Smaller reporting company may present only two years of audited financials and reduced executive compensation disclosure
• · Principal executive offices: 575 Fifth Ave, 14th Floor, New York, NY 10017

02-10-2026

Global Wealth Strategies & Associates filed its 13F-HR for the quarter ended September 30, 2026, reporting total holdings valued at approximately $545.6 million. The portfolio is heavily weighted toward ETFs, with top positions in Vanguard S&P 500 ETF ($150.6M), iShares Core MSCI EAFE ETF ($49.8M), and Vanguard Total Bond Market ETF ($32.0M). The filing shows a diversified mix of U.S. and international equities, fixed income, and thematic ETFs, with notable holdings in major tech stocks like Apple ($4.4M), Microsoft ($2.3M), and NVIDIA ($2.5M).

• · The filing is a 13F-HR for the quarter ended September 30, 2026, filed on October 2, 2026.
• · The portfolio consists of 114 holdings with a total market value of $545,614,098.
• · The top 10 holdings by value are: Vanguard S&P 500 ETF ($150.6M), iShares Core MSCI EAFE ETF ($49.8M), Invesco QQQ Trust ($36.4M), Vanguard Total Bond Market ETF ($32.0M), iShares U.S. Equity Factor Rotation Active ETF ($27.2M), Vanguard Dividend Appreciation ETF ($25.5M), Invesco Nasdaq 100 ETF ($36.4M), iShares Flexible Income Active ETF ($12.7M), iShares National Muni Bond ETF ($11.6M), and Schwab U.S. Small-Cap ETF ($11.0M).
• · The portfolio has a significant ETF focus, with 80+ ETFs across U.S. equities, international equities, fixed income, commodities, and thematic sectors.
• · Notable individual stock holdings include Apple ($4.4M), Microsoft ($2.3M), NVIDIA ($2.5M), Amazon ($8.6M), Alphabet Class A ($1.0M), Alphabet Class C ($0.6M), Meta Platforms ($0.6M), Tesla ($1.1M), Berkshire Hathaway ($0.6M), JPMorgan Chase ($2.8M), and Visa ($4.4M).
• · The portfolio includes a $4.1M position in Schwab Crypto Thematic ETF, indicating some exposure to the crypto/blockchain theme.
• · There is a $2.2M position in VanEck Uranium and Nuclear ETF, reflecting a thematic bet on nuclear energy.
• · The filing shows a $0.5M position in Space Exploration Technologies Corp. (SpaceX) Class A common stock.
• · The portfolio includes a $0.3M position in ImmunityBio Inc., a biotechnology company.
• · All holdings are listed with sole voting and dispositive power, indicating direct control over the securities.
• · The filing was signed by Adam Wat, Chief Compliance Officer, on October 1, 2026.

02-10-2026

CyberloQ Technologies, Inc. entered into a joint venture with Michigan Secure Capital Group Corp. on September 29, 2026, to develop and commercialize cybersecurity, authentication, and related products. Each party holds a 50% economic interest, with MSCG managing operations. CyberloQ contributed 200,000,000 shares of its Class B Non-Voting Common Stock to the venture, but retains significant control over those shares, including requiring reconveyance upon an uncured material breach by MSCG or the venture.

• · The joint venture is manager-managed, with MSCG having operational authority, subject to specified matters requiring CyberloQ's approval.
• · Neither member transfers ownership of its pre-existing intellectual property merely by permitting its use or integration.
• · CyberloQ may require the venture to reconvey all previously contributed shares free and clear of liens upon an uncured material breach by MSCG or the venture.
• · The venture or MSCG cannot sell, pledge, or otherwise dispose of contributed shares without CyberloQ's prior written consent.

02-10-2026

Quince Therapeutics filed a supplemental proxy statement ahead of its October 6, 2026 special meeting, disclosing that three directors (June Bray, David Lamond, Christopher Senner) have tendered conditional resignations effective upon stockholder approval of three key proposals. The board has conditionally appointed four new directors (Catherine Bonuccelli, Leone Patterson, James Valentine, Drayton Wise) to take effect simultaneously, with specific committee assignments already designated. The proposals include approving the issuance of shares upon conversion of Series C Preferred Stock (which may trigger a change of control under Nasdaq rules), and increasing authorized common shares from 250,000,000 to 275,000,000.

• · The special meeting is scheduled for October 6, 2026.
• · The resignations of June Bray, David Lamond, and Christopher Senner are conditional on stockholder approval of all three proposals and become effective two business days after the special meeting.
• · The Conversion Proposal involves issuing shares representing more than 20% of outstanding Common Stock, which may result in a change of control under Nasdaq Listing Rule 5635(b).
• · The Authorized Shares Proposal seeks to increase the authorized common stock from 250,000,000 to 275,000,000 shares.
• · Catherine Bonuccelli has over 25 years of pharmaceutical experience and was Chief Medical Officer at Bellus Health until its acquisition by GSK in 2023.
• · Leone Patterson is a CPA (inactive) and has served as CFO, CEO, and board member at multiple biotech companies, including as chair of audit committees at Kalaris Therapeutics and Nkarta.
• · James Valentine is a food and drug law attorney with prior FDA experience and serves as Vice Chair of the RARE Foundation board.
• · Drayton Wise led the global launch of ARIKAYCE at Insmed, which became one of the top ten non-oncology rare disease launches in the US.

02-10-2026

Hines Global Income Trust (HGIT) announced a leadership transition effective January 1, 2027: Adam Hines will join Laura Hines-Pierce as Co-CEO, David Steinbach becomes President, Alfonso Munk becomes Global CIO, and Jeff Hines becomes Chairman. Laura will also replace Jeff as CEO and Chair of HGIT, with Adam joining its Board. The discretionary business has grown at approximately 20% CAGR since 2018, and the Private Wealth business has doubled in size. However, the filing does not provide any financial metrics for HGIT itself, and the transition is a planned succession rather than a response to performance issues.

• · Leadership changes effective January 1, 2027.
• · Laura Hines-Pierce has been Co-CEO for over five years.
• · David Steinbach will be the firm's first President.
• · Jeff Hines will become Chairman and step back from day-to-day management.
• · An independent External Advisory Board will be established with no governance authority; Investment Committee authority unchanged.
• · Hines has 4,600 employees in 29 countries and manages approximately $91B in assets (as of June 30, 2026).
• · Private Wealth business has doubled in size under Adam Hines' vision.

02-10-2026

Chief People Officer Jiang Fang sold 885,272 Ordinary Shares at $13.55 (~$12M). Jiang Fang holds 4,679,097 shares after the transaction.

• · Chief People Officer Jiang Fang sold 885,272 Ordinary Shares at $13.55 (~$12M)

01-10-2026

Dogness (International) Corp filed its annual 20-F for the fiscal year ended June 30, 2026, reporting a net loss of $27.6M, a significant widening from the $5.1M loss in fiscal 2025. Revenue declined 23.3% YoY to $15.9M, driven by drops in intelligent pet products and climbing hooks segments, while traditional pet products grew 11.6%. Operating expenses surged 165% to $31.4M, primarily due to increased R&D and marketing costs, leading to a much larger operating loss of $28.8M. The company also highlighted ongoing risks related to PRC legal enforcement, currency conversion restrictions, and dividend payment limitations.

• · Loss per share widened to $1.55 in fiscal 2026 from $0.38 in fiscal 2025.
• · International sales declined 20.2% YoY to $10.9M, while China domestic sales fell 29.3% to $5.0M.
• · Total liabilities remained nearly flat at $19.1M as of June 30, 2026, compared to $19.1M a year earlier.
• · The company transferred $6.0M to HK Dogness for working capital in fiscal 2025, up from $5.3M in fiscal 2024.
• · Operating loss surged to $28.8M in fiscal 2026 from $6.8M in fiscal 2025, driven by a 165% increase in operating expenses.
• · Gross margin declined to 16.0% in fiscal 2026 from 24.3% in fiscal 2025.
• · Current liabilities increased 24.5% to $7.6M as of June 30, 2026 from $6.1M a year earlier.

02-10-2026

Algoma Steel Group Inc. filed a Form 6-K with the SEC on October 2, 2026, attaching a press release dated October 1, 2026. The filing is a routine foreign issuer report and does not contain any financial results or material operational updates.

• · The press release is incorporated by reference into two existing SEC registration statements: Form S-8 (No. 333-264063) and Form F-10 (No. 333-288748).
• · The filing is made under Rule 13a-16 or 15d-16 for the month of October 2026.

02-10-2026

Korea Electric Power Corporation (KEPCO) issued a clarification disclosure on October 2, 2026, regarding media reports from September 3, 2026, about a proposed government plan to merge five of its power generation subsidiaries into a single entity. The company states that the plan is a government proposal under the 'Plan for Functional Reform of Public Institutions' and that specific details have not yet been finalized. KEPCO will provide further updates when details are determined or within three months.

• · The clarification was issued in response to a report titled 'South Korea to merge five power generators, combine oil and gas firms in sweeping energy overhaul'.
• · The proposal involves merging five power generation subsidiaries of KEPCO into a single entity.
• · The company will re-disclose specific details within three months from October 2, 2026, if not determined earlier.

02-10-2026

NIO Inc. reported September and third quarter 2026 delivery numbers. The company delivered 21,322 vehicles in September 2026, bringing Q3 2026 total deliveries to 61,855. While this represents a 10.2% increase from Q2 2026 deliveries of 56,128, it marks a 3.7% decline compared to Q3 2025 deliveries of 64,215, indicating mixed year-over-year performance.

• · September 2026 deliveries were 21,322 vehicles.
• · Q3 2026 total deliveries were 61,855 vehicles.
• · Q3 2026 deliveries declined 3.7% year-over-year compared to Q3 2025 deliveries of 64,215.
• · Sequentially, Q3 2026 deliveries grew 10.2% from Q2 2026 deliveries of 56,128.

02-10-2026

ASP Isotopes Inc. (ASPI) disclosed that ENDRA Life Sciences Inc. filed a Form S-4 Registration Statement with the SEC on October 2, 2026, in connection with the proposed merger of ASPI's subsidiary Noble Africa LLC into ENDRA. The merger, announced on June 25, 2026, involves the transfer of Noble Africa and its subsidiary Renergen Limited to ENDRA, with the combined company expected to list on Nasdaq. The filing is a procedural step in the merger process, and the transaction remains subject to stockholder approval and other conditions.

• · Merger Agreement signed on June 25, 2026
• · Merger Sub will merge with and into Noble Africa, with Noble Africa surviving as a wholly-owned subsidiary of ENDRA
• · Registration Statement on Form S-4 filed by ENDRA on October 2, 2026
• · Combined company expected to list on Nasdaq after closing
• · Potential debt funding from U.S. DFC or Standard Bank SA is anticipated
• · Renergen's Virginia Gas Project continuation and funding timeline are mentioned

02-10-2026

KE Holdings Inc. (BEKE) filed a Form 6-K with the SEC on October 2, 2026, reporting the grant of restricted share units (RSUs) under its equity incentive plan. The filing, signed by CFO Xu Tao, discloses the RSU grant as a routine corporate governance matter. No financial figures or performance metrics were provided in this filing.

• · Filing is a Form 6-K under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934
• · Commission File Number: 001-39436
• · Registrant address: Oriental Electronic Technology Building, No. 2 Chuangye Road, Haidian District, Beijing 100086, People's Republic of China
• · Exhibit 99.1 contains the announcement of the RSU grant
• · The company files annual reports under Form 20-F

02-10-2026

HDFC Bank Ltd announced the appointment of Mr. Anup Bagchi as an Additional Director and as the Managing Director & Chief Executive Officer, replacing Mr. Sashidhar Jagdishan. This is a key leadership change at the top of India's largest private sector bank. No financial figures or performance metrics were disclosed in this filing.

• · The appointment is effective from October 1, 2026.
• · Mr. Anup Bagchi was appointed as an Additional Director and Managing Director & CEO.
• · Mr. Sashidhar Jagdishan was replaced in the role.

02-10-2026

Addex Therapeutics Ltd filed a Form 6-K with the SEC on October 2, 2026, to incorporate a press release by reference into its registration statements. The filing includes standard risk factor disclosures and forward-looking statement cautions, but contains no specific financial data, operational updates, or material business developments.

• · Filing incorporates press release into registration statements on Form F-3 (No. 333-291644) and Form S-8 (Nos. 333-255124 and 333-272515)
• · Company's Annual Report on Form 20-F for FY2025 was filed on May 15, 2026
• · No financial figures, operational metrics, or business developments were disclosed in this filing

02-10-2026

Synaptics Inc. filed a DEFA14A proxy statement in connection with a proposed transaction that will be submitted to stockholders for approval. The filing provides forward-looking statements and directs investors to the forthcoming definitive proxy statement for details on the transaction and participant interests. No financial results or operational metrics were disclosed in this filing.

• · Synaptics' definitive proxy statement was filed with the SEC on September 15, 2026.
• · onsemi's definitive proxy statement was filed with the SEC on April 2, 2026.
• · The proposed transaction will be submitted to Synaptics stockholders at a special meeting.
• · Synaptics' CIK is 817720 for ownership disclosure filings.

02-10-2026

Gulf Resources, Inc. is seeking stockholder approval at its Annual Meeting to amend its 2025 Stock Incentive Plan, increasing authorized shares from 14,000 to 300,000 (an increase of 286,000 shares) to attract and retain talent. The filing also includes a proposal to ratify the appointment of independent accountants. The 2019 Plan will remain frozen with no new grants, and outstanding awards under both plans will continue under their respective terms.

• · The 2019 Plan will remain frozen upon adoption of the Amended 2025 Plan; no new awards will be granted under the 2019 Plan.
• · Outstanding awards under the 2019 Plan will continue to be governed by the 2019 Plan and applicable award agreements.
• · The Amended 2025 Plan will continue in effect until the 10th anniversary of the Effective Date, unless terminated sooner.
• · The Audit Committee recommends a vote 'FOR' ratification of the appointment of independent accountants.
• · The Board of Directors recommends a vote 'FOR' approval of the amendment to the 2025 Stock Incentive Plan.

02-10-2026

KB Financial Group Inc. has filed a Form 6-K with the SEC to disclose the nomination of Jae Keun Lee as an Executive Director for a three-year term. Mr. Lee currently serves as Chief Business Officer of Global, WM and SME at KB Financial Group and previously served as President and CEO of Kookmin Bank from 2022 to 2024. The nomination is subject to shareholder approval at the upcoming Annual General Meeting.

• · Jae Keun Lee was born in May 1966.
• · His term of office is 3 years.
• · This is a new appointment (not a re-appointment).
• · He has been Chief Business Officer of Global, WM and SME since January 2026.
• · He served as President and CEO of Kookmin Bank from January 2022 to December 2024.
• · His career includes roles in sales planning and as CFO of KB Financial Group in 2017.

02-10-2026

BBVA completed the execution of the First Tranche of its New Program Scheme share buyback, acquiring 40,204,840 own shares (approx. 0.73% of share capital) for a maximum amount of €1,000 million. The purchased shares will be used to reduce BBVA's share capital through redemption. The buyback was managed by HSBC Continental Europe, with final transactions on October 1, 2026.

• · The buyback execution is in accordance with EU Regulation No 596/2014.
• · The redemption of all acquired shares is expected to follow the First Tranche.

02-10-2026

Ballard Power Systems Inc. filed a Form 6-K with the SEC on October 2, 2026, reporting the launch of its Fleet360 services for new North American FCmove®-HD+ fleets at APTA EXPO 2026. The announcement, dated October 1, 2026, highlights the company's expansion into aftermarket service offerings for its fuel cell products. No financial figures were provided in this filing.

• · Filing is a Form 6-K under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934.
• · Commission File Number: 000-53543.
• · The company's principal executive office is located at 9000 Glenlyon Parkway, Burnaby, BC V5J 5J8, Canada.
• · The company files annual reports under Form 40-F (not Form 20-F).
• · The news release was dated October 1, 2026, and the report was signed on October 1, 2026.

02-10-2026

Flowco Holdings Inc. (FLOC) closed its acquisition of Lifting Solutions Energy Services Inc. for approximately US$113 million in cash, funded under its ABL facility. The deal adds continuous rod and PCP technologies, expands Flowco's artificial lift portfolio, and provides a platform in Canada and international markets. The transaction is expected to be accretive to earnings and free cash flow per share, with sellers eligible for up to C$10 million in contingent consideration based on 2027 performance.

• · The acquisition was structured on a cash-free, debt-free basis.
• · Flowco funded the cash consideration with borrowings under its ABL facility.
• · The exchange rate used was 0.71 CAD/USD.
• · A conference call and webcast will be held on October 2, 2026 at 7:30 a.m. ET.

02-10-2026

Scully Royalty Ltd. has convened an Extraordinary General Meeting (EGM) for January 12, 2027, following a requisition from shareholders holding 20% of voting rights. The meeting will be held in Hong Kong to vote on resolutions specified in the requisition, the full text of which will be provided in the formal notice. The filing does not disclose the nature of the resolutions or any financial impact.

• · EGM date: January 12, 2027 at 10:00 a.m. Hong Kong time
• · Location: Unit 803, Dina House, Ruttonjee Centre, 11 Duddell Street, Hong Kong, SAR China
• · Requisition threshold: shareholders entitled to exercise 20% of voting rights
• · Resolutions will be set out in the formal notice per Article 16.5 of the company's amended and restated memorandum and articles of association

02-10-2026

Utz Brands, Inc. will hold a Special Meeting on November 13, 2026, for stockholders to vote on a proposed merger with an affiliate of Intersnack Group GmbH & Co. KG. Under the Merger Agreement, each share of Class A Common Stock will be converted into the right to receive $14.25 per share in cash, representing a 91% premium over the closing price on July 20, 2026. The transaction is a going-private deal that has been unanimously recommended by both a Special Committee and the Board (with two directors abstaining), but requires approval from a majority of outstanding shares and a majority of disinterested stockholders.

• · The Special Meeting will be held virtually at www.virtualshareholdermeeting.com/UTZ2026SM.
• · Record date for voting is September 28, 2026.
• · Shares of Class V Common Stock will be canceled for no consideration.
• · The Voting Agreement commits Dylan Lissette, Timothy Brown, and the Rice Family Foundation to vote in favor of the Transaction Proposal.
• · Approval requires both a majority of outstanding shares (Majority Approval) and a majority of disinterested stockholders (Unaffiliated Stockholder Approval).
• · Failure to vote counts as a vote AGAINST the Transaction Proposal for the Majority Approval requirement but has no effect on the Unaffiliated Stockholder Approval requirement.
• · The Board recommendation had two abstentions (Lissette and Brown) due to differing interests.

02-10-2026

Angel Studios, Inc. (ANGX) entered into a Second Amended and Restated Agreement and Plan of Merger to acquire Toothy Cow Productions, LLC through a merger of the company into its wholly owned subsidiary, Angel TCP Merger Sub, LLC. The merger consideration will be paid in shares of Angel Studios Class A Common Stock valued at $5.65 per share, with the transaction intended to qualify as a tax-free reorganization under Section 368(a) of the Internal Revenue Code. The agreement was signed on September 17, 2026, and amends prior agreements dated November 14, 2025, and June 29, 2026.

• · The merger is structured as a tax-free reorganization under Section 368(a) of the Internal Revenue Code.
• · The agreement is the second amendment and restatement of the original merger agreement dated November 14, 2025.
• · Key Operators of Toothy Cow Productions will execute Support Agreements and Key Operator Restriction Agreements.
• · The Buyer Stock Price is fixed at $5.65 per share of Buyer Common Stock.
• · The accounting firm for the transaction is Tanner LLP.

02-10-2026

Lexaria Bioscience Corp. filed an S-3 registration statement with the SEC on October 1, 2026, allowing selling stockholders to offer and sell shares of common stock from time to time. The company highlights progress in its DehydraTECH drug delivery technology, including a chronic human study (GLP-1-H24-4) that met safety endpoints and showed a 54.9% reduction in GI adverse events for DehydraTECH-semaglutide and 60.6% for DehydraTECH-tirzepatide versus Rybelsus. However, the DehydraTECH formulations did not achieve comparable or improved weight loss versus the Rybelsus control, and the company continues to face risks typical of a development-stage biotechnology firm.

• · The registration statement gives retroactive effect to a 1-for-15 reverse stock split effective July 29, 2026.
• · The S-3 covers shares held by selling stockholders, not a primary offering by the company.
• · DehydraTECH-semaglutide formulation was top for HbA1c reduction but not statistically significant vs Rybelsus.
• · DehydraTECH-CBD arm showed meaningful blood pressure reductions, though not a study endpoint.
• · Results from GLP-1-H26-7 are anticipated in Q2 FY2027; results from GLP-1-A26-1 in Q1 FY2027.
• · GLP-1-A26-2 is the first investigation of DehydraTECH with retatrutide and amycretin.