US SEC Filings Daily Market Digest — October 05, 2026

05-10-2026

Ascent Partners Fund LLC and related entities filed an exit Schedule 13G/A with the SEC on October 5, 2026, reporting that as of August 27, 2026, they exercised all warrants to purchase and sold all remaining shares of C3is Inc. common stock. Consequently, the reporting persons now beneficially own zero shares of C3is Inc., representing a complete exit from their investment.

• · The exit filing covers nine reporting persons including Ascent Partners Fund LLC, Ascent Partners LLC, Dominion Capital LLC, Dominion Capital GP LLC, Eagle Claw Corp., Masada Group Holdings LLC, Mikhail Gurevich, Gennadiy Gurevich, and Alon Brenner.
• · All warrants were exercised and all remaining common shares were sold as of August 27, 2026.
• · The filing is an amendment to a Schedule 13G originally filed on August 4, 2026.

05-10-2026

Bold Eagle Acquisition Corp. is seeking shareholder approval at an October 20, 2026 extraordinary general meeting to extend the deadline for its initial business combination from October 25, 2026 to June 25, 2027. The company has already signed a Business Combination Agreement with REDLattice on September 25, 2026, but needs more time to complete the transaction. If the extension is approved, public shareholders may redeem their shares at approximately $10.70 per share; however, there is no assurance the business combination will close by the extended date, and if the extension is not approved, the company will liquidate and redeem all public shares.

• · The company entered into a Business Combination Agreement with REDLattice on September 25, 2026.
• · If the extension is not approved and no business combination occurs by October 25, 2026, the company will redeem 100% of Public Shares and liquidate.
• · Rights (entitling holders to 1/20 of a Class A Share upon a business combination) will expire worthless in a liquidation.
• · Sponsor and insiders may purchase Public Shares from redeeming investors at no more than the redemption price, but have no current commitments to do so.
• · The Adjournment Proposal is only presented if there are insufficient votes for the Extension Amendment Proposal.

05-10-2026

Profusa, Inc. entered into Amendment No. 1 to its Senior Secured Convertible Promissory Note with Ascent Partners Fund LLC, effective October 4, 2026. The amendment reduces the Floor Price to $0.338 and sets the Conversion Price at the greater of $1.20 or 95% of the lowest daily VWAP over the prior five trading days (subject to the Floor Price). Additionally, certain conversion-related provisions (Sections 5(b) and 5(c)) were waived for three other notes totaling approximately $1.43 million. The company reaffirmed all liens and guarantees, and released the holder from certain claims. No financial performance metrics are provided in this filing.

• · The amendment sets a new Floor Price of $0.338 per share for conversion of the amended note.
• · The Conversion Price is defined as the greater of $1.20 or 95% of the lowest daily VWAP over the five trading days prior to conversion, but not less than the Floor Price.
• · Waivers of Sections 5(b) and 5(c) were granted for three other notes totaling approximately $1.43 million in principal.
• · The amendment does not constitute a novation and all existing liens and guarantees remain in full force.
• · The company released Ascent and its related parties from any and all claims related to the transaction documents.

05-10-2026

Zhihu Inc. filed a Form 6-K with the SEC on October 5, 2026, attaching five Next Day Disclosure Returns dated September 28, 29, 30, and October 2, 2026 (two on October 2). These disclosures are routine filings under Hong Kong listing rules and do not contain financial results or material operational updates.

• · The filing includes five Next Day Disclosure Returns, with two filed on October 2, 2026.
• · No financial figures or operational metrics were disclosed in the filing.

05-10-2026

Sino Green Land Corp. (SGLA) entered into a stock purchase agreement to acquire 80% of Hi-Quality Productions Inc. for a total consideration of US$1,800,000, payable in three tranches (30% cash, 70% stock at US$0.60/share). The deal includes an earn-out adjustment based on Hi-Quality's FY2026 net income, which could increase total consideration to US$1,980,000 or reduce it below US$1,800,000. The transaction is subject to due diligence and other closing conditions, with the seller retaining a 20% stake and agreeing to a 5-year non-compete in the U.S. RPET business.

• · The Hi-Quality SPA includes an earn-out adjustment: if Hi-Quality's FY2026 audited net income exceeds US$550,000, Total Consideration increases to US$1,980,000; if between US$450,000 and US$550,000, it remains US$1,800,000; if below US$450,000, it equals US$1,800,000 multiplied by net income divided by US$500,000.
• · The Third Tranche is subject to the earn-out adjustment; the adjusted Total Consideration less US$1,260,000 previously paid is payable 30% in cash and 70% in stock.
• · If the adjusted Total Consideration is below US$1,260,000, the Seller must refund the difference within 30 days.
• · If the Company uplists to Nasdaq and the VWAP during the first 20 trading days is below US$0.60, the Company must pay the Seller the per-share difference for each share issued or issuable.
• · The Company may terminate the Hi-Quality SPA if due diligence finds customer concentration exceeding 60% of Hi-Quality's revenue.
• · The Seller agreed to a 5-year non-compete in the U.S. RPET business and a 12-month full-time service commitment post-closing.
• · The securities issued under the Hi-Quality SPA are unregistered and exempt under Section 4(a)(2) and/or Rule 506 of Regulation D.
• · The closing is subject to the Company's 45-day due diligence review after September 30, 2026, and other conditions.

05-10-2026

New Fortress Energy Inc. (NFE) disclosed that its Fast LNG unit is offline due to a mechanical issue with the facility's gas turbine. The company is working with the turbine manufacturer to restore operations and expects the unit to return to service during the fourth quarter of 2026. This operational disruption may impact production and revenue, though no specific financial impact or prior-period comparisons were provided.

• · The Fast LNG unit is offline due to a mechanical issue with the gas turbine.
• · NFE is actively working with the turbine manufacturer to return the unit to operation.
• · The company expects the Fast LNG unit to return to service during Q4 2026.
• · No financial impact or production volume estimates were disclosed.

05-10-2026

KE Holdings Inc. filed a Form 6-K with the SEC for October 2026, attaching five Next Day Disclosure Returns dated September 28–October 2, 2026. The filing is a routine foreign issuer report and does not contain any financial results, material events, or operational updates.

05-10-2026

Almonty Industries Inc. filed a Form 6-K with the SEC on October 5, 2026, covering the month of October 2026, and included a press release dated October 2, 2026, as Exhibit 99.1. The filing is a routine foreign private issuer report under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934. No financial figures or operational metrics were disclosed in the filing.

• · Filing date: October 5, 2026
• · Press release date: October 2, 2026
• · Commission File Number: 001-42737
• · Principal executive offices: 8 South Idaho Street, Suite A, Dillon, Montana 59725, USA
• · Registrant files annual reports under Form 40-F

05-10-2026

Advance JV Group Ltd filed a Form NT 20-F on October 5, 2026, notifying the SEC that it will be unable to file its annual report (Form 20-F) for the fiscal year ended May 31, 2026 by the prescribed due date. The company needs additional time to review its financial statements and expects to file the report within the 15-day grace period. The registrant does not anticipate any significant change in results of operations from the prior fiscal year.

• · Filing deadline extension: Form 20-F due for fiscal year ended May 31, 2026.
• · Reason for delay: additional time needed to review financial statements.
• · Expected filing date: within 15 calendar days after the prescribed due date.
• · All other periodic reports under Section 13 or 15(d) of the Exchange Act have been filed on time.
• · No significant change in results of operations is anticipated compared to the prior fiscal year.

05-10-2026

HDFC Bank Ltd filed a Form 6-K with the SEC for October 2026, confirming its status as a foreign private issuer. The filing includes an intimation (Exhibit 99) but no financial results or material events were disclosed. The report was signed by Company Secretary Ajay Agarwal.

• · Filing is a routine Form 6-K for the month of October 2026.
• · Exhibit 99 is described as 'Intimation' but no further details are provided in the filing.
• · No financial data, material events, or regulatory actions are mentioned.

05-10-2026

Suncor Energy announced on October 4, 2026, that it will divest non-core offshore assets and increase shareholder returns. The company filed this as a Form 6-K with the SEC, indicating a strategic portfolio simplification and capital allocation shift. No financial details were provided in the filing.

• · The news release is dated October 4, 2026, and the filing was made on October 5, 2026.
• · The filing is a Form 6-K under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934.
• · Suncor files annual reports under Form 40-F.

05-10-2026

Omega Healthcare Investors, Inc. (OHI) filed a Form 8-K on October 5, 2026, to disclose a press release announcing a portfolio transition transaction. The press release is attached as Exhibit 99.1. No financial details or specific terms of the transaction were provided in the filing.

• · The press release was issued on October 5, 2026, and is attached as Exhibit 99.1.
• · The filing is furnished under Item 7.01 (Regulation FD Disclosure) and includes Item 9.01 (Exhibits).
• · The transaction involves a portfolio transition, but no specific details are disclosed in the 8-K.

05-10-2026

ORIX Corp disclosed the status of its ongoing share repurchase program authorized on May 11, 2026. As of September 30, 2026, the company had repurchased 22,073,800 shares for a total of JPY 138,979,581,400, representing about 55.6% of the total authorized repurchase amount of up to 250 billion yen. The repurchase period runs through March 31, 2027, indicating the company is actively deploying capital to return value to shareholders.

• · The repurchase program was authorized on May 11, 2026 and runs through March 31, 2027.
• · In September 2026 alone, ORIX repurchased 4,021,800 shares for JPY 24,893,849,100.
• · The maximum authorized repurchase is up to 100,000,000 shares, representing approximately 9.1% of total outstanding shares.

05-10-2026

Bowman Consulting Group Ltd. (BWMN) is soliciting stockholder approval for a merger agreement with entities affiliated with Bernhard Capital Partners. Under the deal, stockholders will receive $43.00 per share in cash, and the company will be delisted from Nasdaq. The board unanimously recommends a 'FOR' vote on the merger and adjournment proposals at a special meeting on November 4, 2026.

• · The Merger Agreement was entered into on August 10, 2026.
• · The special meeting will be held on November 4, 2026, at 9:30 a.m. Eastern time as a virtual meeting.
• · The record date for voting is October 1, 2026.
• · The affirmative vote of a majority of outstanding shares is required to approve the Merger Proposal.
• · Dissenting stockholders have appraisal rights under Delaware law.
• · The company's financial advisor, BofA Securities, provided an opinion on the merger, attached as Annex B.

05-10-2026

Verra Mobility filed an amendment to its 8-K disclosing the terms of Jon Keyser's separation agreement as he steps down as Interim President and CEO. Jon Newhard has been appointed as President and CEO effective November 1, 2026. Keyser will receive cash severance of $650,000, full vesting of a $2,250,000 RSU award, and a $2,200,110 cash retention payment (66.67% of a $3,300,000 award), with the remaining $1,099,890 forfeited; he is also eligible for a discretionary FY2026 bonus and a $200,000 transition bonus subject to Board approval.

• · Keyser will serve as Special Advisor through December 31, 2026 to support the CEO transition.
• · Separation is treated as termination without Cause under his Employment Agreement.
• · If Keyser is terminated other than for Cause before the Separation Date, he remains eligible for severance but not bonuses.
• · The FY2026 annual bonus is discretionary, with prorated targets: 75% bonus target Jan1-Jun1, 100% bonus target Jun2-Dec31; no minimum guaranteed.
• · The transition bonus of $200,000 requires continued employment through Separation Date, release conditions, and Board determination of satisfactory support.
• · Payments and benefits accelerate upon a Change in Control before December 31, 2026 or Keyser's death/disability during the transition.
• · Keyser reaffirmed post-employment restrictive covenants; material breach with 10-day cure period results in forfeiture and repayment of certain payments.

05-10-2026

Artificial Intelligence Technology Solutions Inc. (AITX) filed an 8-K on October 5, 2026, to announce a press release regarding its subsidiary RAD (Robotic Assistance Devices) expanding its relationship with a global logistics client that helped shape its solutions. The filing is a routine disclosure of a press release and does not contain any financial data, performance metrics, or material changes to the company's operations.

• · The press release is titled 'AITX's RAD Expands with Global Logistics Client That Helped Shape Its Solutions'.
• · The filing explicitly states the information is furnished under Item 8.01 and is not deemed 'filed' for purposes of Section 18 of the Exchange Act, nor incorporated by reference in other filings.

05-10-2026

Apex Critical Metals Corp. announced assay results from step-out drilling at its Rift property, extending the Trinity Zone by 200 meters. The drilling returned 3.55% total rare earth oxide (REO) over 116.0 meters and 2.35% REO over 171.5 meters, indicating significant mineralization in the western extension.

• · The press release is dated October 5, 2026.
• · The drilling is part of a western step-out program at the Rift property.
• · The Trinity Zone was extended by 200 meters.

05-10-2026

Spark I Acquisition Corp. disclosed that shareholders redeemed 609,668 Class A ordinary shares for approximately $7.1 million (about $11.68 per share) from its trust account following an extension vote. Approximately $19.0 million remains in the trust account, and the company now has 6,445,104 Class A ordinary shares outstanding. The extension moves the deadline for its initial business combination from September 29, 2026 to March 29, 2027.

• · The extension was approved at an extraordinary general meeting held on September 25, 2026.
• · The redemption price of $11.68 per share reflects the pro rata portion of the trust account including interest.
• · The company's Class A ordinary shares outstanding consist of 1,627,045 shares from the IPO and 4,000,000 shares converted from Class B shares held by the sponsor.
• · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

05-10-2026

Niu Technologies filed a Form 6-K with the SEC on October 5, 2026, attaching a press release as Exhibit 99.1. The filing does not contain any financial results or quantitative data, only a procedural report of a press release.

• · The filing is a Form 6-K for the month of October 2026.
• · The press release (Exhibit 99.1) is referenced but its content is not included in the filing text.
• · The report is signed by Fion Zhou, Director and CFO.

05-10-2026

Vertical Aerospace Ltd. appointed Clyde Woltman, former CEO of Leonardo Helicopters US, to its Board effective October 5, 2026, following the resignations of Carsten Stendevad and James Keith Brown. The appointment was proposed by Mudrick Capital Management under its director appointment rights. This board change reflects ongoing governance adjustments but does not include any financial metrics.

• · Clyde Woltman served as CEO of Leonardo Helicopters US from 2022 to 2026.
• · Woltman is a retired U.S. Marine Corps Colonel with experience in military aviation, operations, strategy, and program delivery.
• · Resignations of Stendevad and Brown were effective October 5, 2026.
• · The appointment was made under Mudrick Capital's director appointment rights in the company's amended and restated memorandum and articles of association.

05-10-2026

Neo-Concept International Group Holdings Ltd held its 2026 Annual General Meeting on October 5, 2026, after being adjourned from September 28 due to lack of quorum. All resolutions presented were duly passed. The company also adopted a Third Amended and Restated Memorandum and Articles of Association.

• · The AGM was originally scheduled for September 28, 2026, but was adjourned due to lack of quorum.
• · The adjourned meeting was held on October 5, 2026, at the same venue.
• · The record date for voting was September 8, 2026.
• · The Third Amended and Restated Memorandum and Articles of Association was adopted via special resolution and filed as Exhibit 99.1.

05-10-2026

Alterity Therapeutics Ltd filed a Form 6-K on October 5, 2026, announcing new analyses of Phase 2 data for its lead drug candidate ATH434 in Multiple System Atrophy (MSA). The filing is a development-stage biotech update with no financial results or period-over-period comparisons.

• · The filing incorporates by reference into three Form S-8 registration statements (File Nos. 333-251073, 333-248980, 333-228671) and one Form F-3 registration statement (File No. 333-274816).
• · The company is classified as a development stage enterprise.
• · Principal executive offices are located in Melbourne, Australia.

05-10-2026

Toyota Motor Corporation repurchased 35,554,800 shares of its common stock for JPY 108,506,196,300 (~$1.0B) through open market purchases during September 2026. The repurchases are part of a larger buyback program authorizing up to 500 million shares for up to JPY 1,000 billion (~$9.2B) through August 2027. The September activity represents approximately 7.1% of the total authorized share count and 10.9% of the total authorized buyback amount.

• · The repurchase program runs from August 5, 2026 to August 4, 2027.
• · All repurchases were executed through open market purchases.

05-10-2026

New Iceland Arctic Acquisition Corp. filed an S-1 registration statement with the SEC on October 2, 2026, for an initial public offering of 10,000,000 units at $10.00 per unit, with total gross proceeds of $100,000,000 ($115,000,000 if the over-allotment option is exercised in full). The SPAC will deposit the proceeds into a trust account and must complete an initial business combination within 12 months of the offering closing. However, the filing highlights significant risks: the Sponsor acquired founder shares at a nominal price, creating a conflict of interest where management could profit even if the business combination subsequently declines in value for public shareholders, and the net tangible book value per share after the offering is negative under certain redemption scenarios (e.g., -$0.38 per share assuming no over-allotment and maximum redemption).

• · The company is an 'emerging growth company' and a 'smaller reporting company' under federal securities laws, subject to reduced public company reporting requirements.
• · The underwriter is offering the public units on a firm commitment basis.
• · The trust account is established by Continental Stock Transfer & Trust Company as trustee.
• · The company is incorporated in the Cayman Islands and no offer is being made to the public in the Cayman Islands.
• · The founder shares (Class B ordinary shares) were purchased by the Sponsor at a nominal price, leading to immediate and substantial dilution for public shareholders upon closing.
• · The Sponsor and initial shareholders have a conflict of interest: they could profit even if the business combination causes the trading price of ordinary shares to decline materially.
• · If no business combination is completed within the 12-month completion window, the founder shares and private units may become worthless.
• · The company's securities are expected to trade on Nasdaq under symbols 'NIAA', 'NIAAW', and 'NIAAR' for Class A ordinary shares, public warrants, and public rights, respectively.
• · The underwriter has committed to use $0.20 per unit from the underwriting discount to purchase private placement units.
• · Deferred underwriting commissions of $0.30 per public unit ($3,000,000 aggregate) will be placed in the trust account and released only upon completion of an initial business combination.

05-10-2026

Equity Bancshares Inc. filed an S-4 registration statement with the SEC on October 2, 2026, in connection with its merger with Lincoln Bancorp, a private company. The filing includes Lincoln's unaudited financial statements for the six months ended June 30, 2026, which show a net loss of $13.19 million (compared to a net loss of $1.207 million in the prior period), driven by a $15.69 million realized loss on the sale of available-for-sale debt securities. While net interest income improved 4.2% to $22.684 million, total noninterest income swung to a loss of $9.297 million from a gain of $5.920 million, and total assets declined 2.2% to $1.722 billion.

• · Lincoln Bancorp is a private company and does not file reports with the SEC.
• · The merger consideration consists of shares of Equity common stock.
• · Lincoln's net interest margin improved as interest expense declined 17.6% (H1 2026 vs H1 2025) while interest income fell only 7.4%.
• · Noninterest expense increased 10.6% to $30.824 million in H1 2026 from $27.866 million in H1 2025.
• · Total stockholders' equity remained nearly flat at $137.590 million (Jun 30, 2026) vs $137.814 million (Dec 31, 2025).
• · The company's accumulated other comprehensive loss improved to -$10.301 million from -$22.492 million due to gains on AFS securities and cash flow hedges.

05-10-2026

Pulmatrix, Inc. filed an S-3/A registration statement to register up to 491,607 shares of common stock for resale by a selling stockholder, including 37,061 dividend shares. The shares are issuable upon conversion of Series B Convertible Preferred Stock issued under a Purchase Agreement. The company will not receive any proceeds from the sale, and the offering may cause substantial dilution to existing stockholders, potentially depressing the market price of the common stock.

• · The company will not receive any proceeds from the sale of the conversion shares by the selling stockholder.
• · The selling stockholder has no material relationship with the company except for the preferred shares issued under the Purchase Agreement.
• · The registration statement is filed to comply with the Purchase Agreement requirement to register conversion shares within 60 days following the closing date.
• · The company may incur substantial costs for future capital financing, including investment banking, legal, and accounting fees.
• · Future equity offerings may dilute stockholders' ownership and could depress the market price of the common stock.

05-10-2026

Quantum Space, LLC is merging with SPAC Inflection Point Acquisition Corp. VI via a business combination, with the combined entity to be named Quantum Space, Inc. The S-4 registration statement, filed October 2, 2026, details the transaction, including the issuance of up to 106,680,270 shares of Class A-1 common stock, 6,272,380 shares of Series A preferred stock, and warrants. The deal is subject to shareholder approval and regulatory effectiveness, with no financial performance data disclosed in this filing.

• · The Business Combination Agreement was approved by Inflection Point's board on June 7, 2026, and signed on June 8, 2026.
• · The transaction includes a domestication of Inflection Point from the Cayman Islands to Delaware, followed by a merger with Merger Sub.
• · Quantum Space will undergo a recapitalization, converting most equity into common units, with exceptions for Series B convertible preferred units and warrants issued to Pre-Funded PIPE Investors.
• · The combined company will operate under an Up-C structure, with Quantum Space OpCo as a subsidiary.
• · The registration statement is not yet effective, and securities may not be issued until SEC approval.

05-10-2026

Vistra Operations Company LLC, a subsidiary of Vistra Corp., entered into an Eleventh Amendment to its Credit Agreement dated September 30, 2026, which extends the Revolving Credit Maturity Date and amends certain provisions. The amendment increases the total revolving credit commitments to $1.75 billion, with participation from 20 lenders including Citibank, JPMorgan Chase, and Bank of America. The amendment became effective upon satisfaction of customary conditions, including payment of an upfront fee of 0.05% of each lender's commitment.

• · The amendment extends the Revolving Credit Maturity Date under the original Credit Agreement dated February 4, 2022.
• · The amendment was executed by the Borrower, the Lenders, and Citibank, N.A. as Administrative Agent and Collateral Agent.
• · New Revolving Lenders were added and automatically deemed to have purchased interests in outstanding Revolving Credit Loans ratably.
• · Conditions precedent included delivery of a solvency certificate, good standing certificate, legal opinion from Sidley Austin LLP, and compliance with know-your-customer requirements.
• · The upfront fee paid to each lender was 0.05% of their respective commitment.

05-10-2026

Rallybio Corp filed Amendment No. 3 to its S-4 registration statement in connection with its proposed merger with Avenzo Therapeutics, which will result in Avenzo becoming a public company. The filing details the structure of the merger, including the issuance of contingent value rights (CVRs) to Rallybio stockholders, which are uncertain and may never pay out. The merger poses significant risks, including potential dilution, uncertain consideration value, and the possibility of the merger not closing, while Rallybio continues to incur losses and has no commercialized products.

• · The Rallybio CVRs will not be registered with the SEC, will not have voting or dividend rights, and will not represent any equity or ownership interest.
• · The CVR Agreement will be entered into one business day following the Closing, and Avenzo intends to waive the condition requiring its delivery at Closing.
• · The combined company's executive officers will be designated by Avenzo, with Athena Countouriotis as CEO.
• · Rallybio expects any Parent Distribution after Closing to be treated as other than a dividend for U.S. federal income tax purposes due to its accumulated deficit.
• · Risks include potential delisting from Nasdaq, heavy dependence on early-stage RLYB116, and the possibility that the merger may not be completed.
• · Rallybio has never generated revenue from product commercialization and may never achieve profitability.

05-10-2026

Co-Diagnostics, Inc. (CODX) disclosed that its Annual Meeting of Stockholders, reconvened multiple times from September 3 through September 30, 2026, failed to achieve a quorum each time, preventing any business from being transacted. The meeting has been further adjourned to October 14, 2026, at the company's offices in Salt Lake City. While proxies already submitted remain valid for the next adjourned meeting, the repeated lack of a quorum indicates low shareholder engagement and raises governance concerns.

• · The Annual Meeting was initially scheduled for September 3, 2026, and later adjourned to September 24, then to September 30 — all without a quorum.
• · The next adjourned meeting is set for October 14, 2026, at 9:30 a.m. Mountain Time.
• · Proxies submitted before the July 21, 2026 proxy statement remain valid unless changed or revoked.

05-10-2026

Bitzero Holdings Inc. filed a Form 6-K with the SEC on October 5, 2026, reporting that it has engaged and renewed investor relations providers to expand its capital markets program, as disclosed in a news release dated October 2, 2026. The filing was signed by CEO Mohammed Bakhashwain. No financial results or material operational changes were disclosed.

• · The filing is a routine report of a foreign private issuer under Rule 13a-16 or 15d-16.
• · The company's principal executive offices are located in Vancouver, British Columbia, Canada.
• · The company files annual reports under Form 40-F.

05-10-2026

PicoCELA Inc. reported that on September 30, 2026, an investor, About Investment Pte. Ltd., converted 5,000,000 Class A Preferred Shares into 5,000,000 common shares. Separately, the company's board reduced the transfer restriction period on certain restricted shares held by Chairman Hiroshi Furukawa and COO Hideaki Horikiri from 20 years to 10 years, and both executives returned a combined 5,000,000 restricted shares to the company for no consideration, which the company will hold as treasury shares. As a result, as of September 30, 2026, the company had 9,613,805 common shares and 15,000,000 preferred shares outstanding.

• · The conversion of preferred shares to common shares was requested by the investor via a notice dated September 30, 2026.
• · The transfer restriction period on restricted shares was reduced from 20 years to 10 years by a board resolution on September 28, 2026.
• · The returned restricted shares (5,000,000 total) will be held by the company as treasury shares.

05-10-2026

Silvercorp Metals Inc. filed a Form 6-K with the SEC for October 2026, reporting the results of its 2026 Annual General and Special Meeting held on October 2, 2026. The filing includes a news release (Exhibit 99.1) detailing the meeting outcomes. No specific financial results or operational metrics were disclosed in this filing.

• · The filing is a Form 6-K for the month of October 2026.
• · The registrant files annual reports under Form 40-F.
• · The meeting results were reported via a news release dated October 2, 2026.

05-10-2026

MOBIX LABS, INC. held a Special Meeting of Stockholders on October 2, 2026, where all four proposals were approved by shareholders. Proposals included a Reverse Split Amendment, the 2023 Equity Incentive Plan Amendment, and two issuance proposals (Kips and Leviston). The meeting had 52.45% voting power represented, with 9,416,734 shares of Class A Common Stock present, constituting a quorum.

• · Record date for the meeting was September 8, 2026.
• · Proposal 1 (Reverse Split Amendment) had the highest number of FOR votes at 7,680,758.
• · Proposals 2, 3, and 4 each had 5,122,893 broker non-votes, indicating significant institutional holder abstention.
• · Proposal 2 (2023 Equity Incentive Plan Amendment) had the lowest FOR votes among the four proposals at 2,747,842.
• · The company is classified as an emerging growth company under SEC rules.

05-10-2026

Tigerless Health, Inc. filed Form S-4 for a business combination with SPAC PVAC. The filing details a post-merger dual-class stock structure where Zikang Wu will hold all Class B common stock and 100% voting control, while public Class A common stock will have no voting rights. The filing warns that the trading price of PVAC Ordinary Shares post-combination may be substantially below the Trust Account per-share value, and that there is no maximum redemption threshold, allowing the deal to proceed even if a substantial majority of shareholders redeem.

• · No maximum redemption threshold exists, allowing the business combination to close even if a substantial majority of shareholders redeem.
• · Shareholders acting as a group holding more than 15% of Public Shares lose redemption rights for shares exceeding that threshold.
• · Redemption deadline is 5:00 p.m. ET on [•], 2026 (two business days before the Shareholder Meeting).
• · Obtaining physical stock certificates may take significantly longer than two weeks, potentially preventing shareholders from meeting the redemption deadline.
• · Pubco will be a 'controlled company' under Nasdaq rules and may opt out of independent director and committee requirements.
• · The filing warns that shares of most recent SPAC-business-combination companies have traded substantially below $10.00 per share.
• · Litigation risk is highlighted, including potential securities class actions related to the business combination.

05-10-2026

Itaú Unibanco Holding S.A. filed a Form 6-K with the SEC for the month of October 2026, as a routine foreign issuer report. The filing contains no financial data, business updates, or material events beyond the standard regulatory submission.

05-10-2026

Tenon Medical, Inc. filed an S-3 registration statement with the SEC on October 2, 2026, to register securities for future sale. The company is a medical device firm focused on sacroiliac (SI) joint fusion, with two systems: the Catamaran System (launched nationally in October 2022) and the SImmetry+ System (acquired in August 2025). The filing highlights a large market opportunity (over 30 million American adults with chronic lower back pain, 15-30% associated with the SI joint) but also notes low surgical penetration (5-7%) due to complex approaches and suboptimal implant designs. No specific financial figures or period-over-period comparisons are provided in this filing.

• · Tenon Medical was incorporated in Delaware on June 19, 2012, and relocated from San Ramon, CA to Los Gatos, CA in June 2021.
• · The Catamaran System received FDA clearance in 2018 and was nationally launched in October 2022.
• · In August 2025, Tenon acquired substantially all assets of SiVantage, Inc. and SIMPL Medical, LLC, including the SImmetry+ System.
• · The company is an 'emerging growth company' under the JOBS Act.
• · The filing is a shelf registration (Form S-3) with SEC file number 333-299284.

05-10-2026

Adial Pharmaceuticals filed a DEFA14A on October 5, 2026, disclosing that its 2026 Annual Meeting, reconvened on October 1, 2026, was further adjourned to October 15, 2026, because Nasdaq had not yet approved the company's Initial Listing Application. The vote on Proposals 3, 4, 5, and 6 remains open, while Proposals 1, 2, 7, 8, 9, 10, 11, and 12 were already voted on at the September 17, 2026 meeting. The filing indicates a continued delay in obtaining a critical Nasdaq approval, creating uncertainty around the proposals tied to the listing application.

• · The adjourned meeting will reconvene on October 15, 2026 at 8:30 a.m. Eastern Time at the company's offices in Charlottesville, Virginia.
• · The record date for the 2026 Annual Meeting remains August 17, 2026.
• · Stockholders who have already submitted proxies for Proposals 3, 4, 5, and 6 do not need to take further action unless they wish to change their vote.
• · The Definitive Proxy Statement was filed with the SEC on August 24, 2026.

05-10-2026

Jasper Therapeutics completed its acquisition of Kira Pharmaceuticals on July 16, 2026, issuing 5,195,009 shares of voting common stock and 4,644,977 shares of non-voting convertible preferred stock (each convertible into 61 common shares) to Kira shareholders, plus additional shares for assumed options and SAFEs. Concurrently, the company raised approximately $132.0 million through a private placement of preferred stock (PIPE) and entered into a contingent value rights agreement providing up to $30.0 million if the FDA issues a Priority Review Voucher for briquilimab by December 31, 2028. This 8-K/A amendment refiles Exhibit 99.3 (unaudited pro forma financials) in its entirety due to a clerical error in the prior amendment, with no other changes to the original filing.

• · The 8-K/A is Amendment No. 2, filed solely to refile Exhibit 99.3 in its entirety due to a clerical error in Amendment No. 1; no other information was amended.
• · The pro forma financial information gives effect to the Merger, Financing, CVR distribution, and Mirador License Agreement as if they occurred on June 30, 2026 (balance sheet) and January 1, 2025 (statements of operations).
• · The Company must file a resale registration statement for shares issuable upon conversion of PIPE Securities within 90 calendar days of the Purchase Agreement.
• · A shareholders' meeting will be held to approve the conversion of Preferred Stock into Common Stock, ratify the appointment of Patrick Crutcher to the Board, and approve an increase in authorized Common Stock.
• · The Mirador License Agreement was entered into on July 13, 2026, in contemplation of the Merger and Financing, and Mirador participated as an investor in the Financing.

05-10-2026

Aibotics, Inc. entered into a Share Exchange Agreement to acquire 100% of Empulser Enterprises LLC in exchange for up to $22,000,000 in Series C Preferred Stock, structured as a tax-free reorganization. The deal includes a 36-month earn-out with ten milestones, and the company intends to appoint Patrick Tsang as CEO upon closing. However, the transaction is subject to numerous conditions and may not close, and the company's current financial position is not disclosed.

• · The Exchange Agreement may be terminated by either party if closing has not occurred within 90 days after the agreement date, or if a closing condition has not been satisfied or waived by January 2, 2027.
• · Empulser must reimburse the Company's reasonable documented out-of-pocket expenses if the Company terminates for breach or material adverse change.
• · The Company may advance up to $2,000,000 to Empulser before closing, secured by a first priority security interest in all of Empulser's assets.
• · The Series C Preferred Stock has no voting rights except as required by law and on certain amendments; holders may not own more than 4.9% of outstanding common stock upon conversion.
• · The transaction is intended to qualify as a tax-free reorganization under Section 368 of the Internal Revenue Code, but no assurance is given.
• · The Company must be current in its SEC and/or OTC Markets filings and labeled 'Current' on OTC Markets as a condition to closing.
• · Empulser must deliver audited financial statements prepared under U.S. GAAP reasonably satisfactory to the Company and its independent registered public accounting firm.

05-10-2026

TIM S.A. (TIMB) disclosed the final results of Poste Italiane's voluntary public tender and exchange offer for Telecom Italia ordinary shares. Poste Italiane achieved an aggregate interest of approximately 85.823% of Telecom Italia's share capital, representing 1,832,941,911 shares, and subsequently increased its holding to approximately 86.952% after additional market purchases. The settlement of consideration occurred on October 2, 2026, and TIM will keep shareholders informed of further material developments.

• · The offer was initially announced via a material fact on September 18, 2026.
• · Following the market purchases on October 1, 2026, Poste Italiane held a total of 1,857,060,167 Telecom Italia shares, representing approximately 86.952% of the share capital.

05-10-2026

Curaleaf Holdings, Inc. disclosed on Form 8-K that its Compensation Committee and Board approved new compensation arrangements for Chairman and CEO Boris Jordan, effective September 28, 2026. The arrangements include an increase in his 2027 short-term incentive target from 125% to 200% of base salary, a discretionary target bonus of $1 million for strategic targets to be evaluated in March 2028, and a one-time grant of 1,344,275 time-based restricted stock units with a grant date fair value of $15,448,435, vesting in full on January 5, 2028. The changes are intended to support the company's performance and strategic objectives.

• · The RSU grant vests in full on January 5, 2028.
• · The discretionary bonus award amount will be determined in March 2028.
• · The RSU grant was made under Curaleaf's 2018 Stock and Incentive Plan.
• · The compensation changes were approved by the Compensation Committee and the Board on September 28, 2026.

05-10-2026

Banco Bradesco S.A. announced the ratification of a capital increase by its Board of Directors, following the successful auction of remaining unsubscribed shares. The capital increase totals R$10,000,000,000.00 (approximately $1.8B USD) through the issuance of 604,852,753 new shares, and remains subject to ratification by the Central Bank of Brazil (BACEN). The auction generated an additional premium of R$3,307,054.32, which will be allocated to a capital reserve.

• · The auction sold all offered receipts at R$15.50 per common share and R$17.86 per preferred share.
• · The issue price for the capital increase was R$15.43 per common share and R$17.64 per preferred share.
• · The premium per share from the auction was R$0.07 for common shares and R$0.22 for preferred shares.
• · New shares will be credited within 3 business days following BACEN ratification and will be entitled to full dividends and other proceeds from that date.

05-10-2026

WaFd Inc. announced it will release its Q4 and fiscal year 2026 earnings results after market close on October 15, 2026, followed by a conference call on October 16, 2026. The filing is a routine Regulation FD disclosure providing notice of upcoming earnings and does not include any financial results or performance data.

• · Earnings release date: October 15, 2026, after market close
• · Conference call date: October 16, 2026, at 7:00 am PT / 10:00 am ET
• · Registration link provided for the conference call

05-10-2026

Electra Battery Materials Corporation filed a Form 6-K with the SEC on October 5, 2026, incorporating a press release dated October 2, 2026, by reference into its registration statements. The filing is a routine foreign issuer report and does not contain any specific financial results, operational updates, or material events beyond the incorporation of the press release.

• · The filing incorporates the press release into three registration statements: Form S-8 (No. 333-264589), Form F-3 (No. 333-288364), and Form F-3 (No. 333-291766).
• · The company is a foreign private issuer filing under Form 20-F.

05-10-2026

Violich Capital Management, Inc. filed its quarterly 13F-HR for the period ending September 30, 2026, disclosing 113 equity positions with a total market value of approximately $926.7 million. The portfolio is heavily weighted toward mega-cap technology and healthcare names, with top holdings including Alphabet, Microsoft, Apple, and Visa. The filing reflects a diversified, large-cap-oriented strategy with notable exposure to gold and silver ETFs, but no period-over-period comparison is available in this filing.

• · Top 5 holdings by value: Alphabet Cl C ($110.7M), Alphabet Cl A ($108.1M), Microsoft ($88.9M), Apple ($67.5M), Visa ($47.4M).
• · Significant gold and silver exposure: SPDR Gold Shares ($17.0M), iShares Silver Trust ($2.0M), plus gold miners Agnico Eagle ($9.1M) and Wesdome Gold ($0.5M).
• · Notable positions in semiconductor equipment: Lam Research ($30.3M) and ACM Research ($0.4M).
• · Includes a small speculative position in PureCycle Technologies ($0.3M, 73,800 shares), a plastics recycling company.
• · Portfolio includes both Honeywell Aerospace and Honeywell International as separate positions.
• · Filing was signed by Helem Z. Baskin, Client Relations Manager, on October 2, 2026.
• · Formerly known as Paul A. Violich, Inc. (name changed May 11, 2005).

05-10-2026

Novo Nordisk announced that the FDA has extended its review of the Biologics License Application (BLA) for denecimig, a treatment for haemophilia A, due to ongoing facility remediation activities. The FDA has not identified any deficiencies related to clinical efficacy or safety data, and the extended review does not impact Novo's 2026 financial outlook. Pending regulatory decision, Novo aims to launch denecimig in the US in the first half of 2027.

• · Denecimig BLA was submitted to FDA in September 2025 with an anticipated regulatory decision in Q3 2026.
• · The FDA performed a pre-license inspection of the manufacturing site and provided feedback leading to remediation activities.
• · The feedback on the manufacturing site does not impact other marketed Novo products.
• · Denecimig received a positive CHMP opinion on 17 September 2026 and is pending marketing approval from the EMA and under review by other regulatory authorities.
• · The FRONTIER clinical programme includes FRONTIER1-5 and investigates denecimig as a prophylactic treatment to prevent bleeding episodes across paediatric and adult populations with haemophilia A, with or without inhibitors.
• · FRONTIER2, FRONTIER3 and FRONTIER4 formed the basis of the denecimig MAA submission.
• · Denecimig is designed to deliver once monthly, every two weeks and weekly prophylaxis.

05-10-2026

Melar Acquisition Corp. I is seeking shareholder approval for its business combination with Everli Global Inc., valued at $180 million plus additional financing proceeds. The deal involves a merger structure where Everli shareholders will receive shares of New Melar common stock valued at $10.00 per share, with Class B shares carrying 30 votes per share (sunsetting after 12 years). While the transaction has secured $11.1 million in bridge financing and up to $10 million from Yorkville, the company faces a $5.635 million loan that matured on September 1, 2026 and is currently in extension negotiations, indicating potential liquidity pressure.

• · The meeting will be held on October 22, 2026 at 8:00 a.m. ET at Ellenoff Grossman & Schole LLP, 1345 Avenue of the Americas, 11th Floor, New York, NY 10105.
• · Melar will domesticate from a Cayman Islands exempted company to a Nevada corporation prior to the merger.
• · Class B common stock carries 30 votes per share, with super voting rights sunsetting 12 years after Closing.
• · 1,500,000 Escrow Shares will be held for 24 months post-Closing, subject to forfeiture upon certain events.
• · Yorkville notes bear interest at 8% per annum, increasing to 18% upon an event of default, with ~18-month maturity from first note issuance.
• · The $5.635 million loan from Everli S.p.A. matured on September 1, 2026 and is currently in extension negotiations, indicating a potential liquidity concern.