US SEC Filings Daily Market Digest — October 06, 2026

06-10-2026

AMC Entertainment Holdings, Inc. completed a $3.97 billion comprehensive refinancing of its existing debt, including a $2,000 million first lien notes offering due 2031, a new $850 million first lien term loan facility, and a new $1,120 million second lien term loan facility from Deutsche Bank Special Situations Group. The company successfully tendered 98.8% of its outstanding 7.500% Senior Secured Notes due 2029, extending debt maturities to 2031 and 2033. While the refinancing simplifies the capital structure and reduces cost of capital, the company still carries approximately $4 billion in debt and faces risks including potential need for restructuring if operating revenues do not normalize.

• · The Notes and New Term Loan Facilities are guaranteed on a senior secured basis by certain subsidiaries including Muvico, LLC and Odeon Cinemas Group Limited.
• · Proceeds will also fund the redemption on or about February 15, 2027 of any AMC Secured Notes not tendered.
• · AMC has paid down nearly $2 billion of long-term debt and COVID-related lease deferrals since 2020.
• · The company has received credit rating upgrades from all three major credit rating agencies.
• · Risk factors include potential need for in-court or out-of-court restructuring if operating revenues do not normalize, and limitations on interest expense deductions under the One Big Beautiful Bill Act of 2025.

06-10-2026

Elong Power Holding Limited filed a Form 6-K with the SEC on October 6, 2026, furnishing its Management's Discussion and Analysis and Unaudited Interim Consolidated Financial Statements for the six months ended June 30, 2026, along with a press release announcing first half 2026 financial results. The filing provides interim financial data but does not disclose specific figures, making it impossible to assess performance trends or direction.

• · Filing date: October 6, 2026
• · Commission File Number: 001-42416
• · Address: 3 Yan Jing Li Zhong Jie Jiatai International Plaza Block B, Room 2110, Beijing, China 100025
• · Exhibits filed: 99.1 (MD&A), 99.2 (Unaudited Interim Consolidated Financial Statements), 99.3 (Press Release), plus Inline XBRL documents
• · Company files annual reports under Form 20-F

06-10-2026

Scully Royalty Ltd. filed a Form 6-K with the SEC on October 6, 2026, covering the month of October 2026, and incorporated by reference a press release dated October 2, 2026, announcing the election of directors. The filing contains no financial results, operational metrics, or forward-looking guidance, and is limited to a routine corporate governance disclosure.

• · Filing date: October 6, 2026
• · Press release date: October 2, 2026
• · Commission File No.: 001-04192
• · Principal executive offices: Room 2302, 23/F, Oriental Center, 31 Wujiang Road, Shanghai, China 200041
• · Registrant files annual reports under Form 20-F

06-10-2026

Stephens Group, LLC filed its quarterly 13F-HR holdings report with the SEC for the period ending September 30, 2026, disclosing its equity positions in four companies. The firm reported sole ownership of 7,796,632 shares of CS Disco Inc, 5,444,597 shares of Energy Transfer L P, 7,347,871 shares of Westrock Coffee Co, and 1,022,413 shares of StubHub Holdings Inc Class A. This is a routine periodic disclosure of institutional holdings with no transactional or material change context provided.

• · Filing covers the period ending September 30, 2026, filed on October 6, 2026
• · All reported holdings are listed as 'SOLE' (sole ownership) with no shared or community ownership
• · Stephens Group, LLC is based in Little Rock, Arkansas (EIN: 204948475)
• · SEC file number: 028-21491

06-10-2026

Equinor ASA disclosed a series of share buyback transactions on the Oslo Stock Exchange (OSE) from September 28 to October 2, 2026, repurchasing a total of 720,335 shares at a weighted average price of NOK 399.9378 per share, for a total transaction value of NOK 288,089,220.53. This brings the accumulated buybacks under the tranche to 6,989,388 shares at a weighted average price of NOK 395.3214, with a total value of NOK 2,763,054,786.45. The daily share prices fluctuated slightly, ranging from NOK 395.6926 to NOK 408.0462, indicating a modest decline in the weighted average price compared to the previously disclosed tranche average of NOK 394.7910.

• · Daily share prices ranged from NOK 395.6926 (Sep 30) to NOK 408.0462 (Sep 28).
• · All transactions occurred exclusively on the Oslo Stock Exchange (OSE); no trades on CEUX or TQEX.
• · The accumulated buyback under the tranche totals 6,989,388 shares.

06-10-2026

ING Groep N.V. filed a Form 6-K with the SEC on October 6, 2026, attaching a press release issued the same day. The filing is a routine foreign issuer report under Rule 13a-16 or 15d-16, with no financial results or material corporate events disclosed in the cover filing.

• · Filing type: Form 6-K (foreign private issuer report)
• · Filing date: October 6, 2026
• · Commission file number: 001-14642
• · The press release (Exhibit 99.1) is incorporated by reference but its content is not included in this filing excerpt

06-10-2026

United Microelectronics Corporation (UMC) filed a Form 6-K with the SEC on October 6, 2026, as a routine foreign issuer report. The filing was signed by CFO Chitung Liu and contains no financial results, material events, or operational updates.

06-10-2026

Lufax Holding Ltd filed a Form 6-K with the SEC on October 6, 2026, announcing a plan to implement an ADS (American Depositary Share) ratio change. The filing was signed by CEO Xiang Ji and provides no financial results or operational metrics.

• · Filing is a routine foreign issuer report under SEC Rule 13a-16 or 15d-16
• · No financial data, operational metrics, or performance comparisons were disclosed
• · The ADS ratio change plan was announced but no details on the ratio adjustment were provided

06-10-2026

Zscaler, Inc. issued a press release and made a presentation to securities analysts and the public on October 6, 2026, covering strategy, platform innovation, go-to-market priorities, and long-term growth drivers. The company reaffirmed its guidance for the first quarter and fiscal year 2027. No specific financial figures were disclosed in the filing.

• · The filing is a Regulation FD disclosure under Item 7.01.
• · The press release (Exhibit 99.1) is attached but not included in the provided text.

06-10-2026

ICICI Bank disclosed via Form 6-K that Mr. Anup Bagchi resigned as Managing Director & CEO of ICICI Life Insurance Limited (ICICI Life), effective October 13, 2026, to pursue a new career opportunity outside the organization. The Board of ICICI Life approved the appointment of Mr. Sidharatha Mishra as MD & CEO effective October 14, 2026 (or upon IRDAI approval, whichever is later) for five years, and as COO effective October 6, 2026. Mr. Mishra will be transferred from ICICI Bank to ICICI Life and will cease to be Senior Management Personnel of the Bank from October 5, 2026. This is a routine leadership transition with no financial impact disclosed.

• · Mr. Anup Bagchi's resignation is effective from close of business hours on October 13, 2026.
• · Mr. Sidharatha Mishra's appointment as MD & CEO is effective from October 14, 2026, or the date of IRDAI approval, whichever is later, for a period of five consecutive years.
• · Mr. Sidharatha Mishra was appointed as COO of ICICI Life effective October 6, 2026.
• · Mr. Sidharatha Mishra will be relieved from his responsibilities at ICICI Bank from close of business hours on October 5, 2026.
• · Mr. Sidharatha Mishra holds a bachelor's degree in science and a postgraduate diploma in management with specialization in finance from Utkal University, Bhubaneswar.
• · Mr. Sidharatha Mishra currently heads digital channels & partnerships, voice channel, customer service, NRI & IFIG groups of ICICI Bank.
• · No directors of ICICI Life are inter-se related to Mr. Sidharatha Mishra.
• · The Board meeting of ICICI Life commenced at 1:45 p.m. and concluded at 2:15 p.m. on October 2, 2026.

06-10-2026

AITX announced that its subsidiary RAD has secured a third ROAMEO order from a global logistics client, as disclosed in an 8-K filing on October 6, 2026. The filing is a routine disclosure of a press release and does not include any financial figures or period-over-period comparisons. No negative or flat performance metrics are present.

• · The order is the third from the same global logistics client, indicating repeat business.
• · The press release is attached as Exhibit 99.1 to the 8-K filing.

06-10-2026

Rui Zhang, through her wholly owned entity Vastway Technology Co., Ltd., acquired 17,446,471 Class A shares of AGM Group Holdings, Inc. for $11.0 million on October 5, 2026, giving her 81.48% of the Class A shares (77.15% of total shares including Class B). The transaction makes Zhang the controlling shareholder and triggered board changes, including the resignation of an existing director and nomination of two new director candidates. The filing also notes a separate share repurchase agreement with former CEO Bo Zhu for 1,200,000 Class B shares at $8.0 million, which remains subject to closing conditions including shareholder approval.

• · The Share Purchase Agreement was dated September 17, 2026, and closed on October 5, 2026.
• · Source of funds for the acquisition was Vastway's working capital.
• · Vastway was granted 'piggyback registration rights' allowing it to include its shares in future Company registration statements.
• · The Company announced board changes via a Form 6-K on October 5, 2026.
• · The repurchase of Class B shares from Bo Zhu is subject to closing conditions including shareholder approval.

06-10-2026

Ceragon Networks Ltd. filed a Form 6-K with the SEC on October 6, 2026, announcing its participation in the India Mobile Congress 2026. The company will showcase new E-Band innovation and a portfolio built to scale at the event. No financial results or material corporate developments were disclosed in this filing.

• · The filing is a routine foreign private issuer report (Form 6-K) for the month of October 2026.
• · The company's principal executive offices are located at 3 Uri Ariav St., Rosh Ha'Ayin, Israel, 4810002.
• · The exhibit referenced is titled 'Ceragon Brings New E-Band Innovation and a Portfolio Built to Scale to India Mobile Congress 2026'.

06-10-2026

Entravision Communications Corporation amended its Station Affiliation Agreement with TelevisaUnivision affiliates, extending the term from December 31, 2026 to March 31, 2027. The amendment also extends related proxy and marketing and sales agreements on the same terms. TelevisaUnivision owns approximately 10% of Entravision's common stock on a fully-converted basis.

• · The amendment extends the term from December 31, 2026 to March 31, 2027.
• · The term renews automatically for successive three-month periods unless either party gives 30 days' notice of non-renewal.
• · The amendment also extends related proxy and marketing and sales agreements on the same terms.
• · TelevisaUnivision owns approximately 10% of Entravision's common stock on a fully-converted basis.

06-10-2026

Decent Holding Inc. (DXST) raised $1,234,242 in gross proceeds through a registered direct offering and concurrent private placement, issuing 177,000 Class A ordinary shares and pre-funded warrants for up to 645,828 shares, along with PIPE warrants for up to 822,828 shares. The offering closed on October 5, 2026, with proceeds intended for working capital. The company also entered into a registration rights agreement and a placement agency agreement with FT Global Capital, incurring a 7.5% cash fee and up to $80,000 in reimbursable expenses.

• · The offering closed on October 5, 2026, with gross proceeds of $1,234,242.
• · None of the Pre-Funded Warrants have been exercised as of the filing date.
• · The PIPE Warrants have a term of 1.5 years and an initial exercise price of $1.50 per share.
• · The company agreed to restrictions on subsequent issuances for 45 days and on variable rate transactions for 91 days after closing.
• · The Purchaser has a 30% participation right in certain subsequent financings for one year.
• · Registration delay payments accrue at 1.5% of the original purchase price per month, with overdue interest at 1.5% per month.
• · FT Global Capital received a 7.5% cash fee on gross proceeds and up to $80,000 in expense reimbursements.

06-10-2026

Quantum Biopharma Ltd. filed a Form 6-K with the SEC on October 6, 2026, attaching a press release of the same date. The filing is a routine foreign issuer report and does not contain any financial results, material events, or quantitative data. No specific business updates, metrics, or performance comparisons are disclosed in the filing itself.

06-10-2026

C.H. Robinson Worldwide, Inc. announced on October 5, 2026, its acquisition of RXO, Inc. in a deal expected to close in the first half of 2027. The transaction is projected to generate approximately $300 million in net run-rate cost synergies within two years and be mid-teens accretive to adjusted EPS by 2028. However, the deal carries significant execution risks, including regulatory approvals, financing uncertainties, and potential disruptions to operations, with share repurchases paused until the target leverage ratio is reached.

• · Transaction expected to close in the first half of 2027, subject to customary closing conditions and approvals.
• · C.H. Robinson has paused share repurchases until it reaches its target leverage ratio following the close.
• · Target leverage range is 1.75x to 2.25x net debt to LTM adjusted EBITDA by the end of 2028.
• · RXO will be integrated primarily into C.H. Robinson's North American Surface Transportation division.
• · The filing includes extensive forward-looking statements and risk factors, including risks related to financing, regulatory approvals, and integration challenges.

06-10-2026

Ayr Wellness Inc. filed a Form 6-K with the SEC for October 2026, attaching a news release dated October 1, 2026. The filing is a routine foreign issuer report and does not contain any financial results, material events, or performance data.

• · The filing is a Form 6-K for the month of October 2026.
• · The attached news release is dated October 1, 2026.
• · The registrant's address is 2601 South Bayshore Drive, Suite 900, Miami, FL, 33133.
• · The filing was signed by Blake Holzgrafe, Interim CEO, on October 2, 2026.

06-10-2026

Box, Inc. announced the appointment of Omer Yuhjtman as Vice President, Finance and Chief Accounting Officer, effective October 19, 2026, succeeding Eli Berkovitch who is resigning effective October 23, 2026. Mr. Yuhjtman, a former Box employee from 2016 to 2025, will receive an annual base salary of $330,000, a discretionary bonus of up to 35% of base salary, and restricted stock units covering 80,000 shares. The filing does not contain any financial results or performance metrics, so no positive or negative trends are reported.

• · Omer Yuhjtman previously served at Box from June 2016 to December 2025, most recently as Vice President, Assistant Controller.
• · He holds a B.A. in Business Economics with an emphasis in Accounting from UC Santa Barbara and is a CPA in California.
• · The company also entered into a Change of Control and Severance Agreement with Mr. Yuhjtman.
• · There are no family relationships or material interests in transactions requiring disclosure.

06-10-2026

On October 1, 2026, Nakamoto Inc. (formerly Kindly MD, Inc.) entered into a Second Addendum and an Amended and Restated Warrant Agent Agreement with Odyssey Transfer and Trust Company, appointing Odyssey as successor warrant agent, effective October 1, 2026, replacing VStock Transfer, LLC. The changes are administrative and do not alter the exercise price, number of shares issuable, expiration date (June 3, 2029), or any economic terms of outstanding warrants. The company also changed its name to Nakamoto Inc., converted to a Delaware corporation, and effected a 1-for-40 reverse stock split effective May 22, 2026.

• · Effective October 1, 2026, Odyssey appointed as successor warrant agent; VStock removed and has no further duties or liabilities under the original agreement.
• · All outstanding warrants are held in book-entry form through The Depository Trust Company and evidenced by global certificates; no warrant is certificated.
• · The A&R Warrant Agent Agreement does not amend, modify, or waive any term of outstanding warrants; the original warrant terms govern unless amended.
• · The company's registration covenant now runs to its Form S-3 (File No. 333-294958), declared effective April 24, 2026.
• · The company's name change to Nakamoto Inc., conversion to Delaware corporation, and 1-for-40 reverse stock split were effective May 22, 2026.
• · The warrant expiration date remains June 3, 2029.

06-10-2026

On October 5, 2026, Werner Enterprises director Jack A. Holmes resigned from the Board and its Compensation and Governance Committees to accept an executive leadership role at another transportation company, avoiding potential conflicts. The resignation is amicable and not due to any disagreement with the company. No financial metrics or performance data are included in this filing.

• · Jack A. Holmes resigned effective October 5, 2026.
• · He also resigned from the Compensation and Governance Committees.
• · His departure is amicable and not due to any disagreement with the company.

06-10-2026

Patria Investments Limited filed Form 6-K with the SEC for October 2026, attaching the notice of its 2026 Annual General Meeting of Shareholders, a proxy statement, and a form of proxy card. The report was signed by CFO Raphael Denadai on October 5, 2026.

• · The filing is a routine foreign issuer report under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934.
• · The company's principal executive office is at 60 Nexus Way, 4th floor, Camana Bay, PO Box 757, KY1-9006 Grand Cayman, Cayman Islands.
• · Patria Investments files annual reports under Form 20-F.

06-10-2026

Blaize Holdings, Inc. (Nasdaq: BZAI; BZAIW) announced preliminary Q3 2026 revenue of approximately $0.5 million, a sharp decline from prior quarters, and revised its full-year 2026 revenue guidance down to $32.0-36.0 million from a previously issued range. The revision is driven by updated shipment timing and working capital management, with shipments to NeoTensr tied to an April 2026 contract of up to $50.0 million. The company has sufficient inventory to partially fulfill Q4 orders but faces risks from potential payment delays.

• · Q3 2026 revenue estimate is preliminary and subject to completion of quarter-end closing procedures.
• · Revised guidance is based on binding, non-cancellable purchase orders from NeoTensr and a new purchase order from an existing customer in process of signature.
• · The company has sufficient inventory on hand to partially fulfill orders in Q4 and is working with suppliers to obtain the balance before year end.
• · Any increased costs passed through to customers or new customer commitments fulfilled in Q4 would be additive to revenue expectations.
• · Delays in timing or receiving payments from customers during Q4 could adversely affect revenue recognition for the year.
• · Forward-looking statements are subject to risks detailed in the company's 10-K filed March 24, 2026, as amended April 30, 2026.

06-10-2026

Non-Invasive Monitoring Systems Inc. (NIMU) filed an S-4/A registration statement related to its proposed merger with Gravitics Inc., a space technology company. The filing includes financial statements for both entities, showing NIMU's ongoing reliance on related-party financing from Frost Gamma Investments Trust and Dr. Jane Hsiao. The merger agreement was entered into on March 6, 2026, and subsequently amended on August 5, 2026.

• · The filing is an amendment (S-4/A) to a registration statement for a proposed business combination.
• · The merger agreement was entered into on March 6, 2026, and amended on August 5, 2026.
• · NIMU has outstanding promissory notes with related parties Frost Gamma Investments Trust and Dr. Jane Hsiao.
• · A convertible promissory note was issued on June 24, 2026, under a Note Purchase Agreement.
• · The filing covers financial data for periods up to June 30, 2026.

06-10-2026

Lakehouse Capital Pty Ltd filed its quarterly 13F-HR report with the SEC for the period ending September 30, 2026, disclosing a portfolio of 12 equity positions with a total market value of approximately $114.1 million. The largest holdings include ServiceNow, Workiva, and MercadoLibre, while the portfolio also includes major tech names such as Microsoft, Amazon, and Alphabet. The filing reflects a routine quarterly disclosure of institutional holdings with no indication of significant strategic changes.

• · Largest position: ServiceNow Inc with a market value of $16,663,000 (124,338 shares).
• · Second largest: Workiva Inc with a market value of $13,299,000 (199,776 shares).
• · MercadoLibre Inc is the third largest with a market value of $20,412,000 (11,809 shares).
• · Microsoft Corp position valued at $10,221,000 (19,927 shares).
• · Veeva Systems Inc position valued at $10,669,000 (37,377 shares).
• · Alphabet Inc Class C position valued at $7,314,000 (21,466 shares).
• · Visa Inc Class A position valued at $7,112,000 (19,791 shares).
• · Sea Ltd ADS position valued at $6,702,000 (68,833 shares).
• · Amazon.com Inc position valued at $6,177,000 (24,794 shares).
• · Workday Inc Class A position valued at $8,337,000 (43,773 shares).
• · Charles Schwab Corp position valued at $3,215,000 (32,894 shares).
• · Tradeweb Markets Inc Class A position valued at $3,935,000 (39,020 shares).

06-10-2026

Tianci International, Inc. organized a new wholly-owned subsidiary, Roshing Future Pte. Ltd., in Singapore on September 30, 2026, to expand its mineral trading business in Asia. The subsidiary is held under Tianci Group Holdings Limited (Seychelles), which is itself a wholly-owned subsidiary of the company. The filing does not include any financial figures or performance data.

• · Roshing Future Pte. Ltd. was organized in Singapore to leverage the jurisdiction's corporate law and financial system.
• · The subsidiary is wholly-owned by Tianci Group Holdings Limited (Seychelles), which is wholly-owned by Tianci International, Inc.

06-10-2026

Inflection Point Acquisition Corp. V filed a Form 15-12G with the SEC to terminate its registration under Section 12(g) of the Exchange Act, effective October 5, 2026. The deregistration follows the completion of its business combination with GOWell Energy Technology, in which Inflection Point merged into GOWell and ceased to exist as a separate entity. The filing confirms zero holders of record as of the certification date, reflecting the consummation of the de-SPAC transaction.

• · The deregistration is effective as of September 24, 2026, the date of the merger.
• · The filing is made under Rule 12g-4(a)(1) and Rule 12h-3(b)(1)(i).
• · GOWell Energy Technology, as the surviving entity, signed the filing as successor by merger.
• · The deregistration does not affect the reporting obligations of PubCo (GOWell Energy Technology) under the Exchange Act.

06-10-2026

News Corporation filed an 8-K on October 6, 2026, disclosing that it is authorized to repurchase up to $1 billion in aggregate of its Class A and Class B common stock under its existing stock repurchase program. The filing also notes that the company provides daily transaction disclosures to the Australian Securities Exchange (ASX) as required by ASX rules. No actual repurchase activity or financial results were reported in this filing.

• · The repurchase program authorization is for up to $1 billion in aggregate of Class A and Class B common stock.
• · The company is required to provide daily disclosure of repurchase transactions to the ASX.
• · The filing includes forward-looking statements regarding the company's intent to repurchase shares from time to time, subject to market conditions, securities laws, and other factors.
• · The report was signed by Michael L. Bunder, Senior Vice President, Deputy General Counsel and Corporate Secretary.

06-10-2026

Adia Med, Inc. (ADIA) completed the sale of a 30% membership interest in its subsidiary Adia Labs LLC to Live Oak Health LLC (QCM Biologics) for $1.5M on September 30, 2026. The deal includes $1M in cash and a $500K promissory note, and grants the buyer an option to purchase an additional 10% for $500K. While Adia retains 70% economic ownership, voting power is split 50/50 between the parties, creating a governance deadlock risk.

• · The promissory note is secured by a first-priority pledge of the Purchased Units until paid in full.
• · The Option to purchase up to 10 additional units expires on September 30, 2028.
• · If the Option is exercised in full, Adia would own 60% and Buyer 40% of the units, but voting power remains 50/50.
• · Deadlock resolution requires mediation in Seminole County, Florida; if mediation fails within 30 days, either member may pursue a buy-sell remedy.
• · Neither member may dissolve the Labs Company solely because of deadlock without a court order or written agreement.
• · The Labs Company has a first right of refusal on any proposed transfer of units to a third party.
• · Quarterly distributions: after expenses, taxes, and a 10% reserve, 90% of remaining cash is distributed pro rata to members within 30 days after quarter-end.
• · The Purchase Agreement is governed by Florida law, except Nevada law governs Adia's internal corporate affairs; venue is in Seminole County, Florida or Middle District of Florida.
• · The Purchased Units and option units are restricted and not registered under the Securities Act of 1933.

06-10-2026

Aurora Cannabis Inc. filed a Form 6-K with the SEC on October 6, 2026, covering the month of October 2026, and furnished a news release dated October 5, 2026. The filing is a routine foreign private issuer report and does not contain financial results or material operational data.

• · Filing type: Form 6-K (Foreign Private Issuer Report)
• · Filing date: October 6, 2026
• · News release dated October 5, 2026 was furnished as Exhibit 99.1
• · Registrant address: 2207 90B St. SW, Edmonton, Alberta T6X 1V8, Canada
• · Commission File No. 001-38691
• · Signed by Miguel Martin, Chief Executive Officer, on October 5, 2026

06-10-2026

CareView Communications entered into the Sixteenth Amendment to its Credit Agreement with PDL Investment Holdings, extending the maturity date to December 31, 2026. The amendment continues a long series of prior amendments to the original 2015 credit facility. No new financial commitments or changes to principal amounts were disclosed.

• · The Sixteenth Amendment to Credit Agreement was entered into as of September 30, 2026.
• · The amendment extends the Maturity Date to December 31, 2026.
• · The filing references over 30 prior amendments to the Modification Agreement and Credit Agreement dating back to 2015.
• · No financial amounts or changes to interest rates, covenants, or principal were mentioned.

06-10-2026

TC Energy Corporation and its wholly owned subsidiary TransCanada PipeLines Limited filed a Form 6-K with the SEC for October 2026, primarily to furnish an amended Code of Business Ethics Policy as Exhibit 99.1. The filing is a routine disclosure of a corporate governance document and does not contain any financial results or operational updates.

• · Filing date: October 6, 2026; signed October 5, 2026
• · Furnished under Form 6-K, not filed, and not incorporated by reference into any registration statement
• · TransCanada PipeLines relies on continuous disclosure exemption per NI 51-102 and Alberta/Ontario Securities Commission decisions (Re TransCanada Corporation, 2019 ABASC 1)

06-10-2026

Central Pacific Bank - Trust Division filed its quarterly Form 13F-HR with the SEC for the period ending September 30, 2026, disclosing its institutional holdings. The filing lists a diversified portfolio of over 300 securities, including major positions in Apple, Microsoft, Amazon, Alphabet, and various ETFs. No significant changes or notable events were disclosed beyond the routine quarterly holdings update.

• · The filing was submitted on October 6, 2026, for the quarter ending September 30, 2026.
• · The report includes both common stocks and convertible notes, with notable convertible positions in companies like Affirm Holdings, Cloudflare, and Coinbase Global.
• · The filer is the Trust Division of Central Pacific Bank, based in Honolulu, Hawaii.
• · The filing includes a mix of large-cap tech, healthcare, financials, and consumer staples, indicating a diversified portfolio.
• · No changes in holdings were indicated as the filing is a snapshot of positions as of the report date.

06-10-2026

Ocugen, Inc. reconvened its Special Meeting of Stockholders on October 5, 2026, but adjourned it again to October 26, 2026, to allow more time for stockholders to vote on Proposal 1, which seeks to increase authorized common shares by 250,000,000. The meeting had previously been adjourned on September 21, 2026, solely for this proposal. No vote results were reported, indicating the proposal has not yet been approved or rejected.

• · The Special Meeting was originally convened on September 21, 2026, and adjourned solely for Proposal 1.
• · The Adjourned Meeting is scheduled for October 26, 2026, at 8:00 a.m. Eastern Time, virtually at www.virtualshareholdermeeting.com/OCGN2026SM.
• · The record date for stockholders entitled to vote remains July 27, 2026.
• · Stockholders who already voted and do not wish to change their vote need not take any action.

06-10-2026

PEMBINA PIPELINE CORPORATION filed a Form 6-K with the SEC for October 2026, attaching a news release dated October 5, 2026. The filing is a routine periodic disclosure by a foreign private issuer and does not contain any financial results, material events, or regulatory actions. No specific quantitative data or performance metrics were provided in the filing.

• · Filing is a Form 6-K for the month of October 2026
• · Commission File Number: 001-35563
• · Company address: 4000, 585 8th Avenue S.W., Calgary, Alberta T2P 1G1
• · Company indicates it files or will file annual reports under Form 40-F
• · Exhibit 99.1 is a News Release dated October 5, 2026 (content not included in filing)

06-10-2026

Director FRISSORA MARK P acquired 15,625 Series D Convertible Preferred Stock.

• · Director FRISSORA MARK P acquired 15,625 Series D Convertible Preferred Stock

06-10-2026

Vice Chairman & Co-President Gu Brian Hongdi exercised/converted 250,000 Class A ordinary shares. Gu Brian Hongdi holds 5,250,000 shares after the transaction.

• · Vice Chairman & Co-President Gu Brian Hongdi exercised/converted 250,000 Class A ordinary shares
• · Vice Chairman & Co-President Gu Brian Hongdi exercised/converted 250,000 Restricted Share Units

06-10-2026

COO and CFO Basho Chandan had withheld for taxes 2,092 Common Stock at $35.88 (~$75.1K). Basho Chandan holds 155,728 shares after the transaction.

• · COO and CFO Basho Chandan had withheld for taxes 2,092 Common Stock at $35.88 (~$75.1K)

06-10-2026

Director Leogrande Hudson Blake exercised/converted 2,000 Class A Ordinary Share, par value $0.0015 per share. Leogrande Hudson Blake holds 8,001 shares after the transaction.

• · Director Leogrande Hudson Blake exercised/converted 2,000 Class A Ordinary Share, par value $0.0015 per share
• · Director Leogrande Hudson Blake exercised/converted 2,000 Restricted Stock Unit

06-10-2026

Cadeler A/S filed a Form 6-K with the SEC to report transactions in its shares by persons discharging managerial responsibilities (PDMRs) and persons closely associated with them. Specifically, BW Altor Pte. Ltd., a person closely associated with Chair of the Board Andreas Sohmen-Pao, executed trades on the dates set out in the attached notification. The filing is a routine regulatory disclosure under the EU Market Abuse Regulation and does not contain any financial results or operational updates.

• · The filing is made under Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934.
• · The notification is pursuant to article 19 of the Market Abuse Regulation (EU) no. 596/2014.
• · The attached notification contains the specific transaction details (not included in the filing text).

06-10-2026

JIA Investment Alliance Pte. Ltd. (formerly GuoLine Advisory Pte Ltd) filed its 13F-HR for the quarter ended September 30, 2026, reporting a portfolio of 23 equity positions with a total market value of approximately $1.16 billion. The largest holdings include Alphabet Inc. ($127.4M), Microsoft Corp. ($132.5M), and Apple Inc. ($123.8M). The filing provides a snapshot of the fund's U.S. equity exposure but does not include prior-period data for comparison, so no period-over-period changes can be calculated.

• · The fund's largest single position is Microsoft Corp. at $132.5M (258,320 shares), followed by Alphabet Inc. at $127.4M (370,200 shares) and Apple Inc. at $123.8M (371,700 shares).
• · The smallest disclosed positions are Arthur J. Gallagher & Co. ($12.0M, 52,400 shares) and Zoetis Inc. ($12.2M, 174,400 shares).
• · All 23 positions are held with sole voting and dispositive power; no shared or non-voting authority is reported.
• · The fund was formerly known as GuoLine Advisory Pte Ltd and changed its name on February 21, 2023.

06-10-2026

HighPeak Energy announced a comprehensive refinancing involving a $450 million preferred equity investment from PT Danantara Investment Management and PT Energi Mega Persada Tbk, and a new $800 million reserve-based credit facility from Citibank and Fifth Third Bank. The proceeds will repay its existing $1.17 billion term loan, materially strengthening the balance sheet and reducing annual interest expense. However, the preferred stock carries a 6% cumulative dividend and a conversion price of $9.50, which could dilute common shareholders, and the transaction is subject to customary closing conditions with no guarantee of completion.

• · Preferred Stock has no maturity date; cumulative dividends payable quarterly.
• · Conversion price is $9.50 per share; mandatory conversion can be triggered after third anniversary if stock price exceeds 150% of Conversion Price for 30 of 40 consecutive trading days.
• · Company may redeem Preferred Stock on or after third anniversary at a price yielding 10.0% IRR.
• · DIM and EMP will each appoint one director to HighPeak's Board.
• · Advisors: Vinson & Elkins for HighPeak, Milbank for Investors, Barclays for DIM, Citigroup for EMP, Bracewell for Citibank.

06-10-2026

Wise Group plc disclosed daily share repurchases from September 28 to October 2, 2026, totaling 1,395,912 Class A ordinary shares across multiple trading venues (XLON, CHIX, BATE, NASDAQ). The buybacks were executed at volume-weighted average prices ranging from GBP 8.5363 to GBP 8.6397 on London venues and USD 11.2824 to USD 11.4529 on NASDAQ, reflecting ongoing capital return to shareholders.

• · Daily repurchase volumes varied: 146,588 shares on Sep 28, 200,000 on Sep 29, 176,719 on Sep 30, 244,062 on Oct 1, and 618,232 on Oct 2.
• · Highest price paid per share: GBP 8.7520 (XLON/CHIX on Sep 29) and USD 11.5900 (NASDAQ on Sep 28).
• · Lowest price paid per share: GBP 8.4080 (XLON on Oct 1) and USD 11.1000 (NASDAQ on Oct 1).
• · Trading venues used: XLON (London Stock Exchange), CHIX (Chi-X Europe), BATE (Batsw Trading), and NASDAQ.

06-10-2026

PLDT Inc. filed a Form 6-K on October 6, 2026, disclosing a letter it submitted to the Philippine Stock Exchange and SEC regarding an update on the VITRO REIT initial public offering. The filing provides no financial figures or performance data, only a procedural update on the IPO process. No specific metrics or comparisons are available to assess positive or negative trends.

• · The disclosure letter was filed with the Philippine Stock Exchange on October 5, 2026, and with the Philippine SEC on October 6, 2026.
• · The filing references forward-looking statements and risk factors from PLDT's 2025 annual report on Form 20-F.

06-10-2026

10% owner L1 Capital Pty Ltd bought 648,455 Common Stock at $7.51 (~$4.87M). L1 Capital Pty Ltd holds 12,778,380 shares after the transaction.

• · 10% owner L1 Capital Pty Ltd bought 236,354 Common Stock at $7.78 (~$1.84M)
• · 10% owner L1 Capital Pty Ltd bought 648,455 Common Stock at $7.51 (~$4.87M)

06-10-2026

Barnwell Industries Inc. (BRN) announced a definitive agreement to sell its Canadian oil and gas business for C$9 million (C$4M cash + C$5M gross overriding royalty). The company also separately announced the termination of its overfunded defined benefit pension plan to reclaim surplus assets. While these actions simplify the company and reduce legacy obligations, the sale is subject to shareholder and regulatory approvals, and the future royalty income and a C$5M buyout option on the royalty are uncertain and discretionary.

• · The buyer has paid a C$1M deposit into escrow, credited toward the purchase price at closing.
• · An affiliate of the buyer has the right to purchase the 5% royalty at any time after closing for C$5M; any royalty payments received before exercise do not reduce the C$5M purchase price.
• · Barnwell will retain specified assets including excess cash and near-cash assets outside the sale.
• · The buyer will assume the Canadian business's future site restoration and abandonment obligations, removing them from Barnwell's balance sheet.
• · Certain representations and warranties survive for 12 months after closing.
• · If Barnwell terminates the agreement for a superior proposal, it must pay a C$500,000 termination fee and return the deposit.
• · The company expects a limited tax impact on the C$9M base consideration due to available tax attributes.

06-10-2026

DarkIris Inc. (DKI) filed a 6-K on October 6, 2026, disclosing proposals to amend its articles of association and implement two sequential share consolidations (reverse stock splits) triggered when the closing market price per Class A share falls below US$1.00. The first consolidation would combine every 50 shares (par value US$0.0016) into one share (par value US$0.08), and the second would further combine every 50 shares (par value US$0.08) into one share (par value US$0.04). Additionally, Proposal 1 would increase the voting rights of Class B ordinary shares from an unspecified number to 200 votes per share, significantly concentrating control.

• · The share consolidations are conditional on the closing market price per Class A share falling below US$1.00.
• · Proposal 1 would amend Article 2.9(b)(ii) and Article 12.3 of the Third Amended and Restated M&A to grant Class B shares 200 votes each.
• · After the second consolidation, authorised share capital remains US$500M, divided into 112.5M Class A shares and 12.5M Class B shares, each with par value US$4.00.