US SEC Filings Daily Market Digest — October 07, 2026

07-10-2026

Nautilus Advisors LLC filed its Q3 2026 13F-HR, reporting total holdings of approximately $165.3 million as of September 30, 2026. The portfolio is diversified across large-cap equities, ETFs, and sector funds, with top positions including Amazon, Apple, and Netflix. The filing reflects routine quarterly disclosure of institutional holdings with no significant changes or notable events.

• · Top holdings by value: Amazon ($8.2M), Apple ($8.1M), Netflix ($3.7M), Alphabet Class A ($6.4M), Microsoft ($3.2M), Visa ($2.3M).
• · Largest ETF positions: Dimensional US Core Equity 2 ETF ($4.3M), State Street SPDR S&P 500 ETF ($7.1M), T. Rowe Price Dividend Growth ETF ($2.8M), Goldman Sachs Equal Weight US ETF ($2.8M).
• · Notable small-cap and thematic positions: Cibus Inc ($34.6K), Joby Aviation ($199K), Reddit ($703K), Space Exploration Technologies ($1.4M), Themes Trans Defense ETF ($580K).
• · Bitcoin exposure: iShares Bitcoin Trust ($230K) and WisdomTree Bitcoin Fund ($318K).
• · Gold exposure: SPDR Gold Trust ($259K).
• · International exposure: iShares MSCI Switzerland ($255K), iShares MSCI Germany ($302K), Vanguard FTSE Emerging Markets ETF ($794K).
• · All positions are held with sole voting and dispositive power; no shared or none authority.
• · The filing is a routine quarterly disclosure; no material changes or unusual activity indicated.

07-10-2026

Worthington Steel reported Q1 FY2027 results including the first full quarter with its majority acquisition of Kloeckner & Co. Consolidated net sales surged 212% to $2,726.6 million, driven by Kloeckner's $1,772.7 million contribution. However, the company posted a net loss attributable to controlling interest of $7.0 million (diluted EPS of -$0.14) versus net earnings of $36.8 million ($0.73) a year ago, due to acquisition-related charges and a $43 million inventory fair value step-up. On an adjusted basis, diluted EPS was $0.57, down from $0.77 in the prior year, while adjusted EBIT rose to $78.5 million from $55.5 million.

• · Legacy Worthington Steel (excluding Kloeckner) saw operating income decline $16.5M YoY due to a $17.6M increase in SG&A, primarily from $18.6M in professional fees related to the Kloeckner Acquisition.
• · Kloeckner contributed $24.2M to operating income in Q1 FY2027.
• · Gross margin for Legacy Worthington Steel increased only $2.0M YoY, with higher direct spreads (+$13.9M) offset by higher manufacturing expenses (+$11.1M) and lower toll spreads (-$0.9M).
• · The company had negative free cash flow of $69.0M in Q1 FY2027, worse than -$35.7M a year ago, driven by higher capex ($63.0M vs $29.4M).
• · Net debt stood at $1,948.2M as of August 31, 2026.
• · A quarterly dividend of $0.16 per share was declared, payable December 28, 2026.
• · The DPLTA with Kloeckner is subject to shareholder approvals and cannot become effective before January 1, 2027.

07-10-2026

Aperture AC (APUR), a blank-check company, announced via an 8-K that Atlantic HPC Group Inc has appointed Leo Lin as its new CEO, effective October 1, 2026. The announcement is part of the ongoing proposed business combination between Aperture and Atlantic, which involves Atlantic's transition from bitcoin mining to AI/HPC infrastructure. The filing includes forward-looking statements highlighting significant risks, including Atlantic's heavy dependence on bitcoin mining and the early-stage nature of its AI/HPC business.

• · The business combination agreement is dated September 10, 2026.
• · Aperture's IPO final prospectus was filed with the SEC on May 21, 2026.
• · Atlantic has historically derived substantially all of its revenue from bitcoin mining and remains heavily dependent on it.
• · Atlantic's AI/HPC infrastructure business has not generated material revenue to date.
• · The Ohio AI Campus is in early stages, requiring additional utility approvals and infrastructure upgrades.
• · Atlantic holds all mined digital assets in self-custody without insurance coverage for loss or theft.
• · Atlantic's facilities are concentrated in a limited number of states.

07-10-2026

FMR LLC (Fidelity) filed a Schedule 13G disclosing beneficial ownership of 16,169,439.04 shares of Illumina, Inc. common stock, representing a 10.7% stake as of September 30, 2026. The filing confirms Fidelity's position as a significant minority shareholder in Illumina, with the shares held in the ordinary course of business and not for control purposes. The filing also notes that no other single person's interest in the stock exceeds 5% of the total outstanding shares.

• · FMR LLC's filing is made under Rule 13d-1(b), indicating the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of Illumina.
• · Abigail P. Johnson and the Johnson family are the predominant owners of Series B voting common shares of FMR LLC, representing 49% of the voting power, and may be deemed a controlling group under the Investment Company Act of 1940.
• · The filing includes a Rule 13d-1(k)(1) agreement for joint filing on behalf of FMR LLC and Abigail P. Johnson.
• · No prior period comparison data is available in this filing to assess changes in ownership percentage.

07-10-2026

Todd Wealth Management, LLC filed its Form 13F-HR for the quarter ended June 30, 2026, reporting approximately $131.9 million in total holdings across 112 equity positions. The portfolio is heavily weighted toward technology and defined-outcome ETF strategies, with top holdings including BlackRock Science & Technology (7.9M), Royce Micro-Cap Trust (7.0M), and Central Securities Corp (5.6M). The filing reflects a diversified mix of large-cap stocks, sector ETFs, and income-oriented closed-end funds.

• · The portfolio includes a significant allocation to Innovator ETFs Trust defined-outcome ETFs, with at least 20 different series held.
• · Top equity holdings by value: BlackRock Science & Technology Trust ($7.9M), Royce Micro-Cap Trust ($7.0M), Central Securities Corp ($5.6M), VanEck Semiconductor ETF ($5.1M), and Vanguard Information Technology ETF ($4.3M).
• · The filing includes exposure to cryptocurrencies via Grayscale Bitcoin Trust ETF ($612,790).
• · Notable holdings in electric vehicle/energy transition: QuantumScape Corp ($601,678) and NextEra Energy ($266,743).
• · The portfolio contains several closed-end funds and income-oriented securities, such as Barings Corporate Investors ($2.6M), Eaton Vance Tax-Advantaged Global Dividend Income Fund ($1.7M), and Virtus Equity & Convertible Income Fund ($1.3M).

07-10-2026

American National Bank of Texas filed its quarterly 13F-HR report for the period ending September 30, 2026, disclosing 58 equity holdings with a total market value of approximately $109.5 million. The portfolio is heavily weighted toward ETFs, with the largest positions in iShares TR ($19.8M), Invesco Exchange Traded FD TR ($6.6M), and VanEck ETF Trust ($7.8M). Top individual stock holdings include Apple Inc. ($2.2M), Microsoft Corp. ($2.4M), and Alphabet Inc. ($2.0M combined classes). The filing reflects a diversified, income-oriented strategy with significant exposure to fixed-income and sector ETFs.

• · The filing was signed by Vickie Gutierrez, Vice President & Trust Officer, on October 6, 2026.
• · The largest single holding is iShares TR (ETF) at $19,772,715 (25,818 shares).
• · The second-largest holding is VanEck ETF Trust at $7,798,861 (73,776 shares).
• · The portfolio includes 58 positions, with a total value of $109,490,327.
• · All reported shares are held with sole voting and dispositive power, except for minor OTR (other) positions in Goldman Sachs ETF Trust, Invesco ETF, Morgan Stanley ETF Trust, Vanguard Scottsdale FDS, and Vanguard Whitehall FDS.

07-10-2026

SigFig Wealth Management, LLC filed its quarterly 13F-HR report for the period ending September 30, 2026, disclosing a portfolio of approximately $4.0 billion in equity assets under management. The filing shows a diversified portfolio heavily weighted toward fixed-income and broad-market equity ETFs, with top holdings including iShares Core S&P Total US Stock Market ETF ($664.9M), iShares Core US Aggregate Bond ETF ($443.9M), and Goldman Sachs ActiveBeta US Large Cap ETF ($287.6M). The portfolio also includes significant positions in iShares Bitcoin Trust ($73.9M) and iShares Gold Trust ($1.5M), reflecting modest exposure to alternative assets.

• · Filing date: October 7, 2026; period end: September 30, 2026.
• · No period-over-period comparisons are available as this is a single-period filing.
• · The portfolio is heavily concentrated in fixed-income ETFs (iShares Core US Aggregate Bond, iShares Broad USD High Yield, etc.) and broad-market equity ETFs.
• · Alternative asset exposure includes iShares Bitcoin Trust ($73.9M) and iShares Gold Trust ($1.5M).
• · Individual stock holdings are minimal: Apple ($612K) and ExxonMobil ($283K).
• · All holdings are reported as sole voting and dispositive power.

07-10-2026

McAlister, Sweet & Associates, Inc. filed its quarterly 13F-HR for the period ending September 30, 2026, reporting total holdings of approximately $158.3 million across 35 equity positions. The portfolio is heavily weighted toward large-cap ETFs and tech stocks, with the largest single holding being the SPDR S&P 500 ETF Trust at $52.1 million (43% of total), followed by Invesco QQQ Trust at $15.1 million and Apple Inc. at $12.2 million. The filing reflects a concentrated, passive-oriented strategy with significant exposure to U.S. equity markets and a notable allocation to Innovator defined-outcome ETFs.

• · The filing is a 13F-HR (institutional investment manager holdings report) for the quarter ended September 30, 2026.
• · The report was filed on October 7, 2026, and signed by Bryan McAlister, President.
• · All 35 positions are held with sole voting and dispositive power; no shared or non-dispositive holdings are reported.
• · The portfolio includes a mix of individual stocks (e.g., Apple, Amazon, Boeing, ExxonMobil, Microsoft, NVIDIA, Tesla, Visa) and ETFs covering U.S. large-cap, growth, dividend, international, sector-specific, and defined-outcome strategies.
• · Notable holdings include SpaceX Class A common stock ($3.3M) and TSMC ADRs ($224k).
• · The portfolio has a significant allocation to income-oriented securities: Schwab U.S. Dividend Equity ETF ($11.2M), Nuveen Preferred & Income Opportunities Fund ($202k), PIMCO Corporate & Income Opportunity Fund ($130k), PIMCO Dynamic Income Opportunities Fund ($119k), and VanEck Fallen Angel High Yield Bond ETF ($523k).
• · The three Innovator ETFs (Buffer November, Buffer February, Power Buffer) collectively total approximately $13.1M, indicating a strategy to manage downside risk through defined-outcome ETFs.
• · The Select Sector SPDR Financial ETF ($8.6M) is a large sector bet, while the Energy ETF ($208k) is a much smaller position.
• · The filing does not include any period-over-period comparisons, as it is a snapshot of holdings at quarter-end.

07-10-2026

Asempa Wealth Advisors filed its quarterly 13F-HR for the period ending September 30, 2026, reporting a total of 120 equity holdings with an aggregate market value of approximately $131.0 million. The portfolio is heavily weighted toward iShares and Vanguard ETFs, with top positions in iShares Core S&P 500 ETF ($8.8M), iShares MSCI ACWI ex US ETF ($6.4M), and iShares S&P 100 ETF ($5.9M). The firm also holds put options on Home Depot and call options on iShares MSCI EAFE and MSCI Emerging Markets ETFs, indicating a hedging or tactical positioning strategy.

• · The filing includes 120 equity positions, all held with sole voting and dispositive power.
• · The largest single position is iShares Core S&P 500 ETF at $8.8M (11,414 shares).
• · The firm holds put options on Home Depot (3,400 shares total across three entries) and call options on iShares MSCI EAFE (4,600 shares total) and iShares MSCI Emerging Markets ETF (2,500 shares total).
• · Notable individual stock holdings include Microsoft ($1.8M), Apple ($1.7M), ExxonMobil ($1.9M), and Alphabet ($836K).
• · The portfolio includes a small position in Precigen Inc. ($95K, 11,601 shares) and Lumen Technologies ($130K, 23,207 shares).
• · No prior period comparison data is available in this filing to assess changes in holdings.

07-10-2026

First Community Trust NA filed its quarterly 13F-HR for the period ending September 30, 2026, disclosing a diversified equity portfolio of 338 holdings with a total market value of approximately $30.0 million. The largest positions include Apple, Applied Materials, and Microsoft, while the fund also holds significant ETF exposures. The filing reflects a balanced mix of growth and value investments, with notable positions in technology, healthcare, and consumer sectors.

• · Portfolio includes 338 holdings with total market value of $30,022,617 as of September 30, 2026.
• · Top three holdings by market value: Apple ($14.1M), Applied Materials ($14.6M), Microsoft ($10.6M).
• · Largest single position is Apple Inc. with 42,378 shares.
• · Significant ETF holdings include Invesco QQQ ($3.7M), Vanguard Total International Stock ETF ($1.8M), and iShares Core MSCI EAFE ($0.12M).
• · Positions are predominantly held in sole ownership, with some shares held in trust or as collateral.
• · Notable share counts: Applied Materials 28,572 shares, Microsoft 20,642 shares, Alphabet Class A 19,903 shares.
• · The fund holds a mix of large-cap, mid-cap, and small-cap ETFs, as well as sector-specific ETFs.
• · International exposure includes ADRs and foreign-domiciled companies such as Alibaba, Novartis, and StoneCo.
• · The portfolio includes a small position in US Vegan Climate ETF (595 shares).
• · No period-over-period comparison is available as this is a single-period filing.

07-10-2026

Epiq Partners, LLC filed its quarterly 13F-HR for the period ending September 30, 2026, reporting a total of approximately $232.15 million in disclosed equity holdings. The portfolio is heavily weighted toward fixed-income and income-oriented ETFs, including the Janus Detroit B-BBB CLO ETF ($12.2M) and the Janus Detroit Henderson Securitized Income ETF ($11.4M), alongside large positions in iShares Russell 3000 ETF ($32.2M) and iShares Russell 1000 Growth ETF ($13.6M). The filing shows a diversified mix of large-cap equities, REITs, and alternative assets such as Bitcoin trusts, but no period-over-period comparison data is available to assess performance trends.

• · The largest single equity position by value is iShares Russell 3000 ETF at $32.18M (74,545 shares).
• · The largest individual stock holding by value is Alphabet Inc Class A at $9.03M (26,239 shares).
• · The portfolio includes a call option on Grayscale Bitcoin Trust (200 shares) with a market value of $12,918.
• · Notable holdings in alternative assets include iShares Bitcoin Trust ($5.62M), Grayscale Bitcoin Trust ($821,796), and Grayscale Bitcoin Mini Trust ($358,415).
• · The filing was signed by Ben Frey, Partner, CCO & COO of Epiq Partners, LLC.

07-10-2026

Echo45 Advisors LLC filed its quarterly 13F-HR for the period ending September 30, 2026, reporting a total portfolio value of approximately $219.4 million across 120 equity positions. The filing shows a diversified portfolio with significant allocations to ETFs, particularly Vanguard and iShares funds, as well as major tech and consumer stocks. No prior period comparison is available in this filing, so performance trends cannot be assessed.

• · The filing was submitted on October 7, 2026, for the quarter ended September 30, 2026.
• · The filer is Echo45 Advisors LLC, based in Walnut Creek, California.
• · The portfolio includes 120 positions with a total value of $219,436,094.
• · Top holdings by value include Vanguard FTSE Developed Markets ETF ($24.8M), Vanguard FTSE Emerging Markets ETF ($10.6M), SPDR Dow Jones Industrial Average ETF Trust ($8.4M), Invesco S&P 500 Equal Weight ETF ($19.0M), and Invesco Optimum Yield ETF ($7.1M).
• · Notable individual stock holdings include Apple Inc. ($5.5M), Microsoft Corp ($2.3M), Amazon.com Inc ($1.7M), NVIDIA Corporation ($2.0M), and Alphabet Inc. Class A ($1.4M).
• · The portfolio has a significant allocation to ETFs, particularly from Vanguard, iShares, Invesco, and VanEck.
• · No prior period comparison data is available in this filing.

07-10-2026

Kensington Capital Acquisition Corp. VI announced its proposed $585 million business combination with Nth Cycle, Inc., a critical mineral refining company that uses its modular OYSTER technology to produce battery minerals. Nth Cycle has also been selected for up to $100 million in DOE funding to build a black mass refining facility in the US Southeast, processing shredded lithium-ion batteries into nickel, lithium, and graphite products. While the deal highlights a structural gap in Western midstream refining—over 85% of critical minerals are still refined in China—Nth Cycle’s flexible, modular solution aims to be faster, cheaper, and cleaner, though the business is pre-revenue and faces execution risk in scaling its technology.

• · Nth Cycle targets three verticals: battery minerals, rare earths, and copper.
• · OYSTER platform uses electricity to produce required acids on-site, reducing waste by up to 75% and enabling deployment in as little as two years.
• · Kensington is a SPAC operating team with experience purchasing at GM and Stellantis.
• · The business combination was announced in July 2026.
• · Nth Cycle's independent refining model on the battery minerals side involves purchasing feedstocks from partners.

07-10-2026

TOP SHIPS INC. entered into a Share Purchase Agreement to acquire four 49,940 dwt ice class 1A MR product tankers from an affiliate of its CEO, Evangelos J. Pistiolis, for approximately $34.95 million. The vessels are under construction at Guangzhou Shipyard International and are scheduled for delivery between June 2029 and March 2030. The acquisition was approved by a special committee of independent directors and includes a fairness opinion; the vessels have secured seven-year time charter employment with a major oil trader, generating a total potential gross revenue backlog of about $316.9 million if all extension options are exercised.

• · The SPA was entered into on October 1, 2026, with a closing date subject to customary conditions and successful lease financing by the Seller.
• · The Purchase Price of ~$34.95M is payable by December 31, 2026.
• · If TOP SHIPS raises capital via unsecured debt or equity before closing, 100% of net proceeds must be applied to the Purchase Price.
• · The transaction was approved by a special committee of independent directors and supported by a fairness opinion from an independent financial advisor.
• · The vessels are scheduled for delivery in June 2029, September 2029, December 2029, and March 2030.

07-10-2026

Harbour Island Acquisition Corp. I, a blank-check company (SPAC), filed an amended registration statement (S-1/A) with the SEC on October 7, 2026, for its initial public offering. The filing details a complex capital structure involving ordinary shares, private placement units, Class B ordinary shares, and various redemption scenarios with and without an over-allotment option. The company is organized as a Limited Liability Company and is sponsored by Harbour Island Acquisition Sponsor LLC.

• · Filing type is S-1/A (amended registration statement) under the 1933 Act.
• · SEC File Number: 333-298827.
• · Company is classified under SIC code 6770 (Blank Checks).
• · Fiscal year end is December 31.
• · Business address is 2875 South Ocean Blvd., Palm Beach, FL 33480.
• · The filing includes detailed tables for various redemption scenarios (0%, 25%, 50%, 75%, 100%) both with and without an over-allotment option.
• · Key financial components modeled include: Ordinary Shares Outstanding Prior to This Offering, Less Amounts Paid for Redemptions, Less Overallotment Liability, Less Deferred Underwriting Commissions, and Plus Offering Costs Accrued For or Paid in Advance Excluded From Tangible Book Value.
• · The filing references a date of May 31, 2026, for the modeled redemption scenarios.

07-10-2026

VS Trust filed Amendment No. 1 to its S-1 registration statement for the initial public offering of six new 3x leveraged ETFs: 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF. The funds have not commenced trading and have no performance history. The filing warns that due to daily rebalancing and compounding, returns over periods longer than one day will likely differ significantly from 3x the benchmark, and investors could lose their entire investment in a single day.

• · The funds will not invest in physical commodities but in futures contracts, cash, and cash equivalents.
• · Roll periods for gold futures occur over five business days in January, March, May, July, September, and November.
• · Roll periods for silver futures occur over five business days in February, April, June, August, and November.
• · Bitcoin and ether futures roll over a five-day period beginning on the sixth business day prior to expiry of the near month contract.
• · Each fund intends to be treated as a partnership for U.S. federal income tax purposes, which may result in taxable income allocation to shareholders even without selling shares.
• · The filing includes risk factors such as potential unavailability of futures contracts due to price limits, position limits, or margin requirements.

07-10-2026

Stewards, Inc. filed an 8-K/A to amend its original report on the acquisition of Envy Pompano Beach, reclassifying 7,000,000 escrowed shares as mandatorily redeemable financial instruments under ASC 480. The updated pro forma information shows a preliminary net loss of approximately $29.429 million for FY2025 and $14.933 million for H1 2026, with total liabilities of approximately $206.479 million. The accounting revision does not change the $90.0 million contractual purchase price or the company's cash obligations.

• · The escrowed shares are subject to a stop-transfer and may be transferred or released only on joint instructions.
• · The company is obligated to pay daily liquidated damages for late redemption payments, initially at $1,000 per day per outstanding redemption, increasing to $2,000 per day after the first calendar month.
• · The acquired real estate includes a 214-unit apartment community, a 26-slip marina, and a three-story commercial community center in Pompano Beach, Florida.
• · The pro forma net loss per share is $0.21 for FY2025 and $0.08 for the six months ended June 30, 2026.
• · The accounting revision does not change the $90.0 million contractual purchase price, the legal issuance of 14,263,025 shares, or the company's cash obligations.

07-10-2026

Rye Brook Capital LLC filed its 13F-HR for the quarter ended September 30, 2026, reporting a portfolio of 40 holdings with a total market value of approximately $154.5 million. The fund's largest positions include Invesco QQQ Trust Series 1 ($21.1M), Sprott Physical Uranium Trust ($14.9M), and VanEck Semiconductor ETF ($13.0M), reflecting a strong tilt toward technology and commodity ETFs. No prior-quarter comparison is available in this filing, so period-over-period changes cannot be assessed.

• · Top holding by value: Invesco QQQ Trust Series 1 at $21.1M (28,586 shares).
• · Second largest: Sprott Physical Uranium Trust at $14.9M (797,330 shares).
• · Third largest: VanEck Semiconductor ETF at $13.0M (21,419 shares).
• · Largest single stock position: St Joe Co at $4.6M (69,195 shares).
• · Notable crypto-related holdings: iShares Bitcoin Trust ($2.7M), Grayscale Ethereum Staking ETF ($5.2M), Grayscale Solana Staking ETF ($254K), Solana ETF ($214K).
• · Significant exposure to uranium: Sprott Physical Uranium Trust ($14.9M) and NexGen Energy ($7.3M).
• · No period-over-period comparison is possible as the filing only contains current quarter data.

07-10-2026

Vylor Inc. completed exchange offers and consent solicitations on October 1, 2026, exchanging $1,438,218,000 aggregate principal amount of EIDP senior notes for newly issued Vylor senior notes. The exchange involved three series of notes (2.300% due 2030, 5.125% due 2032, and 4.800% due 2033) and resulted in the retirement and cancellation of the tendered EIDP notes. Vylor also entered into a registration rights agreement with Morgan Stanley, J.P. Morgan, and BofA Securities to file a registration statement for an exchange offer or shelf registration within 366 days.

• · The exchange offers were not registered under the Securities Act of 1933 or any state or foreign securities laws.
• · Vylor Notes are senior unsecured obligations of Vylor and are not guaranteed by any other person.
• · The Vylor Indenture includes customary events of default, including nonpayment, breach of covenants, and bankruptcy/insolvency.
• · Registration rights agreement requires Vylor to use commercially reasonable efforts to file a registration statement within 366 days from the Settlement Date.
• · The exchange offers were conducted by Vylor on behalf of EIDP to adopt proposed amendments to the indentures governing the EIDP Notes.

07-10-2026

Coastlands Capital LP and related entities filed a Schedule 13G on October 7, 2026, disclosing beneficial ownership of 2,700,000 shares of OnKure Therapeutics, Inc. (OKUR) Class A Common Stock, representing 6.67% of the 40,496,309 shares outstanding as of August 3, 2026. The shares are held directly by Coastlands Capital Partners LP. The filers certify that the securities were acquired and are held in the ordinary course of business and not with the purpose of changing or influencing control of the issuer. Pre-funded warrants held by the reporting persons are excluded due to a 4.99% beneficial ownership limitation.

• · The filing was made under Rule 13d-1(c), indicating the filer is not an institutional investor exempt under Rule 13d-1(b) but rather an other person.
• · The reporting persons disclaim beneficial ownership except to the extent of pecuniary interest, and disclaim membership in a group.
• · The filers separately disclaim that Coastlands Capital Partners LP is a beneficial owner under Rule 13d-3.
• · The beneficial ownership calculation excludes pre-funded warrants due to a 4.99% limitation.

07-10-2026

Jakhongir Abidovich Artikkhodjaev transferred 1,000,000 shares of StageWise Strategies Corp. (STWI) to his controlled entity, Tourism and Entertainment Group LLC (TEG LLC), on October 5, 2026, for US$138,268 (US$0.138 per share). Following the transfer, Artikkhodjaev's direct ownership dropped to zero, but he retains beneficial ownership of approximately 79.3% of the company through TEG LLC, which now holds about 59.5% directly. Additionally, a Share Exchange Agreement dated October 6, 2026, provides for the Issuer to acquire substantially all equity interests of TEG SPV, making it a wholly-owned subsidiary upon closing.

• · The transfer was executed under a Contribution Agreement dated October 5, 2026, and the shares were valued at 1,667.622 sum per share per an independent appraisal.
• · The transferred shares represent 19.824% of the total issued shares (5,044,334).
• · TEG LLC's charter fund increased to 352,025,622,560.87 sum, with Artikkhodjaev's stake in TEG LLC at 99.9262292%.
• · A Share Exchange Agreement dated October 6, 2026, provides for the Issuer to acquire substantially all equity interests of TEG SPV, making it a wholly-owned subsidiary upon closing.
• · No other transactions involving the Issuer's shares have occurred since the most recent Schedule 13D filing.

07-10-2026

Innovative Solutions and Support, Inc. (ISSC) acquired Sparton Aydin, LLC (doing business as Aydin Displays) on July 21, 2026, for an undisclosed amount. Aydin is a vertically integrated designer and manufacturer of ruggedized displays for military and aerospace applications. The filing includes audited financials for FY2025 and unaudited interim results for the six months ended June 30, 2026, showing a decline from net income of $882,000 in FY2025 to a net loss of $69,000 in the first half of 2026, with net sales falling from $16.33M to $7.30M.

• · Aydin is a vertically integrated designer and manufacturer of ruggedized displays for mission-critical aerospace, defense, and industrial applications.
• · The acquisition closed on July 21, 2026, via a Membership Interest Purchase Agreement with Sparton Corporation (seller), a wholly owned subsidiary of Elbit Systems of America.
• · Aydin's customer base is highly concentrated: 72% of sales from five customers in FY2025 and 76% in H1 2026.
• · Cash flow from operations turned negative: $457K provided in FY2025 vs. ($360K) used in H1 2026.
• · Goodwill of $10.33M remained unchanged between periods, indicating no impairment recorded.

07-10-2026

CEMEX SAB DE CV filed a Form 6-K with the SEC on October 7, 2026, signed by Chief Comptroller Jaime Martínez Merla on October 6, 2026. The filing contains no financial data, business updates, or substantive disclosures beyond the signature block.

07-10-2026

CSLM Digital Asset Acquisition Corp III, Ltd (KOYNU) entered into a business combination agreement on October 6, 2026 to acquire First Digital Group Ltd., valuing the company at $250 million. The transaction involves a re-domiciliation of First Digital from Gibraltar to the Cayman Islands, followed by a series of mergers that will result in First Digital becoming a wholly-owned subsidiary of a new public entity (PubCo). Key consideration includes the issuance of PubCo Class B ordinary shares to founder Vincent Chok and the conversion of existing warrants, including those held by Binance-related entities and Noble Elite Ltd.

• · The PubCo Equity Incentive Plan will reserve up to 10% of the Post-Closing Fully Diluted Share Count for issuance.
• · Founder Earn-Out Shares will be issued to Vincent Chok and held in escrow, released upon achievement of post-closing milestones; unachieved milestones result in forfeiture.
• · Unvested FDG Tokens will be cancelled without consideration, though PubCo's board may re-grant options under the equity plan.
• · The Binance Company Warrant and Noble Elite Company Warrant will be exchanged for PubCo warrants with terms based on the Exchange Ratio.
• · Closing conditions include shareholder approvals from both KOYN and First Digital, Nasdaq listing approval, and no adverse governmental orders.

07-10-2026

Morgan Stanley Ethereum Trust disclosed in an 8-K filing that Craig Abruzzo has been appointed Co-Chief Operating Officer and a director of its Delegated Sponsor, Morgan Stanley Investment Management Inc., effective October 1, 2026. Mr. Abruzzo, a Managing Director, brings extensive experience from prior roles including global Head of Enterprise Controls at Morgan Stanley and co-head of Foreign Exchange and Emerging Markets. This is a routine personnel update with no financial impact or performance data reported.

• · The filing is an 8-K under Item 8.01 (Other Events) dated October 7, 2026, reporting an event effective October 1, 2026.
• · Mr. Abruzzo previously served as global Head of Enterprise Controls for Morgan Stanley and global co-head of Foreign Exchange and Emerging Markets in the Fixed Income Division.
• · He also held roles as global head of Futures and Derivatives Clearing, and earlier in Prime Brokerage product development, strategy, and marketing.
• · Mr. Abruzzo was an attorney in the swaps and derivatives practice at Cravath, Swaine and Moore before joining Morgan Stanley.
• · The Trust is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

07-10-2026

Robo.ai Inc. reported September 2026 revenue exceeding US$100 million and expects full-year 2026 revenue of approximately US$600 million. The press release highlights strong revenue performance, but no prior-period comparisons are provided to assess growth trends or segment performance.

• · No prior-period revenue data or growth percentages were disclosed in the filing.
• · The filing does not provide segment-level or geographic breakdowns of revenue.

07-10-2026

Venture Global, Inc. reported preliminary Q3 2026 operating metrics, selling 465.8 TBtu of LNG at an implied weighted average fixed liquefaction fee of $6.79/MMBtu and exporting 124 cargos. The Plaquemines facility drove the majority of volume with 328.1 TBtu and 87 cargos, while Calcasieu Pass contributed 137.7 TBtu and 37 cargos. However, the company noted that 20.4 TBtu from five DES cargos exported in the quarter will be recognized in the following quarter, and full net income and cash flow results remain pending until the formal earnings release.

• · The implied weighted average fixed liquefaction fee of $6.79/MMBtu does not include the impact of gas supply basis.
• · Revenue from DES cargos is recognized upon delivery at the vessel destination, not at loading.
• · The company does not provide a reconciliation of forward-looking Consolidated Adjusted EBITDA to GAAP net income due to forecasting difficulties.
• · Full Q3 2026 financial results (net income, cash flow) will be announced in the formal quarterly earnings report.

07-10-2026

Gogoro Inc. announced a US$61.8 million new round of equity investment through share purchase agreements with four investors: Gold Sino Assets Limited, Peng-Lin Investment Limited, Ruen Hua Dyeing & Weaving Co., Ltd., and Yi Tai Investment Co., Ltd. The company also announced the appointment of three new directors. The filing does not provide any financial performance data for period-over-period comparison.

• · The share purchase agreements were all dated October 7, 2026.
• · The press release regarding the equity investment is Exhibit 99.1.
• · The press release regarding director appointments is Exhibit 99.2.

07-10-2026

Clinuvel Pharmaceuticals Ltd filed routine documents with the Australian Securities Exchange on October 5, 2026, including an application for quotation of securities, a notification of cessation of securities, and a cleansing statement. The filing was reported via Form 6-K to the SEC on October 7, 2026. No financial results or material business developments were disclosed.

• · Filed Appendix 2A (Application for quotation of securities), Appendix 3H (Notification of cessation of securities), and Section 708A Cleansing Statement with the ASX.
• · The filing is a routine disclosure under SEC Rule 13a-16 for foreign private issuers.

07-10-2026

NorthStar Earth & Space Enterprises, Inc. (formerly Viking Acquisition Corp. I) has filed a Form 25 with the SEC to voluntarily withdraw its Common Shares and Warrants from listing and registration on the New York Stock Exchange, effective October 7, 2026. The delisting is being conducted under SEC Rule 12d2-2(c), which governs voluntary withdrawal of securities from an exchange. The filing was certified by CFO Beth Michelson.

• · The company's SEC Commission File Number is 001-42927.
• · The company's principal executive offices are located at 384 Rue Saint-Jacques #300, Montreal, Québec H2Y 1S1.
• · The company's telephone number is (514) 595-7474.
• · The delisting is voluntary under 17 CFR 240.12d2-2(c).

07-10-2026

ZenaTech, Inc. filed a Form 6-K on October 7, 2026, announcing that it posted an updated investor presentation on its website on October 6, 2026. The presentation is intended for use in meetings with investors, analysts, and other interested parties. The filing is a routine disclosure and does not contain any specific financial results or material operational updates.

07-10-2026

Himalaya Shipping Ltd. filed a Form 6-K with the SEC on October 7, 2026, attaching a press release as Exhibit 99.1. The filing is a routine foreign private issuer report for the month of October 2026, signed by CEO Lars-Christian Svensen. No specific financial or operational data is disclosed in the filing itself.

• · Filing type is Form 6-K under the Securities Exchange Act of 1934.
• · Commission file number is 001-41676.
• · Registrant's address is S. E. Pearman Building, 2nd floor, 9 Par-la-Ville Road, Hamilton HM 11, Bermuda.
• · The registrant indicates it files annual reports under Form 20-F.

07-10-2026

NetEase, Inc. filed a Form 6-K with the SEC on October 7, 2026, attaching its monthly return submitted to the Hong Kong Stock Exchange regarding movements in its securities. The filing is a routine regulatory disclosure and contains no financial results or material business updates.

07-10-2026

Lifezone Metals Ltd announced a US$8 million reduction in the cap on consideration payable to BHP Billiton (UK) DDS Limited, following an independent expert determination that the Kabanga Nickel Project's Resettlement Action Plan remains in material alignment with the International Finance Corporation's Performance Standard 5. This reduces the maximum potential payment to BHP, improving the company's financial outlook.

• · The reduction follows an independent expert determination that the Resettlement Action Plan is in material alignment with IFC Performance Standard 5.
• · The filing is a Form 6-K under the Securities Exchange Act of 1934.

07-10-2026

Lufax Holding Ltd filed a Form 6-K with the SEC for October 2026, attaching its monthly return to the Stock Exchange of Hong Kong detailing movements in securities for equity issuers and Hong Kong Depositary Receipts listed under Chapter 19B. The filing was signed by CEO Xiang Ji and provides routine disclosure of share capital changes, if any, during the period. No financial results or material events were reported in this filing.

• · The filing is a routine monthly return on securities movements, not a financial results announcement.
• · The report covers equity issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules.
• · No specific share movements, new issuances, or cancellations were detailed in the provided text.

07-10-2026

Radware Ltd. announced it will host a conference call to discuss its third quarter 2026 financial results on a date to be determined. The filing is a routine Form 6-K providing notice of the upcoming earnings call, with no financial results or operational metrics disclosed.

• · The filing is dated October 7, 2026.
• · The conference call is for third quarter 2026 earnings.
• · No financial results, guidance, or performance data were provided in this filing.

07-10-2026

Titan Mining Corporation submitted a Form 6-K to the SEC for October 2026, which includes a press release dated October 7, 2026. The filing is a routine foreign issuer report but does not provide any quantitative financial data or operational metrics beyond the administrative details of the submission.

• · The filing is a Form 6-K (Report of Foreign Private Issuer) for the month of October 2026.
• · Annual reports are filed under Form 40-F (checked), not Form 20-F.
• · The press release (Exhibit 99.1) is dated October 7, 2026, but its content is not disclosed in this filing.

07-10-2026

Vertical Aerospace Ltd. (EVTWF) disclosed that its subsidiary VAGL filed a patent infringement counterclaim against Archer Aviation Inc. in the U.S. District Court for the Eastern District of Texas, alleging that Archer's eVTOL Midnight aircraft infringes VAGL's U.S. Patent No. 12,747,027. The counterclaim is part of an ongoing lawsuit initiated by Archer on February 23, 2026, and seeks injunctive relief and monetary damages. This is a legal escalation in the competitive eVTOL market, with no financial figures disclosed.

• · The counterclaim was filed on October 6, 2026, in the U.S. District Court for the Eastern District of Texas.
• · The underlying lawsuit was filed by Archer Aviation on February 23, 2026 (Civil Action No. 2:26-cv-00149-JRG).
• · The patent at issue is U.S. Patent No. 12,747,027.
• · The counterclaim seeks injunctive relief and monetary damages.
• · The filing is incorporated by reference into multiple Form F-3 registration statements.

07-10-2026

AITX announced via an 8-K filing that it issued a press release on October 7, 2026, titled 'AITX's RAD Turns Small Orders into a Substantial Property Management Relationship'. The filing is furnished under Item 8.01 and is not deemed filed for Exchange Act purposes. No financial figures or performance metrics were disclosed in the filing.

• · The press release is attached as Exhibit 99.1 to the 8-K filing.
• · The filing is dated October 7, 2026, and the press release was issued on the same date.
• · The company's principal executive offices are located at 10800 Galaxie Avenue, Ferndale, Michigan, United States 48220.
• · The company's telephone number is (877) 787-6268.
• · The company is incorporated in Nevada and has IRS Employer Identification No. 27-2343603.

07-10-2026

Rezolve AI plc held an Investor Day on October 6, 2026, where management presented business developments and strategic plans. The company issued full-year 2026 revenue guidance of approximately $360 million and targeted an annual recurring revenue (ARR) exit rate of at least $500 million for 2026. It also expects approximately $60 million in annualized benefits from an operating efficiency program, but cautioned that operating cash outflows are expected in the second half of 2026 and the second half of 2027, highlighting ongoing cash burn alongside growth ambitions.

• · The company expects operating cash outflows in the second half of 2026 and the second half of 2027.
• · Rezolve has a limited operating history and history of financial losses.
• · The company highlighted risks including dependence on strategic relationships with Microsoft, Google, Tata Consultancy Services, and Tech Mahindra.
• · The filing includes forward-looking statements about revenue mix shift toward software, recurring platform, and infrastructure licensing revenue.
• · The company has a share repurchase authority but no exercise was specified.

07-10-2026

SeaTown Holdings Pte. Ltd. filed its quarterly Form 13F-HR with the SEC for the period ending September 30, 2026, disclosing its institutional holdings. The filing reports only two other reporting managers (SeaTown Holdings International Pte. Ltd. and SeaTown New Reality Sustainable Opportunities Master Fund) and no reportable equity holdings for the filer itself, as indicated by zero shares and zero value across all entries.

• · Filer reported zero holdings (0 shares, 0 value) for all securities in the information table.
• · The filing was signed by Ronald Ding, Head of Compliance, on July 23, 2026 (though the filing date is October 7, 2026).
• · The report covers the quarter ended September 30, 2026.

07-10-2026

Odyssey Marine Exploration Inc. filed an S-4/A registration statement with the SEC on October 6, 2026, providing selected historical financial information for itself, AOM, and CIC Limited in connection with a proposed merger. The filing reveals that Odyssey's financial position has deteriorated significantly: total assets fell from $18.5M (Dec 2024) to $15.8M (Dec 2025) and further to $13.2M (Jun 2026), while total liabilities increased from $97.6M to $93.2M over the same period, leaving stockholders' deficit at -$79.9M as of June 2026. Revenue dropped sharply from $768,677 in FY2024 to $353,719 in FY2025, and net loss attributable to Odyssey widened to -$43.1M in FY2025 compared to a net income of $15.7M in FY2024. The company's accumulated deficit reached -$332.5M by June 2026, and cash reserves declined from $4.8M (Dec 2024) to $2.3M (Jun 2026).

• · Odyssey's marine services revenue fell from $726,395 in FY2024 to $353,719 in FY2025, a decline of 51.3%.
• · Operating expenses increased from $12.8M in FY2024 to $13.8M in FY2025, despite the revenue drop.
• · Loss from operations widened from -$12.0M in FY2024 to -$13.4M in FY2025.
• · Change in derivative liabilities fair value swung from a gain of $18.9M in FY2024 to a loss of -$28.2M in FY2025.
• · AOM, formed on May 9, 2025, had total assets of $68.2M as of June 30, 2026, but total liabilities of $97.4M and a net loss of -$27.4M for the six months ended June 30, 2026.
• · CIC Limited's selected historical financial information is included but no specific figures are provided in the excerpt.

07-10-2026

Costco reported net sales of $297,247 million for fiscal 2026, a 10% increase from $269,912 million in fiscal 2025, with comparable sales up 8% (7% excluding FX and gasoline). Gross margin percentage declined slightly to 11.09% from 11.12%, while SG&A as a percentage of sales improved to 9.15% from 9.25%. Operating cash flow rose to $15,817 million from $13,335 million, but investing cash outflows increased to $6,378 million from $5,311 million.

• · Average sales per warehouse for warehouses opened in 2026 were $187 million (annualized), compared to $192 million for those opened in 2025.
• · Warehouses opened in 2024 averaged $170 million in their first year, while those opened in 2023 averaged $151 million.
• · U.S. net sales increased 10% in FY2026, Canada 10%, and Other International 12%.
• · Comparable sales excluding FX and gasoline: U.S. +7%, Canada +7%, Other International +6% in FY2026.
• · Interest income and other, net increased to $711 million in FY2026 from $589 million in FY2025.
• · Effective tax rate decreased to 24.7% in FY2026 from 25.1% in FY2025.
• · Net cash used in financing activities decreased to $3,355 million in FY2026 from $3,775 million in FY2025, and from $10,764 million in FY2024.

07-10-2026

Nasdaq Stock Market LLC has filed a Form 25-NSE to delist the common stock of NUSATRIP Inc (NUTR), effective at the opening of trading on October 16, 2026. The delisting follows Nasdaq Staff's determination on August 3, 2026, that the company no longer qualified for listing under Listing Rules 5250(c)(1) and 5101, and the company did not appeal the decision. The stock was already suspended on August 12, 2026, and the delisting determination became final on that date.

• · The delisting is effective at the opening of trading on October 16, 2026.
• · Nasdaq Staff determination was made on August 3, 2026, under Listing Rules 5250(c)(1) and 5101.
• · The company did not appeal the Staff Delist Determination Letter.
• · The company's common stock was suspended on August 12, 2026.
• · The Staff determination to delist became final on August 12, 2026.

07-10-2026

Nuvve Holding Corp. reduced the exercise price of Outstanding AIR Warrants to $1.00 and removed the floor price, leading to the immediate exercise of 253,954 warrants for gross proceeds of approximately $253,954. The action was taken under the terms of the existing securities purchase agreement originally entered into on October 31, 2024, and follows prior exercises of Additional Investment Rights in 2025.

• · The exercise price reduction and floor price removal were made pursuant to Section 2(h) of the Outstanding AIR Warrants.
• · The resale of shares issuable upon exercise of the Additional Notes and Additional Warrants has been registered under Form S-1 (File No. 333-292624).
• · Prior exercises of the Additional Investment Right occurred in May 2025, September 2025, November 2025, and December 2025.

07-10-2026

REDLattice, a national security technology company, is going public via a SPAC merger with Bold Eagle Acquisition Corp. (Nasdaq: BEAG), announced in a fireside chat on October 5, 2026. CEO Andy Boyd highlighted the company's focus on bespoke intelligence, military, and law enforcement capabilities, with plans to expand organically and through M&A, particularly with Five Eyes allies. The transaction will be subject to a shareholder vote and requires SEC registration, with no financial terms disclosed in this communication.

• · REDLattice only sells to U.S. government agencies (intelligence, military, law enforcement) and allied nation-states, not commercial customers.
• · CEO Andy Boyd is a former CIA director of the Center for Cyber Intelligence, retired in late 2023.
• · REDLattice is owned by private equity firm AE Industrial Partners.
• · Bold Eagle's prior SPAC deals include DraftKings and Lionsgate.
• · The business combination will be filed via a Form S-4 registration statement with the SEC.
• · Bold Eagle's 10-K for FY2025 was filed on March 23, 2026.

07-10-2026

Figure Technology Solutions reported preliminary Q3 2026 operating data at the high end of its $4.8B-$5.2B guidance, with Consumer Loan Marketplace Volume surging 107% YoY to $5.119B and 20% QoQ. However, $YLDS in Circulation declined 9% QoQ to $504M, and Available Lender Supply on Democratized Prime dipped 1% MoM to $825M, signaling mixed momentum across key metrics.

• · Q3 2026 Consumer Loan Marketplace Volume of $5.119B was at the high end of the $4.8B-$5.2B guidance range.
• · Kiavi loan volumes for the approximate one-month period post-Merger (closed September 1, 2026) will be included in Q3 2026 financial results to be released in November.
• · Figure and its partners have originated approximately $30 billion of home equity to date.
• · Figure has received AAA ratings from S&P and Moody's on multiple loan securitizations.
• · More than 489 partners use Figure's loan origination system and capital marketplace.
• · $YLDS in Circulation declined 9% QoQ to $504M, while Available Lender Supply dipped 1% MoM to $825M.