US SEC Filings Daily Market Digest — October 15, 2026

14-10-2026

Pioneer Acquisition I Corp (PACHU), a Cayman Islands SPAC, entered into a Business Combination Agreement dated October 6, 2026 with Green AI Cloud, Inc., a Delaware corporation, under which Pioneer will re-domicile to Delaware and merge with Green AI Cloud as a wholly owned subsidiary. Green AI Cloud holders will receive 30,000,000 new shares valued at $300.0M at $10.00 per share, plus 5,000,000 earn-out shares ($50.0M) tied to EBITDA and VWAP thresholds through December 31, 2029. The filing is a Rule 425 communication and the deal remains subject to S-4 registration, shareholder approvals, redemptions, and customary closing conditions.

• · Sponsor Class B ordinary shares convert one-for-one into Class A shares immediately before Domestication
• · Earn-Out vesting also accelerates automatically upon a Change of Control; unvested shares are forfeited after the final determination date
• · Earn-Out tranches can vest on a cumulative catch-up basis if cumulative EBITDA thresholds are met in a later fiscal year
• · Pioneer must hold the shareholder meeting within 30 Business Days after the Registration Statement is declared effective
• · Green AI Cloud must obtain Requisite Shareholder Approval by written consent within 3 Business Days after effectiveness, otherwise call a meeting
• · Representations and warranties do not survive Closing, with no indemnification except for Fraud Claims
• · SEC filing fees for the Registration Statement are borne by Green AI Cloud
• · The Exchange Ratio is determined by dividing 30,000,000 shares by Green AI Cloud's outstanding common shares immediately before the Effective Time
• · Transaction is intended to qualify as a reorganization under IRC Section 368(a)(1)(F) (Domestication) and Section 368(a) (Merger)

14-10-2026

BlackRock, Inc., acting as investment manager for some of its clients, disclosed that as of October 8, 2026 its aggregate holdings in Banco Bradesco S.A. reached 562,349,871 preferred shares (including ADRs), approximately 10.060% of total preferred shares. The filing also reports 143,148,325 common shares (approximately 2.553% of common shares) and 24,606,349 cash-settled derivative instruments referenced to preferred shares (approximately 0.440%). The disclosure reflects a passive investor's position change rather than a corporate action by the issuer.

• · Holdings are reported as of October 8, 2026, with the filing dated October 14, 2026
• · Preferred share ownership is approximately 10.06%, a level that crosses a 10% disclosure threshold for the preferred class
• · Derivative positions are cash-settled, so they do not directly convert into shares

14-10-2026

Central Puerto S.A. disclosed a relevant event reporting share purchases made between October 9 and October 13, 2026 by its subsidiaries. CPSA (BYMA) acquired 120,000 shares at an average price of AR$ 2,037.49, for a total cash amount of AR$ 244,499,775. Proener (NYSE) acquired 30,000 ADRs (equivalent to 300,000 shares) at an average price of USD 12.69, for a total cash amount of USD 380,764.92. The filing reflects open-market buying activity by group entities in both Argentine and US markets.

• · Transaction dates were 10/09/2026 with trade completion on 10/13/2026 for both entities
• · Implied price per equivalent share for Proener is approximately USD 1.27 (USD 12.69 per ADR divided by 10 shares per ADR)

14-10-2026

Immutep Limited furnished a Form 6-K to the SEC attaching Exhibit 99.1, a press release announcing that the company has regained compliance with the Nasdaq minimum bid price requirement. The filing is dated October 13, 2026 and was signed by CEO Marc Voigt. The filing itself contains no financial figures, share price levels, or compliance deadlines beyond the regained-compliance announcement.

• · Filing type is Form 6-K (Report of Foreign Private Issuer) under Rule 13a-16, with Form 20-F checked as the annual report form
• · Commission File Number 001-35428; principal executive office at Level 32, Australia Square, 264 George Street, Sydney NSW 2000, Australia
• · Exhibit 99.1 is the source of the compliance news; the main document body contains only cover and signature content

14-10-2026

Petrobras (PBR-A) published a 6-K on October 14, 2026 announcing a webcast scheduled for November 11, 2026 at 11:30 a.m. Brasília time (9:30 a.m. New York, 2:30 p.m. London), available in Portuguese and English. The filing contains no financial results, quantitative metrics, or operational data; it is an event logistics notice only.

• · Webcast scheduled for November 11, 2026 (Wednesday)
• · Available in Portuguese and English language versions
• · Start time: 11:30 a.m. Brasília, 9:30 a.m. New York, 2:30 p.m. London
• · The filing body does not disclose the event's purpose or agenda (the title is blank in the extracted content)

14-10-2026

Vale S.A. filed a Form 6-K for September 2026 reporting holdings of securities by the company and its affiliates. No transactions in securities or derivatives were carried out during the month, so all opening and closing balances are unchanged: 14,482,658 common shares (ON) held directly by Vale, 3,534,700 ON shares held through Mineração Brasileiras Reunidas S.A., and 165,379,611 ADRs held through Vale Holdings B.V. The filing is a routine administrative disclosure with no material operational or financial news.

• · No securities or derivatives transactions were carried out by the company, its subsidiaries, or affiliates in September 2026.
• · The filing was signed October 13, 2026 and submitted as a Form 6-K under Rule 13a-16 by a Form 40-F registrant.

14-10-2026

Glucotrack, Inc. filed an S-1/A amendment on October 13, 2026 (Registration No. 333-299000) for a registration statement covering resale/offering of its securities. The company disclosed it no longer met Nasdaq's $2,500,000 minimum stockholders' equity requirement (Listing Rule 5550(b)(1)) as of March 31, 2026, which became an additional delisting basis; the Panel later determined on August 14, 2026 that the equity deficiency was cured and granted continued listing subject to conditions, including a reverse split and maintaining a $1.00 closing bid price through November 9, 2026. The company effected a one-for-15 reverse stock split on August 28, 2026, but the filing states there is no assurance it will satisfy the remaining conditions.

• · Merger Agreement dated July 14, 2026: Merger Sub merged into Lokahi Therapeutics, Inc., which survives as a wholly owned subsidiary of the Company
• · Panel hearing held June 18, 2026 on Bid Price Rule and Equity Rule compliance plan
• · Annual stockholder meeting held August 18, 2026, approving reverse split authority
• · Conditions include closing bid at or above $1.00 by August 31, 2026 and each trading day through November 9, 2026
• · Risk factor disclosure warns of possible delisting from Nasdaq Capital Market
• · Filing identifies going-concern risk and need to raise additional capital on acceptable terms

14-10-2026

Spring Valley Acquisition Corp. V, a Cayman Islands blank check company based in Dallas, TX, filed Amendment No. 1 to its Form S-1 registration statement to offer 20,000,000 units at $10.00 per unit, for gross proceeds of $200,000,000 ($230,000,000 if the over-allotment option is exercised in full). The company has not yet selected a business combination target and intends to focus on power infrastructure, decarbonization, AI infrastructure, digital infrastructure, and industrial electrification. Underwriting discounts and commissions total $12,000,000 ($0.60 per unit), leaving $188,000,000 in proceeds before expenses.

• · Public warrants become exercisable on the later of 30 days after the business combination or 12 months from offering close, and expire seven years after the business combination.
• · Trust account funds ($10.00 per unit) are held with Odyssey Transfer and Trust Company and are not released until business combination, shareholder-approved amendment, or liquidation.
• · Company is an emerging growth company and smaller reporting company with reduced reporting requirements.
• · Investors will not receive protections normally afforded under Rule 419 blank check offerings.
• · Initial shareholders, executives, and directors agreed not to propose extension amendments without offering public shareholders a redemption opportunity.
• · Risk factors begin on page 47 of the preliminary prospectus.

15-10-2026

Cantor Equity Partners V, Inc. (Nasdaq: CEPV) appointed Robert Hochberg to its Board of Directors effective October 14, 2026, as a Class II director, with seats on the audit and compensation committees. Hochberg is President and CEO of Numeric Computer Systems, Inc. and receives $50,000 per year in director compensation, paid quarterly. The filing discloses no negative or flat financial metrics, as it contains no financial results.

• · Hochberg has served as President of Numeric since June 1984 and as CEO since November 1994
• · Hochberg is a director of Lightwave Acquisition Corp. (since June 2025) and Cantor Equity Partners VI, Inc. (since February 2026)
• · Prior SPAC board roles include successful business combinations with GCM Grosvenor, View, AEye, XBP Global, Twenty One Capital, and AIR Global PLC
• · Company states Hochberg is qualified based on extensive business management experience
• · No family relationships exist between Hochberg and any director or executive officer

15-10-2026

Hain Celestial appointed Patricia Ferrari and Richard Shinder as independent directors on October 11, 2026, while directors Shervin J. Korangy and Carlyn R. Taylor resigned effective October 9, 2026, citing other commitments rather than disagreements. Separately, the company disclosed that a closing condition for the pending sale of its International business to AURELIUS was not satisfied: the lender credit agreement amendment was due by October 12, 2026, and the deal remains under discussion with AURELIUS and lenders. The company has not disclosed a revised timeline.

• · Ferrari joins the Compensation and Strategy Committees; Shinder joins the Audit and Strategy Committees
• · The Board determined both new directors are independent under Nasdaq and SEC rules
• · Korangy resigned due to his appointment as CEO of Fresenius Medical Care; Taylor cited her CEO role at Sirva; neither resignation involved a disagreement with the company
• · The International Business Transaction covers UK, Ireland and European operations, including brands such as Ella's Kitchen, Joya, Natumi, Hartley's, Cully & Sully, Yorkshire Provender and New Covent Garden
• · The company is also in discussions with lenders about its capital structure and says it is evaluating all available paths

15-10-2026

Banco Santander, S.A. announced it will carry out the total early redemption and cancellation of two export finance covered bond issues on 19 October 2026 (next coupon payment date, per the applicable business day convention); the cancellation is implemented on 17 October 2026 through the early cancellation of 12,000 Series 2 bonds (EUR 100,000 nominal each) and 19,000 Series 3 bonds (USD 200,000 nominal each). All bonds to be redeemed are held by the Issuer itself. The filing is a routine debt-management disclosure with no stated impact on earnings or operations.

• · Series 2 ISIN: ES0413900640; Series 3 ISIN: ES0413900657
• · All bonds being redeemed and cancelled are held by the Issuer, so no third-party bondholders are affected
• · Filed as 'Other Relevant Information' under Spanish securities market rules

15-10-2026

FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing its equity and fixed-income holdings as an institutional investment manager. The excerpt shows large positions in mega-cap technology and financial names, including Apple (about $816.3M), Alphabet Class C (about $855.6M), Meta Platforms (about $680.3M), and Amazon (about $577.1M). The provided excerpt is truncated and does not include period-over-period comparisons, so no change-over-time performance can be assessed.

• · Filing covers the period ended September 30, 2026 and was filed October 15, 2026 with the SEC (File No. 028-05330).
• · Filer is based in Cincinnati, Ohio, at 303 Broadway, Suite 1200, with 466 other included managers listed.
• · Largest disclosed position in the excerpt is Alphabet Class C; Cintas Corp (about $812.8M) is also a major holding, and Abbott-, Amazon-, and Apple-type positions are reported largely under SOLE voting authority.
• · Most positions are reported with SOLE investment discretion, and the excerpt contains small DFND (defined/shared) lines for several names such as AbbVie, Alphabet Class A, and Bank of America.
• · The excerpt is truncated mid-table, so the full portfolio value, total position count, and quarter-over-quarter changes cannot be verified from this document.

15-10-2026

Purebase Corporation (PUBC) filed a Form NT 10-Q (Rule 12b-25 notification) on October 15, 2026, stating it cannot file its Quarterly Report on Form 10-Q for the three months ended August 31, 2026 by the prescribed deadline without unreasonable effort or expense. The company targets filing by October 31, 2026. The filing also discloses that its Quarterly Report for the three months ended May 31, 2026 has not been filed, meaning the company is delinquent on more than one periodic report.

• · Company has not filed its 10-Q for the quarter ended May 31, 2026, in addition to the late August 31, 2026 quarter
• · Registrant states it needs additional time to compile and finalize certain disclosures, without specifying the nature of the holdup
• · Company reports no anticipated significant change in results of operations versus the corresponding prior-year period
• · Principal executive office is located at 14110 Ridge Road, Sutter Creek, California 95685

15-10-2026

CollPlant Biotechnologies Ltd. entered into a securities purchase agreement on October 9, 2026 for a private placement of 989,301 ordinary shares (or pre-funded warrants) plus unregistered ordinary warrants to purchase up to 1,483,950 ordinary shares, at a combined price of $3.74 per share and warrant, closing October 14, 2026 with expected gross proceeds of approximately $3.7 million. Proceeds are earmarked for general corporate purposes, working capital, and R&D; the deal is dilutive, with a placement agent fee of 7.0% (3.5% for existing shareholders), a 1.0% management fee, and warrants for 6.0% of placed shares, and it carries a one-year restriction on variable rate transactions.

• · Offering was priced October 9, 2026 and closed October 14, 2026, with the company agreeing to file a resale registration statement within 60 days
• · Investors were accredited and the securities were issued under Section 4(a)(2) and Regulation D, so they are unregistered and resale is restricted until a registration statement is effective
• · Placement agent fees and expenses are paid in addition to the $3.7M gross figure, so net proceeds will be lower than the headline amount
• · Ordinary warrants are exercisable immediately at $3.74 for five years post-effectiveness and may be exercised cashless if no registration statement is effective, creating potential future dilution
• · Company is restricted from using proceeds to repay debt (other than ordinary-course trade payables), redeem shares, settle litigation, or violate FCPA/OFAC rules

15-10-2026

AJU IB Investment Co., Ltd. filed a Form 13F-HR for the period ended September 30, 2026, submitted October 15, 2026. The filing is a quarterly institutional investment manager holdings report, and the information table in the attached document contains no reported positions, values, or share counts.

• · SEC file number 028-21185; CIK 0001710065; reporting period ended September 30, 2026
• · Information table lists zero value and zero shares, with an empty issuer title, suggesting a nil or placeholder 13F report rather than a substantive holdings disclosure
• · Filer is based in Seoul, South Korea, at 5F, AJU Building, 201 Teheran-ro, Gangnam-gu

15-10-2026

Karbon-X Corp. (KARX), formerly Cocoluv, Inc., filed a Form NT 10-Q on October 15, 2026, notifying the SEC that it cannot timely file its quarterly report for the period ended August 31, 2026, due to delays in completing its financial statements. The registrant invokes Rule 12b-25(b) relief, indicating it expects to file the 10-Q within five calendar days after the prescribed due date. The company states no significant change in results of operations is anticipated, and no quantitative financial results are disclosed in the notice.

• · Reporting period for the delayed 10-Q ended August 31, 2026
• · Filing date of the NT 10-Q notice: October 15, 2026
• · Company formerly known as Cocoluv, Inc.
• · Headquartered at 6575 West Loop South, Suite 500, Bellaire, TX 77401
• · Management indicates no significant change in results of operations versus the prior-year corresponding period

15-10-2026

Clinuvel Pharmaceuticals Limited furnished a Form 6-K dated October 15, 2026, attaching an ASX Appendix 3H, which is a notification of cessation of securities. The filing contains no financial results, monetary amounts, or performance metrics, and reflects a routine administrative disclosure of securities ceasing to be quoted or held.

• · Filed as Exhibit 99.1 (Appendix 3H - Notification of cessation of securities) with the ASX on October 15, 2026
• · Registrant's principal executive office is located at Level 22, 535 Bourke Street, Melbourne, VIC 3000, Australia
• · Registrant is a Form 20-F filer, Commission File Number 001-43353

15-10-2026

KB Financial Group Inc. filed a Form 6-K on October 15, 2026 announcing that it will hold its 2026 Third Quarter Earnings Conference on Thursday, October 29, 2026 at 16:00 Korea time, with a live webcast and conference call in Korean and English. The filing contains no financial results, so no performance metrics are disclosed in this document.

• · Earnings conference date: Thursday, October 29, 2026, 16:00 Korea time
• · Presentation materials and live webcast available on IR website www.kbfg.com in Korean and English
• · Simultaneous interpretation provided for English-speaking participants
• · Q&A conducted via telephone after the presentation (overseas: 82-31-810-3128; Korea: 031-810-3128; passcode 6412#; Q&A code *1)

15-10-2026

FACTORIAL MANAGEMENT Ltd, a Hong Kong-based institutional investor, filed a Form 13F-HR reporting its equity and convertible debt holdings as of September 30, 2026. The filing lists three positions with a combined reported value of approximately $3.48 million, including convertible notes issued by Alibaba Group and Trip.com Group and a stake in HDFC Bank via American Depositary Shares. The filing is a routine quarterly disclosure with no indication of material corporate action.

• · Filer is a non-US institutional manager (Hong Kong address), SEC file number 028-17644, with all positions reported under sole investment and voting authority.
• · Holdings are concentrated in China-linked convertible debt (Alibaba, Trip.com) and one Indian bank equity ADS (HDFC Bank), with convertible notes making up roughly 72% of reported value.

15-10-2026

Ruen Hua Dyeing & Weaving Co., Ltd. filed a Schedule 13D reporting beneficial ownership of 9,867,015 Gogoro Inc. ordinary shares, representing 21.92% of the class based on 45,009,640 shares outstanding. The position includes 8,616,603 shares purchased at the October 13, 2026 Closing under a share purchase agreement dated October 7, 2026 at US$2.48 per share (aggregate US$21,369,175.44), plus 1,250,412 shares held by entities Ruen Hua controls. The filing is a passive-to-strategic investment disclosure; it contains no reported declines or underperforming metrics, and the purchase was funded from Ruen Hua's working capital.

• · Ruen Hua is a Taiwan textile weaving company; its directors include the Gogoro chairman and a Gogoro director, indicating close governance ties to the issuer.
• · Ruen Hua has agreed not to pursue acquisitions, tender or exchange offers, proxy solicitation, or group formation with Gogoro without the issuer's consent (standstill provisions).
• · The issuer granted Ruen Hua registration rights under the Securities Act, including demand, piggyback, and shelf registration rights effective at Closing.
• · The filing states the position was acquired for investment purposes, and Ruen Hua reserves the right to change its intentions, including future purchases, dispositions, or extraordinary transactions.
• · Ruen Hua's disclosed Closing and fund transfer occurred October 13, 2026, while the SC 13D filing date is October 15, 2026.
• · Ruen Hua reports no sole voting or dispositive power over 1,250,412 shares, which are attributed through controlled entities on a shared basis.

15-10-2026

BitFuFu Inc. (NASDAQ: FUFU) announced, together with Finloop Finance Technology Holding Limited, the launch of Hashrate Token (HASH), a tokenized, BTC-denominated on-chain note linked to the economic output of Bitcoin mining hashrate provided as a service. The product is available only to certain eligible investors subject to KYC/AML and jurisdictional requirements, and is not registered under the U.S. Securities Act. The filing contains no financial results or quantitative performance data, and the announcement is strategic and promotional in nature.

• · HASH is a tokenized note offering BTC-denominated returns, with profit distributions recorded on-chain
• · The product is restricted to eligible investors and is not registered under the U.S. Securities Act; offers to U.S. persons are excluded absent an exemption
• · Finloop acts as tokenization agent, providing issuance, minting, burning, transfer, and compliance infrastructure
• · The launch is described as a Hong Kong-focused RWA product

15-10-2026

Establishment Labs Holdings Inc. (ESTA) entered into Amendment No. 3 to its Master Supply Agreement with NuSil Technology LLC, effective January 1, 2027, through its subsidiary Establishment Labs, S.A. The amendment extends the initial term from December 31, 2026 to December 31, 2031, with up to five automatic one-year renewals, and revises provisions covering medical-grade silicone supply, payment terms, business continuity, intellectual property, and pricing. The filing discloses the agreement's structure but no dollar values, so its financial impact cannot be quantified from this document.

• · Non-renewal notice must be given no later than December 31 of the year before expiration of the initial or then-current renewal term
• · Exhibit 10.1 has redacted portions under Item 601(b)(10) of Regulation S-K, indicating the company treats certain terms as confidential
• · The agreement covers NuSil's manufacture and sale of medical-grade silicone, a supply dependency for ELSA's products

15-10-2026

Caledonia Mining Corporation Plc filed a Form 6-K for October 2026 furnishing a press release dated October 15, 2026 as Exhibit 99.1. The filing itself contains only the cover page, signature block (signed by CEO John Mark Learmonth), and exhibit index; no financial figures, operational metrics, or substantive disclosures are included in the body of the document. The substantive content would reside in the referenced Exhibit 99.1, which was not provided.

• · Filing references Exhibit 99.1, a press release dated October 15, 2026; the exhibit content was not included and should be reviewed for the substantive disclosure
• · Registrant files annual reports on Form 20-F (Form 40-F not checked)
• · Commission File Number 001-38164; principal executive office in St Helier, Jersey

15-10-2026

SkyAI, Inc. (Nasdaq: SKYA) announced on October 14, 2026 that it plans to launch a previously announced tender offer on October 15, 2026, covering common shares, cash pre-funded warrants, cryptocurrency pre-funded warrants, and strategic advisor warrants. The offer has not yet commenced and no financial terms (price, size, or funding amounts) are disclosed in the filing; the company notes that funding depends on its ability to sell SOL at acceptable prices.

• · Offer launch was scheduled for October 15, 2026, but the filing states it may not commence.
• · Company plans to fund the Offer by selling SOL, with the price of SOL flagged as a key risk.
• · Tender covers both common stock (ticker SKYA) and warrants (ticker SKYAW), both listed on Nasdaq Capital Market.
• · Company is an emerging growth company; the filing references the FY2025 Form 10-K as a risk source.
• · Risk factors cite possible shareholder litigation, management distraction, and failure to meet minimum conditions for each class.

15-10-2026

VMS Asset Management Limited, a Hong Kong-based institutional investment manager, filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing 32 holdings with a reported total market value of $263,556,735 (approximately $263.6M). The portfolio is concentrated in large-cap technology and semiconductor names, broad index ETFs, and a smaller set of financial, healthcare and industrial positions.

• · Filer is located at 28/F Viva Place, 36 Heung Yip Road, Wong Chuk Hang, Hong Kong; SEC file number 028-26197; Form 13F-HR filed as a live report.
• · Portfolio is heavily weighted toward semiconductors and AI/data-center-linked names (NVIDIA, Micron, Intel, Marvell, Teradyne, SK Hynix, TSMC, AMD, SanDisk, Seagate, Coherent, Lumentum), with substantial ETF exposure.
• · Largest reported position by value is the Invesco QQQ Trust at roughly $24.1M, followed by the Select Sector SPDR Technology ETF (~$25.6M) and the iShares Semiconductor ETF (~$20.6M).
• · The filing reports all 32 holdings under sole investment discretion with no shared or other-manager voting/investment authority.
• · Holdings include a small number of non-technology positions such as Citigroup, Merck, Marriott, Marathon Petroleum, and a healthcare sector ETF.

15-10-2026

Auditor Bansal & Co LLP resigned effective immediately and withdrew its audit reports for fiscal years 2019 through 2025 and subsequent interim periods, stating those financial statements can no longer be relied upon. The resignation followed a August 11, 2026 Nevada District Court order finding the company's custodian was improperly appointed and that related party transactions are void ab initio. Jacob Sherman was appointed Custodian on October 12, 2026 after the company had no directors, officers, or custodian for roughly two months, and no financial figures for the period were disclosed in this filing.

• · Bansal's resignation letter is dated September 10, 2026; Bansal delivered a Section 10A(b) letter on August 20, 2026 and furnished it directly to the SEC Office of the Chief Accountant on August 26, 2026 because the company could not respond
• · Bansal has not performed audit procedures or issued reports for the quarter ended September 30, 2026 or fiscal year ending December 31, 2026
• · Company proposes to reappoint Bansal as its independent auditor going forward despite the resignation and withdrawal of prior reports
• · Filing identifies two Item 304(a)(1)(v) reportable events: inability to rely on management representations (B) and unresolved material effect on financial statements (D)
• · Filing has internal inconsistencies: it is titled Globaltek Ventures, Inc. with a 2026-08-11 period date while metadata references Ameritek Ventures (ATVK), and the signature is dated October 14, 2026 against a filing date of October 15, 2026

15-10-2026

Ocugen, Inc. (NASDAQ: OCGN) executed an exclusive license agreement with Roots Pharmaceutical and its strategic partner Al-Dhow International Holding for OCU400, its modifier gene therapy for retinitis pigmentosa (RP), in the Middle East and North Africa (MENA) region. Ocugen will receive an upfront license fee and initial development milestone payments of up to $4 million, potential sales milestones of up to $255 million, and royalties equal to 22% of OCU400 net sales, while also manufacturing and supplying the commercial product under a related supply agreement. The filing does not report any current revenue, earnings, or financial results; the economics are contingent and milestone-based, and the product remains in Phase 3 with topline data expected in Q1 2027.

• · Ocugen will manufacture commercial supply of OCU400 under a related supply agreement, adding a manufacturing revenue stream not quantified in the filing
• · Roots Pharmaceutical was founded in Kuwait in 2006, has 30+ global partners and a $300M+ product pipeline, and is ISO 9001:2015-certified
• · Phase 3 liMeliGhT trial topline readout expected Q1 2027, followed by planned BLA (U.S.) and MAA (Europe) submissions
• · Filing does not disclose a split between the upfront fee and the development milestones within the $4 million aggregate
• · Roots and Ocugen have discussed exploring further collaboration across Ocugen's ophthalmology pipeline, which is not part of this agreement

15-10-2026

Roku, Inc. stockholders voted to adopt the Merger Agreement with Fox Corporation, approving the First and Second Mergers that will make Roku a wholly owned subsidiary of FOX. The Merger Proposal received 241,044,988 votes for, representing 81.5% of votes outstanding in favor, and the advisory merger-related compensation proposal passed with 99.3% of votes present in favor. The Adjournment Proposal was rendered moot and was not voted on.

• · Merger Agreement signed June 14, 2026; special stockholder meeting held October 14, 2026 via live webcast
• · Joint proxy statement/prospectus filed with the SEC on September 1, 2026
• · Structure is a two-step integrated deal: Merger Sub 1 merges into Roku, then Roku merges into Merger Sub 2, making Roku a wholly owned FOX subsidiary
• · Adjournment Proposal was not voted on because the Merger Proposal was approved
• · Filing includes standard forward-looking statement risks, including completion timing, regulatory approvals, and litigation

15-10-2026

ClearOne Inc. entered into a non-interest-bearing, unsecured loan agreement with First Finance Ltd. effective October 7, 2026, covering a US$200,000 advance made to the company on that same date. The loan has no fixed maturity; repayment is due on a Repayment Date to be agreed in writing, and the borrower may prepay at any time without penalty. The filing discloses no operating results or other financial metrics for ClearOne.

• · Loan is unsecured and bears no interest; there is no fixed term or maturity date
• · Event of Default includes failure to pay within five Business Days after written notice, assignment for benefit of creditors, liquidation/dissolution, receivership, or insolvency proceedings not dismissed within 60 days
• · Automatic acceleration applies upon assignment for benefit of creditors, liquidation, receivership, or insolvency events; other defaults accelerate upon written demand
• · Governed by Nevada law with exclusive jurisdiction of Nevada courts; the lender was advised to obtain independent counsel because Cozen O'Connor LLP represents only the borrower

15-10-2026

Loftus Peak Pty Ltd filed a Form 13F-HR reporting equity holdings as of September 30, 2026 across 26 securities with a combined reported market value of approximately $780.9 million (filing table total of 780,869,172 in thousands-adjusted reporting). The largest positions are NVIDIA (about $90.7 million), Taiwan Semiconductor ADR (about $61.6 million) and Eli Lilly (about $58.3 million), all held with sole investment discretion. The portfolio is concentrated in large-cap technology and semiconductor names, with no period-over-period comparison available in this filing.

• · Largest share-count position is BlackBerry Ltd at 1,787,437 shares, though its market value (~$16.2M) is modest relative to NVIDIA's position
• · Reported as sole investment discretion across all holdings with no shared or other-manager voting authority
• · Filer SEC file number 028-27231; report period ends September 30, 2026; filed October 15, 2026

15-10-2026

Nicola Mining Inc. (HUSIF) furnished a Form 6-K for October 2026 that attaches a News Release dated October 8, 2026 as Exhibit 99.1. The filing itself contains only the cover page, registrant details, and signature block, with the substantive disclosure located in the referenced exhibit, which was not included in the provided content. The company's Commission File Number is 001-43228 and it files annual reports on Form 40-F.

• · Commission File Number 001-43228
• · Registrant address: Suite 1212, 1030 West Georgia Street, Vancouver, British Columbia V6E 2Y3, Canada
• · Annual reports filed under Form 40-F
• · Attached Exhibit 99.1 is a News Release dated October 8, 2026, which is not included in the provided text
• · Signature dated October 14, 2026, one day before the stated filing date of October 15, 2026

15-10-2026

B.A. Schrock Wealth Management, Inc. (Wadsworth, OH; SEC file no. 028-27230) filed a Form 13F-HR on October 15, 2026, reporting its institutional equity and fund holdings as of September 30, 2026. The filing lists 132 holdings with an aggregate reported value of approximately $273.7 billion (273,677,587 in thousands of USD, per the 13F information table convention). The portfolio is concentrated in mega-cap technology, large-cap consumer, and index/fund vehicles, with no period-over-period comparison data included in the filing.

• · Portfolio includes a large allocation to fixed-income and municipal bond funds (e.g., Vanguard corporate bond ETFs, BlackRock/Nuveen/Western Asset municipal closed-end funds, DoubleLine Income Solutions).
• · Notable concentrated equity positions include Netflix (84,706 shares), ON Holding AG (132,140 shares), Vale S.A. ADRs (221,748 shares), and V.F. Corp. (99,156 shares).
• · Filing reports no prior-period figures, so quarter-over-quarter or year-over-year change in holdings cannot be derived from this document alone.

15-10-2026

ASL Financial, LLC (Los Gatos, CA) filed a Form 13F-HR reporting equity and ETF holdings as of September 30, 2026, comprising 98 positions with a total reported market value of approximately $146.2 billion. The portfolio is concentrated in broad-market and index-tracking ETFs and large-cap technology names, led by Apple, Berkshire Hathaway, and multiple iShares and SPDR/Vanguard index funds. The filing contains no prior-period comparison, so period-over-period changes cannot be assessed.

• · Portfolio concentration: the largest single holdings by value are broad-market index ETFs (iShares Core S&P 500 at ~$16.6B, SPDR S&P 500 at ~$11.5B, Vanguard Total Stock Market at ~$9.8B, iShares Core S&P Mid-Cap at ~$8.7B), indicating a predominantly passive, index-oriented allocation.
• · Single-stock exposure is relatively small by comparison, with Apple (~$6.0B) and Berkshire Hathaway (~$2.9B) the largest individual equity positions.
• · The filing is a holdings snapshot only; it does not disclose purchases, sales, or changes versus the prior quarter, so no trend or conviction-shift conclusions can be drawn from this document alone.
• · Filing was made under SEC file number 028-25928 with Form 13F-HR, effective October 15, 2026.

15-10-2026

Longboard Asset Management, LP filed a Form 13F-HR for the quarter ended September 30, 2026, disclosing 21 equity and REIT positions with a combined reported market value of approximately $3.72 billion ($3,717,998 thousand per the filing header). The portfolio is concentrated in insurance, utilities, regional banks, and mortgage/equity REITs, with all positions held with sole investment discretion and no shared or other-manager voting authority reported.

• · Filing is a Form 13F-HR (SEC file number 028-24621) with a period of report of September 30, 2026, filed October 15, 2026, with 21 reported holdings.
• · All 21 positions are reported with sole investment discretion; no shared discretion or other-manager voting authority is disclosed.
• · Sector mix is weighted toward insurance (Aflac, Quest Diagnostics, Labcorp, Hanover, Globe Life, Genworth), utilities (Ameren, Southern, CenterPoint, Xcel), regional banks/thrifts (FNB, Northwest, Columbia Financial, Kearny), and mortgage/equity REITs (InvenTrust, Regency, Dynex, Sunstone, AGNC, MFA, Apollo Commercial).
• · Mortgage REIT exposure (Dynex, AGNC, MFA, Apollo Commercial) totals roughly $540M in reported value, a rate-sensitive cluster within the portfolio.

15-10-2026

WINNACLE WEALTH LLC (CIK 0002079687, Waco, TX; note the filing header uses the name 'WINNACLE' in the company-data block and 'WINNOW' in the former-name field) filed a Form 13F-HR reporting equity and ETF holdings as of September 30, 2026. The filing lists 141 positions with a reported aggregate market value of approximately $151.3 billion as stated in the cover page (151,341,138 in thousands of dollars per standard 13F convention; the source figure is reproduced as stated). The portfolio is heavily weighted toward exchange-traded funds and single-stock positions in large-cap technology, with no period-over-period comparison data available in this filing.

• · Portfolio is concentrated in ETFs and buffered/structured-outcome funds (First Trust Vest, Innovator, Calamos, Simplify families) alongside a smaller set of individual large-cap stocks
• · Reported positions are all held with SOLE investment discretion and no shared or other-manager voting authority
• · Filing covers a September 30, 2026 reporting period and was filed October 15, 2026, within the 45-day 13F deadline
• · The filer's name differs between the company-data block (WINNACLE) and the former-name field (WINNOW), which may warrant verification against EDGAR records

15-10-2026

Exascale Labs Holdings Inc. (Nasdaq: XLAB), the former SPAC D. Boral ARC Merger Corp, entered into a purchase and sale agreement dated October 8, 2026 with Sunon Inc., a U.S. subsidiary of Sunonwealth Electric Machine Industry Co., Ltd. (TWSE: 2421), to sell 12 NVIDIA HGX B300 GPU servers (96 GPUs) with network equipment, deployment services, and 36 months of IT operation services for a total contract value of US$8,208,000 exclusive of import duties and taxes. Delivery is contingent on receipt of the 30% down payment, chip manufacturer approval, and export/import authorizations, and the filing does not disclose any offsetting negative or flat metrics.

• · Buyer's purchase order is due within five business days after the PSA effective date, creating a near-term milestone
• · Company's delivery obligation is conditioned on down payment receipt, chip manufacturer approval, and export/import authorizations
• · Certain exhibits, schedules, and portions of Exhibit 10.1 were omitted or redacted under Regulation S-K Items 601(a)(5) and 601(b)(10)(iv)
• · Filing discloses no revenue recognition, margin, or comparative period financials for the transaction

15-10-2026

Brookfield Infrastructure Partners L.P. and Brookfield Infrastructure Corporation (BIPC) filed a Form 6-K for October 2026 furnishing Exhibit 99.1, a press release dated October 14, 2026. The filing itself is a cover document with exhibit list and signatures and contains no quantitative financial data in the body; the substantive content lies in the referenced press release, which is not reproduced in the text provided.

• · Filed under Form 20-F designation (Form 20-F box checked, Form 40-F unchecked)
• · Registrant principal executive office in Hamilton, Bermuda; New York office at 250 Vesey Street
• · Commission File Numbers 001-33632 and 000-56727 referenced
• · Exhibit 99.1 is a press release dated October 14, 2026, whose contents are not included in the filing text provided

15-10-2026

P3 Health Partners Inc. (Nasdaq: PIII) filed a Form S-3 shelf registration to register for resale up to 15,636,134 shares of Class A Common Stock issuable upon exercise of warrants held by affiliates of CPF, VBC Growth SPVs and related financing parties. The company will not receive proceeds from the resale itself, but would receive exercise proceeds from any warrant exercises. The filing references a closing price of $4.44 per share as of October 12, 2026, and notes the company is a smaller reporting company and emerging growth company.

• · Warrant exercise prices range widely from $0.005 (pre-funded) to $56.50 (March 2023 common warrants), with several tranches between $2.07 and $13.13; the $4.44 closing price is well below the $8.98 VGS 7 exercise price and most higher-strike warrants.
• · The company is not selling shares under this prospectus and will not receive resale proceeds; it only receives cash if warrants are exercised.
• · Filing is dated October 14, 2026 with a placeholder date of [ ], 2026 and remains a preliminary, subject-to-completion prospectus pending SEC effectiveness.
• · Company discloses it is a smaller reporting company and emerging growth company and is not a large accelerated or accelerated filer.
• · Repeated reliance on preferred-stock and warrant-linked financing from affiliated VBC Growth and CPF entities signals significant dilution overhang and dependence on related-party capital.

15-10-2026

Applied Energetics, Inc. (OTCQB: AERG) filed Amendment No. 1 to its Form S-3 shelf registration, under which it may offer up to $300,000,000 in aggregate of common stock, preferred stock, debt securities, rights, warrants, and units at times and prices set by market conditions. The company disclosed that its Series A Preferred Stock has been in arrears since the August 1, 2013 dividend, with approximately $447,638 of accumulated arrearages as of June 30, 2026, and that it has applied to list its common stock on The Nasdaq Capital Market, with no assurance of approval.

• · Series A Preferred dividends have not been paid since the quarterly dividend due August 1, 2013, and the board suspended declarations beginning with the February 1, 2015 dividend because the company lacked a surplus as of December 31, 2014.
• · Proceeds may be used for working capital, acquisitions of synergistic technologies, research and development, and building the intellectual property portfolio.
• · Common stock currently trades on OTCQB under the ticker AERG; the Nasdaq listing application is pending.

15-10-2026

Nolet Wealth Management, LLC (Fort Worth, TX; SEC file no. 028-26690) filed its Form 13F-HR for the quarter ended September 30, 2026 on October 15, 2026, disclosing equity and ETF positions across two included managers (JPMorgan Asset Management, Inc. and Nuveen Asset Management, LLC). The holdings table is dominated by broad-market and factor ETFs, with the largest single position being iShares Core S&P 500 ETF (IVV) at 65,739 shares and roughly $50.3 million in reported market value. The filing is a routine quarterly disclosure and does not report period-over-period comparisons, so no trend in holdings can be assessed from this document alone.

• · Holdings include a notable concentration in iShares equity and bond ETFs alongside direct stock positions in mega-cap technology names such as NVIDIA, Apple, Microsoft and Alphabet.
• · The filing reports a $50.35M position in IVV, the largest single line item, with a $14.35M municipal bond ETF position as the second-largest by value.
• · Filing is a routine quarterly 13F disclosure; no changes versus a prior quarter are provided in the document, so direction of position changes cannot be determined.

15-10-2026

HOWARD FINANCIAL SERVICES, LTD. (Dallas, TX; CIK 0001768130) filed a Form 13F-HR reporting its institutional equity holdings as of September 30, 2026, submitted October 15, 2026. The filing lists approximately 234 holdings with a reported total portfolio value of roughly $954.3 billion, dominated by large positions in Apple (96,581 shares), Nvidia (61,374 shares), Microsoft (25,016 shares), Amazon (23,921 shares), and several broad-market ETFs. The filing is a routine quarterly disclosure and does not report period-over-period changes, so no growth or decline comparison is available from this document alone.

• · Filer's business address is 8350 Meadow Road, Suite 181, Dallas, TX 75231; SEC file number 028-19410
• · Filing covers holdings as of September 30, 2026; period of report is Q3 2026
• · Holdings are reported with investment discretion SOLE with no shared or other-manager allocation
• · Holdings include significant concentrations in ETFs (including multiple iShares, Schwab, Invesco, and First Trust funds) alongside single-name equities
• · Oil and gas royalty/MLP positions include Black Stone Minerals, Dorchester Minerals, Enterprise Products Partners, Energy Transfer, and MPLX

15-10-2026

Martin Capital Advisors, LLP filed a Form 13F-HR for the quarter ended September 30, 2026, reporting total 13(f) securities holdings of approximately $192.7 Billion across 75 reported positions. The largest disclosed holdings are Apple Inc. ($45.5 Billion, 136,538 shares), NVIDIA Corporation ($16.0 Billion, 70,208 shares) and Invesco QQQ Trust ($9.8 Billion). The filing is a routine quarterly holdings disclosure and does not itself indicate period-over-period changes in position size.

• · Filer is located in San Antonio, TX (SEC file number 028-21657) and the report covers the period ended September 30, 2026.
• · Top holdings are concentrated in mega-cap technology: Apple, NVIDIA, Alphabet (Class A and C), Microsoft, Amazon, Oracle and Palantir.
• · Holdings include several ETFs (Invesco QQQ, iShares Biotech, Vanguard Mortgage-Backed/Short-Term Corporate Bond, State Street SPDR S&P 500, iShares Russell 3000), indicating use of index-based exposure alongside single-stock positions.
• · Smaller positions include SELLAS Life Sciences Group (about $284M), reflecting a small-cap biotech holding.

15-10-2026

Ashurst Perkins Coie Trust Co (CIK 0001513038, Seattle, WA) filed a Form 13F-HR for the period ended September 30, 2026, disclosing its equity holdings under Section 13(f) of the Exchange Act. The filing lists a large, diversified portfolio of common stocks, ETFs and foreign equities, with the information table reporting total holdings of approximately $625.7 billion. The filing is a routine quarterly disclosure and does not by itself signal a change in control, strategy, or company-specific corporate action.

• · Filing is a 13F-HR for the quarter ending September 30, 2026, filed October 15, 2026 with SEC file number 028-15766
• · Reported holdings include a large concentration in mega-cap technology and index ETFs such as Apple, Alphabet (Class A and C), Amazon, and Meta Platforms
• · Portfolio includes sizable ETF exposure across large-cap, mid-cap, small-cap, international, and sector funds, plus a small Bitcoin ETF position
• · Filing reports holdings with 'SOLE' investment discretion for the reported positions

15-10-2026

STAPP WEALTH MANAGEMENT, PLLC (Olympia, WA; CIK 0001954085) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 31 holdings with a total reported value of $77,232,199 (table value in thousands, i.e., approximately $77.2 billion as filed). The portfolio is concentrated in ETFs and funds, with gold and precious-metals exposure (WisdomTree Efficient Gold, World Gold Trust, ETFS Gold, Newmont, Agnico Eagle, Barrick, Alamos, I-80 Gold) and fixed-income/Treasury exposure (Simplify Intermediate Treasury, iShares 1-3 Year Treasury, RBB US Treasury 10-Year, DoubleLine Commercial Real Estate). Individual operating-company stakes are minimal, limited to Microsoft (976 shares), Costco (254 shares), and the gold miners.

• · Gold and precious-metals exposure is a notable theme, spanning physical gold ETFs (WisdomTree, World Gold Trust, ETFS Gold) and gold miners (Newmont, Agnico Eagle, Barrick, Alamos, I-80 Gold).
• · Energy-sector exposure is present through SPDR S&P Oil & Gas E&P and Vanguard Energy ETFs.
• · Fixed-income positions include Treasury and short-duration vehicles, plus ABS/MBS and commercial real estate debt funds.
• · Filing is a standard 13F-HR made under the Securities Exchange Act of 1934 (SEC File No. 028-22692); it discloses holdings only and contains no regulatory action, insider trading, or corporate event.

15-10-2026

Cosan S.A. filed Amendment 20-F/A on October 15, 2026, which consists of an exhibit index only, listing previously filed governing documents incorporated by reference. The filing contains no new financial results, operating metrics, or transaction disclosures, so no performance figures are reported and no period-over-period comparison is possible.

• · Filing references the Annual Report on Form 20-F for the year ended December 31, 2025 as the source for incorporated exhibits (By-Laws, Description of Securities).
• · Indenture dated November 5, 2010 governs Cosan Overseas Limited securities, with The Bank of New York Mellon acting as trustee and paying agent.
• · Deposit Agreement with J.P. Morgan Chase Bank N.A. as depositary was filed on Form F-6 (file no. 333-253471) on February 24, 2021, and amended on May 7, 2021.

15-10-2026

Lipe & Dalton, a Syracuse, NY-based investment adviser (CIK 0001570396), filed its Form 13F-HR for the quarter ended September 30, 2026, reporting 94 holdings with an aggregate reported market value of $216,158 thousand (approximately $216.2 million). The largest reported positions by value include Alphabet Cl C, Apple, Goldman Sachs, Canadian Imperial Bank of Commerce, Brookfield Corp, and Baxter International, while the filing shows investment discretion held solely by the filer with no shared or other-manager voting authority.

• · Filer is Lipe & Dalton, 103 East Water Street, Suite 305, Syracuse, NY 13202; SEC file number 028-15448; signatory Willard Lipe, dated October 14, 2026, filed October 15, 2026.
• · All 94 holdings are reported with 'SOLE' investment discretion and no shared or other-manager voting authority, indicating the filer exercises sole discretion over the reported positions.
• · Several holdings are reported in very small share counts (e.g., Caterpillar 19 shares, Eli Lilly 13 shares, Caterpillar and Lilly values of $15K), which may reflect rounding or odd-lot positions; the value-per-share figures in the table should be verified against the original filing before publication.
• · Holdings concentration is notable in a few names such as Baxter International (170,483 shares, approx. $4.09M) and Te Connectivity, and Canadian Imperial Bank of Commerce (approx. $8.18M).

15-10-2026

Lakefront Biotherapeutics (filing under the name GALAPAGOS NV, ticker GLPGF) furnished a Form 6-K for October 2026, attaching a press release dated October 14, 2026 as Exhibit 99.1 and incorporating it by reference into its Form S-8 registration statements. The filing itself contains no financial figures, operational metrics, or substantive disclosures; the content of the press release is not included in the provided text.

• · Press release dated October 14, 2026 furnished as Exhibit 99.1 (content not provided in the filing text)
• · Registrant is a foreign private issuer filing Form 20-F annual reports; principal executive office in Mechelen, Belgium
• · Commission File Number 001-37384
• · Incorporated by reference into thirteen Form S-8 registration statements (File Nos. 333-204567 through 333-292050)
• · Filing date discrepancy: header lists October 15, 2026 while the signature and press release are dated October 14, 2026
• · Company name discrepancy: the filing body identifies the registrant as Lakefront Biotherapeutics, while the ticker/name provided for analysis is GALAPAGOS NV (GLPGF)

15-10-2026

News Corporation filed an 8-K under Item 8.01 (Other Events) to furnish daily stock repurchase disclosures provided to the Australian Securities Exchange (ASX) under its existing $1 billion share repurchase program covering Class A and Class B common stock. The filing attaches Exhibits 99.1 and 99.2 containing the ASX-provided transaction information, and includes standard forward-looking statement cautions. The filing itself does not disclose specific repurchase volumes, prices, or amounts executed in this period.

• · The Company furnishes daily ASX disclosure of repurchase transactions, reflecting dual listing obligations in Australia
• · Repurchase disclosures are also included in the Company's quarterly and annual reports
• · Filing covers both Class A (NWSA) and Class B (NWS) common stock on the Nasdaq Global Select Market