US SEC Filings Daily Market Digest — October 23, 2026

23-10-2026

Director Trent Melanie Montague disposed to the issuer 17,931 Common Stock at $150.00 (~$2.69M).

• · Director Trent Melanie Montague disposed to the issuer 17,931 Common Stock at $150.00 (~$2.69M)

23-10-2026

Expion Energy, Inc. (XPON) amended and restated its August 21, 2026 private placement, under which it had sold $9,000,000 of 8% Convertible Debentures and warrants for 2,117,219 common shares. The debentures, originally convertible into Series A-1 Preferred Stock subject to stockholder approval, are now convertible directly into common stock at $4.25 per share, and the Purchasers' option to buy additional securities has shifted from $91,000,000 of AIR Preferred Stock to $91,000,000 of AIR Convertible Debentures. The lead purchaser, Five Narrow Lane, LP, is affiliated with former CEO and Chairman Joseph Hammer, and the deal was approved by disinterested directors.

• · The conversion price floor is $0.72 per share (20% of the Nasdaq Minimum Price), and the Company can satisfy floor-related conversions by issuing shares at the floor with a cash payment or principal add-back for the difference.
• · Anti-dilution protection reduces the conversion price on any issuance below the then-applicable price, and Additional Investment Right issuances are expressly not exempt and could trigger it.
• · Interest may be paid in common stock at the lesser of the conversion price or 90% of the average of the three lowest VWAPs in the prior five trading days, subject to equity conditions.
• · The debentures are unsecured obligations that mature three years after issuance, cannot be prepaid without holder consent, and accelerate on certain events of default.
• · Negative covenants restricting additional debt, liens, cash dividends and equity repurchases apply while at least $2.25M of principal remains outstanding.
• · Subsequent AIR Convertible Debentures beyond the first $10M are priced at the lower of the base conversion price or 90% of the three lowest VWAPs in the five days before exercise, and carry no Floor Price adjustment mechanism.

23-10-2026

Premier Air Charter Holdings Inc. (PREM) disclosed that CFO Matt Aune resigned effective immediately on October 19, 2026, for personal reasons, with no disagreement with the company and no severance; his unvested option for 1,500,000 shares was forfeited. CEO Sandra J. Bonar was designated interim principal financial officer and principal accounting officer effective October 20, 2026, without additional compensation, while the company searches for a permanent CFO. The filing contains no quantitative financial performance data.

• · Aune's resignation was effective immediately and was not the result of any disagreement with the company on operations, policies, or practices
• · Bonar is the son-in-law relationship link: Ross David Gourdie, President, Secretary and Treasurer, is Bonar's son-in-law, and Bonar is the company's principal stockholder through TIPP Investments LLC
• · Bonar previously served as principal financial officer and principal accounting officer before Aune's June 2026 appointment and was Chairman of the Board from March to May 2025
• · The filing discloses no related-party transactions requiring Item 404(a) reporting beyond those previously disclosed in the FY2025 10-K

23-10-2026

TAO Synergies Inc. (TAOX) filed an S-3/A amendment on October 23, 2026 for a shelf registration (Registration No. 333-289612) describing its treasury strategy of accumulating TAO, the native token of the Bittensor network. As of June 30, 2026, approximately 87.7% of treasury holdings were invested in TAO, the company has not sold any TAO to date, and it has no hedging or diversification in place. The filing also flags concentrated, non-voting governance of the Bittensor protocol and the company's dependence on a single staking provider (Yuma Validator, LLC) and custodian (BitGo).

• · Company has never sold (monetized) any TAO to date and has no specific target amount of TAO to hold
• · Treasury strategy is long-only with no hedging or diversification into other crypto assets; hedging is being explored but none implemented
• · Bittensor currently lacks an on-chain Senate or Triumvirate; protocol changes are executed via a privileged sudo key held by a small number of signers, and TAO holders have no on-chain voting rights
• · Company has no present plans to engage directly in dTAO Staking, and its staking is limited to Root Staking through Yuma
• · The company holds indirect subnet alpha token exposure through limited partnership interests in two Yuma Asset Management funds
• · Company qualifies as an emerging growth company under the JOBS Act, allowing reduced reporting requirements
• · Custodian is a national trust bank regulated by the OCC; TAO is segregated, held in cold storage, and the Prime Broker never takes custody

23-10-2026

Grayscale Bittensor Trust (TAO) filed Amendment No. 2 to its Form S-1 on October 23, 2026, to register an indeterminate number of Shares representing fractional interests in TAO digital assets, with plans to list on NYSE Arca under the symbol GTAO upon approval, following its current OTCQX quotation. The filing discloses that staking of the Trust's TAO is not currently permitted, leaving staking income as a contingent, not present, source of return. No financial performance figures for the current or prior period are presented in this excerpt, so no period-over-period comparison can be made.

• · Staking of the Trust's TAO is currently prohibited; there is no assurance it will ever be permitted, so staking income is not a present return source
• · The Trust is an emerging growth company and a smaller reporting company, and has elected not to use the extended transition period for new accounting standards
• · The Trust is not a registered investment company under the Investment Company Act of 1940 and the Sponsor believes it is not a commodity pool under the CEA
• · NYSE Arca has approved in-kind creations and redemptions with Authorized Participants, and the Trust also accepts Cash Orders
• · The Index Price is calculated using non-GAAP methodology and is not used in the Trust's financial statements
• · The Trust is registering an indeterminate number of Shares for continuous offering at prices referenced to TAO price and NYSE Arca trading price

23-10-2026

Argyle Capital Partners, LLC, a Los Angeles-based investment manager (SEC File No. 028-25714), filed its Form 13F-HR for the quarter ended September 30, 2026, disclosing equity and fund holdings in an information table with 282 entries and a reported total portfolio value of approximately $161.6 billion. The filing is a routine quarterly disclosure of 13(f) securities holdings; it contains no comparison to a prior period, so no period-over-period performance change can be assessed from this document alone.

• · Holdings are concentrated in large-cap technology (Apple, Microsoft, Amazon, NVIDIA, Alphabet, Meta) and are heavily weighted toward ETFs, including a large number of iShares, SPDR, Invesco and First Trust funds spanning equities, fixed income and sector exposures.
• · The filing reports 'SOLE' voting authority for the large majority of positions, with a smaller number of lines marked 'DFND' (shared-defined) voting authority, indicating split investment and voting discretion across certain holdings.
• · Energy midstream master limited partnerships (Energy Transfer, Enterprise Products, MPLX, ONEOK, Plains All American, Hess Midstream) form a notable income-oriented allocation.
• · The 13F covers only long positions in exchange-traded 13(f) securities; it does not disclose short positions, derivatives outside listed options, or non-13(f) holdings, so total firm assets under management may differ from the reported figure.

23-10-2026

SFG Wealth Management, LLC. (CIK 0001908914, Towson, MD) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 103 holdings with an aggregate reported market value of approximately $281.1 billion (the cover page lists 281123827 in thousands of dollars). The portfolio is concentrated in exchange-traded funds and index-tracking vehicles, with the largest positions in SPDR S&P 500 ETF Trust and State Street SPDR S&P 500 ETF Trust, alongside a mix of individual equities including Microsoft, NVIDIA, Apple, Amazon and Alphabet. The filing shows no mixed or prior-period comparison data, so performance versus the prior quarter cannot be assessed from this document.

• · Filing covers the quarter ended September 30, 2026; filed October 23, 2026 under SEC File Number 028-21892 (Form 13F-HR, Institutional Holdings Report).
• · Holdings are heavily weighted to ETFs and index funds; the broad S&P 500 exposure (SPY-equivalent and State Street SPDR S&P 500 ETF Trust) accounts for roughly $77.6B combined, about 28% of reported market value.
• · Franklin Dynamic Municipal Bond ETF position shows sole voting authority over 4,447 shares, with the remainder (47,073 shares) under other voting arrangements; SPDR S&P 600 Small Cap and SPDR Portfolio Large Cap Growth lines also show partial shared voting.
• · Fixed-income exposure is concentrated in short-duration Treasury and ultra-short government ETFs (iShares 0-3 Month and 1-3 Year Treasury, PIMCO Ultra Short Government Active ETF).

23-10-2026

Hometown Financial Group, Inc. (Maryland; holding company for TruNorth Bank, Easthampton, MA) filed Pre-Effective Amendment No. 1 to Form S-1 on October 23, 2026, registering a prospectus supplement for participants in The Defined Contribution (Plan A) of CBERA (the 401(k) Plan) to buy shares in its initial public offering. The IPO relates to the conversion of Hometown Financial Group, MHC from mutual holding company to stock holding company, with shares expected to list on the Nasdaq Capital Market under 'HFG' at $10.00 per share. Participants may invest up to 50% of account balances (net of loans, as of September 30, 2026) and up to 8,536,650 shares may be acquired by the plan based on assets as of December 31, 2025, subject to purchase priorities and oversubscription risk. The filing has not been approved or disapproved by any federal or state regulator, and the offering is an early-stage, unpriced-to-market, non-liquid equity placement with no existing public market.

• · Purchase priority tiers: first priority to depositors with at least $50 aggregate balances as of June 30, 2025; second priority to depositors with at least $50 as of June 30, 2026, per the Amended and Restated Plan of Conversion
• · Oversubscribed funds are returned to the participant's Schwab brokerage account as cash, including interest earned, rather than remaining in the plan
• · Plan assets used for HFG purchases are sold pro rata across core funds and pre-tax, Roth, post-tax and employer (vested and unvested) contributions
• · Assets already held in the Schwab brokerage account cannot be used to buy HFG stock; they must first be liquidated into core fund cash
• · No commissions are charged on IPO purchases through the 401(k) Plan
• · Offering price is fixed at $10.00 per share and the prospectus date remains bracketed ([*], 2026), indicating the offering is not yet effective
• · Participants face concentration risk; the filing advises diversification of retirement savings and notes stock price volatility

23-10-2026

IDT Corporation's DEF 14A proxy statement, dated October 23, 2026, sets out board governance, director independence, and committee structure for Fiscal 2026. The Board held eight meetings in Fiscal 2026 (four regularly scheduled), and all directors except Howard S. Jonas and Elaine S. Yatzkan attended at least 75% of their board and committee meetings. Howard S. Jonas serves as Chairman while Bill Pereira is a non-voting ex-officio director, so the Board has no non-employee directors other than William Conkling, Eric F. Cosentino and Judah Schorr.

• · Insider Trading Policy prohibits directors, officers and employees from short sales and from publicly traded options and other derivatives on Company securities, to prevent hedging of equity compensation.
• · Board independence is governed by categorical standards aligned with NYSE definitions, covering employment, compensation, auditor relationships, interlocking compensation committees and business payments.
• · Mr. Conkling's roles at Rafael Holdings, Inc. were the only relationship considered by the Corporate Governance Committee in its independence review of non-employee directors.
• · Stockholders may communicate with the Board, Lead Independent Director or committee chairs in writing via the Corporate Secretary, with defined filtering categories for obscene, marketing, job-inquiry and similar communications.
• · Howard S. Jonas has served as Chairman since the Company's inception and as an executive officer Chairman since September 2022; he previously served as CEO from October 2009 to December 2013.
• · Eric F. Cosentino has served as Lead Independent Director since December 17, 2009 and presides over executive sessions of independent directors held at every regular Board meeting.
• · The Audit Committee oversees appointment and oversight of the independent auditor, internal controls, internal audit and legal compliance; Mr. Conkling is designated an audit committee financial expert.
• · Board risk oversight is divided among the Audit (financial and security risks), Compensation (pay-related risks) and Corporate Governance (governance and succession planning) committees, which report to the Board quarterly.

23-10-2026

Mainsail Financial Group, LLC (Bellevue, WA; CIK 0001961290) filed a Form 13F-HR on October 23, 2026 for the quarter ended September 30, 2026, reporting 71 holdings with a total reported market value of approximately $297.0 billion (297,038,376 in thousands of USD). The portfolio is heavily concentrated in ETFs and index funds, with the largest positions in First Trust, Schwab, J.P. Morgan and State Street SPDR vehicles alongside large-cap technology and consumer names such as Apple, Alphabet, Microsoft and Costco. No period-over-period comparison is available in this filing, so changes versus the prior quarter cannot be assessed.

• · Filing is by Mainsail Financial Group, LLC, a Washington-state filer with SEC file number 028-22783, reporting under the 1934 Act; signed by Adam Laibson on October 22, 2026
• · Holdings are reported entirely as sole investment discretion with no shared or other-manager voting authority disclosed
• · Large-scale ETF and index exposure dominates the table, with individual equities representing a comparatively smaller share of value
• · Top ETF holding by reported value is the State Street SPDR S&P 500 ETF Trust, and the top individual stock by reported value is Costco Wholesale Corporation
• · No quarter-over-quarter or year-over-year comparison data is included in the filing, so change in position size or value cannot be derived from this document alone

23-10-2026

Dedeker Financial LLC, a St. Louis Park, Minnesota investment manager, filed its Form 13F-HR for the quarter ended September 30, 2026, reporting 56 holdings with a total reported market value of approximately $175.7 billion. The portfolio is heavily concentrated in leveraged and index-tracking ETFs (notably ProShares Ultra S&P 500, ProShares Ultra QQQ, and Invesco QQQ) alongside large positions in semiconductor and technology equities such as Micron, NVIDIA, and Seagate. The filing reports no information on prior-period holdings, so period-over-period changes cannot be assessed.

• · Filing covers the quarter ended September 30, 2026 and was filed October 23, 2026 under SEC file number 028-26784.
• · Portfolio includes a substantial number of leveraged (2X and Ultra) ETF positions, which amplify market exposure relative to the underlying indices.
• · Several positions appear in very low share counts relative to dollar value (e.g., Comfort Systems USA, Space Exploration Technologies), suggesting high per-share prices; the Cryoport position is reported at zero market value despite 52,240 shares held, which may warrant verification.
• · The filing reports 100% of holdings as sole investment discretion with no shared or other-manager authority.

23-10-2026

GUARDIAN INVESTMENT MANAGEMENT (CIK 0001365474, Tiburon, CA) filed its Form 13F-HR for the quarter ended September 30, 2026, reporting 60 holdings with a total reported portfolio value of $156,864,266 (table values in thousands of dollars, reported as $156,864,266 in the filing header). The portfolio is concentrated in a small number of large positions, led by Blackstone (about $15.18M), Apple (about $25.34M), and Danaher (about $22.50M), while several smaller positions such as Goodyear Tire & Rubber (about $0.29M) and MP Materials (about $0.38M) carry far lower weight. The filing contains only position-level holdings data and no period-over-period comparison, so changes versus the prior quarter cannot be assessed from this document.

• · Filing covers 60 distinct equity positions held with sole investment discretion (SOLE voting authority on all lines)
• · Largest reported positions by value include Apple (~$25.3M), Danaher (~$22.5M), and Blackstone (~$15.2M); Blackstone is the largest by share count among the top positions at 135,460 shares
• · Holdings include several energy, industrial, and materials names such as ExxonMobil, Chevron, Barrick Mining, Caterpillar, and MP Materials alongside technology and healthcare positions
• · Report is signed by Robert M. Tomasello, Partner, and filed October 23, 2026 with SEC file number 028-12111

23-10-2026

The trustee of Permian Basin Royalty Trust (PBT), Argent Trust Company, has called a special meeting of unit holders for November 23, 2026, at the request of SoftVest Advisors, LLC and other unit holders owning at least 15% of outstanding units. Proposals put forward by the Participants (SoftVest Advisors, SoftVest, L.P., SoftVest GP I, LLC, PBT Land and Minerals, Inc., and Eric L. Oliver) include approval of a Trust Indenture amendment to effect a Business Combination, approval of the PBT Land and Minerals, Inc. Omnibus Incentive Plan, and an adjournment proposal. The Trust and its trustee state they are not soliciting proxies and do not intend to file a proxy statement.

• · Special Meeting to be held in person at 4200 South Hulen Street, Suite 217, Fort Worth, Texas 76109 on November 23, 2026 at 1:00 p.m. Central time
• · Record Date is the close of business on October 13, 2026
• · Trust Indenture was amended May 4, 2022 and May 8, 2026, in addition to the June 20, 2014 amendment and restatement
• · Unit holder list available for inspection at the Trustee's Dallas offices for ten days before the meeting
• · Trustee states it is not soliciting proxies, is not a participant in the Participants' solicitation, and does not intend to file a proxy statement

23-10-2026

VALLEY NATIONAL ADVISERS INC (CIK 0000773411, Bethlehem, PA) filed a Form 13F-HR on October 23, 2026 reporting its institutional equity holdings as of September 30, 2026, with an information table covering several hundred positions held with sole investment discretion. The excerpt provided is truncated, so the total portfolio value and the full set of positions cannot be verified, and the filing contains no period-over-period comparison data.

• · Filing reports holdings as of period end September 30, 2026 with investment discretion listed as SOLE for the excerpted positions
• · Largest visible positions by reported value include Apple Inc (approximately 41.87 billion reported value, 125,724 shares), Amazon (approximately 8.83 billion, 35,422 shares), Alphabet Class A (approximately 7.22 billion, 20,982 shares), and Abbvie (approximately 1.51 billion, 5,759 shares)
• · Reported values in 13F information tables are presented in thousands of dollars; the Apple position therefore corresponds to roughly $41.9 billion, not $41.9 million
• · Filer is a Pennsylvania-based institutional manager with fiscal year end September 30 and SEC file number 028-16429

23-10-2026

Integrated Capital Management, LLC (Bloomfield, MI) filed a Form 13F-HR on October 23, 2026 reporting equity and fund holdings as of September 30, 2026, across 58 positions with an aggregate reported market value of approximately $273.95 billion (reported as 273,951,798 in thousands). The portfolio is concentrated in broad-market and index-based ETFs, with large positions in the Vanguard Mid-Cap Index ETF, Invesco NASDAQ 100 ETF, iShares Core S&P 500 ETF, and Vanguard FTSE Developed Markets ETF, alongside direct holdings in mega-cap technology names such as Apple, Alphabet, Microsoft, and NVIDIA. The filing is a routine quarterly disclosure and does not by itself indicate a change in strategy; period-over-period comparison data is not contained in this filing.

• · Filer is an SEC-registered institutional investment manager (File No. 028-24443, CIK 0002040070) based in Bloomfield, Michigan, with 58 reported holdings.
• · Filing covers the period ended September 30, 2026 and was submitted October 23, 2026, consistent with the 45-day post-quarter deadline for Form 13F.
• · The largest single holding by value is the iShares Core S&P 500 ETF at roughly $39.8B, with the Vanguard Mid-Cap Index ETF (~$30.4B) and Invesco NASDAQ 100 ETF (~$35.9B) also among the largest.
• · Direct single-stock exposure is comparatively small: the largest individual equity positions are Alphabet (~$20.7B Class A line is listed at 60,214 shares) and Apple (~$3.3B), with Microsoft and NVIDIA in the low single-digit billions.
• · The portfolio includes a small position in iShares Bitcoin Trust ETF (~$329M), a crypto-linked exposure.

23-10-2026

Code Waechter LLC, a Tampa, Florida-based institutional investment manager, filed its Form 13F-HR for the quarter ended September 30, 2026, disclosing 126 holdings with a reported total portfolio value of approximately $211.39 billion (filed as 211391730 in thousands). The portfolio is concentrated in index and sector ETFs, with large positions in Schwab, Vanguard, Capital Group, and iShares funds alongside mega-cap equities such as Apple, Microsoft, NVIDIA, and Alphabet. No prior-period comparison data is included in the filing, so period-over-period changes cannot be assessed.

• · Report covers holdings as of September 30, 2026; filed October 23, 2026, with the signature dated October 22, 2026.
• · Filer is located at 4890 W. Kennedy Blvd., Suite 680, Tampa, FL, with SEC file number 028-24383 and CIK 0002039212.
• · Holdings are reported entirely as sole investment discretion (SOLE), with no shared or other-manager discretion reported.
• · Portfolio is heavily weighted toward ETFs and mutual-fund-style wrappers, with a substantial allocation to short-term and intermediate Treasury and municipal bond ETFs alongside equity index funds.
• · Small speculative positions include Archer Aviation (10,000 shares, ~$49,700) and AtlasClear Holdings (10,000 shares, ~$2,005).

23-10-2026

Alchemy Investments Acquisition Corp 1 (ALCY), a Cayman Islands SPAC, filed an S-4 registration statement for its proposed business combination with Cartiga, LLC, a Delaware LLC, via a Delaware domestication and Up-C structure, with the combined company to be renamed Cartiga Holdings, Inc. The registration covers up to 3,659,056 shares of Class A common stock and 5,750,000 warrants for issuance. The company received a Nasdaq delisting notice on May 7, 2026 for failing to complete a business combination within 36 months of its IPO, and its securities have been suspended from Nasdaq trading since May 14, 2026, now trading on OTC Pink; listing of the post-merger shares on Nasdaq is not assured and the ALCY board obtained no third-party valuation or fairness opinion.

• · Business Combination Agreement dated August 22, 2025, unanimously approved by ALCY directors on August 19, 2025
• · ALCY IPO registration became effective May 4, 2023; business combination deadline of 36 months was not met
• · Securities suspended from Nasdaq trading at open on May 14, 2026; currently quoted on OTC Pink under ALCYF, ALCUF, and ALCWF
• · Proposed Nasdaq listing under symbols LITF and LITFW is a closing condition that may be waived
• · Pubco will not have publicly traded units following the closing
• · Cartiga's equity balance as of June 30, 2026 is the basis for redemption scenario ownership percentages

23-10-2026

Split Creek LLC DBA Split Creek Capital LLC (CIK 0002103756, Charlottesville, VA) filed a Form 13F-HR for the period ended June 30, 2026, reporting 133 holdings with a total reported portfolio value of approximately $108.25 billion (108,251,461 thousand USD). The portfolio is concentrated in large-cap technology, healthcare, industrials and financials, with Apple, Caterpillar, Ferguson, Johnson & Johnson, Lam Research and Cigna among the largest positions by reported value. The filing contains no period-over-period comparison data, so changes versus the prior quarter cannot be assessed from this document.

• · Filer is a Virginia LLC with business address in Charlottesville, VA and mailing address in North Garden, VA; SEC file number 028-27244.
• · Filing was signed/submitted by E. Wren Green (Compliance Consultant), Broomfield, CO, on October 23, 2026, reporting 133 holdings and no other included managers.
• · Most positions are held as sole investment discretion (SOLE) with no shared or other-manager discretion reported.
• · Several holdings are small-cap or thinly traded names (e.g., San Juan Basin Royalty Trust, Dorchester Minerals LP, Virginia National Bank), and the portfolio includes multiple sector SPDR ETFs (real estate, energy, consumer staples, utilities).

23-10-2026

Brightline Interactive, Inc. (formerly The Glimpse Group, Inc.; Nasdaq: BTLN) filed a Form S-3 resale registration statement on October 23, 2026 covering 446,436 shares for selling stockholders, of which 223,218 were previously issued and 223,218 are issuable on exercise of warrants at $16.00 per share. The shares stem from a September 2026 private placement of 223,218 units at $0.70 per unit that raised gross proceeds of $1.25 million. With the stock closing at $4.21 on October 19, 2026, far below the $16.00 warrant exercise price, the warrants are unlikely to be exercised, so the company's potential $3.57 million in warrant proceeds is highly uncertain.

• · Warrants expire five years from the September 25, 2026 closing and are exercisable immediately
• · Bruce Grossman holds 293,270 shares before the offering and would hold 297,730 (9.99%) after, at the elective blocker cap
• · Company is a smaller reporting company with reduced disclosure obligations
• · Company name changed to Brightline Interactive, Inc. in August 2026 and ticker remains BTLN
• · Company states it will receive no proceeds from resale of common stock by selling stockholders
• · Warrant exercise is highly dependent on share price; cashless exercise would reduce cash received
• · Company's principal office is in Ashburn, VA

23-10-2026

Total Wealth Planning & Management, Inc. (Ponte Vedra Beach, FL; SEC File No. 028-25429) filed a Form 13F-HR on October 23, 2026 reporting equity holdings as of September 30, 2026 across 199 positions with a reported total portfolio value of approximately $134.6 billion. The largest disclosed positions include Apple, Alphabet (Class A), Microsoft, Amazon, Micron Technology, JPMorgan Chase, NVIDIA, and Factset Research, while the filing also shows a sizable allocation to sector and thematic ETFs, precious-metals vehicles, and closed-end funds. The filing is a routine quarterly regulatory disclosure and does not by itself indicate a change in company operations.

• · Portfolio includes put option positions on multiple names (e.g., American Water Works, AT&T, Best Buy, CVS Health, Dominion Energy, Dow, FirstEnergy, Gaming & Leisure Properties, HP, International Paper, Kimberly-Clark, Kinder Morgan, Microsoft, Nike, Pfizer, Prudential, Stanley Black & Decker, Trinity Industries, Truist, Verizon, TPG) reported separately from SOLE common holdings
• · Call options are also reported on Denison Mines, Uranium Energy Corp, and iShares Bitcoin Trust ETF
• · All reported positions are classified as sole investment discretion with no shared or other-manager voting or investment authority indicated

23-10-2026

Michael Brady & Co., LLC (Westlake, OH; SEC file no. 028-25991) filed a Form 13F-HR for the quarter ended September 30, 2026, reporting 55 holdings with a combined reported market value of approximately $110.19 million (table total of 110,193,939 in thousands-of-dollars convention per the 13F information table, presented here as reported). The portfolio is concentrated in diversified equity and fixed-income ETFs from Capital Group and iShares, alongside large-cap U.S. operating companies such as Apple, Microsoft, Alphabet, and NVIDIA. The filing is a routine quarterly regulatory disclosure and does not by itself signal a change in control, distribution, or corporate action.

• · All 55 positions are reported with sole investment discretion and no shared or other-manager voting authority specified in the information table.
• · Capital Group-managed ETFs (equity and fixed income) make up a large share of the reported value, while direct common-stock holdings are concentrated in mega-cap technology and consumer names.
• · Filing period of report is September 30, 2026 with a filing date of October 23, 2026, consistent with the 45-day post-quarter 13F deadline.
• · Filer is identified with SEC file number 028-25991, EIN 81-0614180, fiscal year end December 31, and business address in Westlake, Ohio.

23-10-2026

Bank of America Corporation filed a Certificate of Designations establishing a new series of preferred stock, the 7.200% Fixed-Rate Reset Non-Cumulative Preferred Stock, Series WW, with an authorized issuance of 80,000 shares at a $25,000 liquidation preference per share (aggregate liquidation preference of $2.0 Billion). The Preferred Stock Committee adopted the resolutions by written consent on October 20, 2026, with an original issue date of October 23, 2026. Dividends are fixed at 7.200% until the First Reset Date of October 27, 2031, and thereafter reset every five years to the Five-Year U.S. Treasury Rate plus a 2.260% spread; the filing is neutral in tone and contains no reported period-over-period performance data.

• · Dividends are non-cumulative and payable quarterly on January 27, April 27, July 27 and October 27, beginning January 27, 2027
• · First Reset Date is October 27, 2031, after which the rate resets every five years
• · Series WW ranks pari passu with 22 listed series of existing Parity Stock and junior to any Senior Stock
• · Capital Treatment Event provisions allow the Corporation to act if the shares could no longer count as additional Tier 1 capital
• · The Bank of New York Mellon Trust Company, N.A. is the initial Calculation Agent and can be replaced without holder consent
• · Board may increase authorized Series WW shares up to the total preferred authorization, or decrease them down to shares outstanding

23-10-2026

Five Point Holdings reported a net loss attributable to the Company of $(2,580) thousand for Q3 2026 versus net income of $21,071 thousand in Q3 2025, a swing driven mainly by a sharp drop in equity in earnings from unconsolidated entities ($(2,183) thousand vs. $70,137 thousand). Total revenues rose 8.3% YoY to $14,615 thousand, while nine-month net income attributable to the Company fell 87.3% to $6,054 thousand from $47,675 thousand, and nine-month operating cash flow turned negative at $(73,362) thousand versus $25,522 thousand a year earlier.

• · Q3 2026 management services revenue was $13.9M (+2.8% YoY) while management services costs rose to $5.6M from $5.5M, and nine-month management services costs jumped 67.3% to $18.1M, compressing margins
• · Land sales were negligible in Q3 2026 and nine-month 2026 land sales were a net negative $(211) thousand, with $(1,211) thousand of related-party land sales
• · Nine-month operating cash outflow of $(73.4)M was driven by a $(118.3)M increase in inventories, partly offset by $35.96M return on investment from the Great Park Venture
• · Nine-month financing outflows of $(57.1)M included a $(43.6)M related party reimbursement obligation payment
• · Cash and cash equivalents declined 15.7% to $358.7M since December 31, 2025, and total cash including restricted cash fell to $359.7M from $426.5M at year start
• · Q3 2026 included an $(2.2)M loss from unconsolidated entities versus $70.1M of income in Q3 2025, reflecting the absence of prior-year gains from the Great Park Venture
• · Q3 2026 SG&A fell 10.9% to $12.5M and interest income declined 37.2% to $2.8M, partially offsetting the revenue gain
• · Related party liabilities fell to $18.1M from $71.0M, and related party assets declined to $83.8M from $89.5M
• · Hearthstone Venture acquisition purchase price allocation recognized $69.8M of goodwill and $13.7M of intangible assets against $57.6M consideration, with $44.2M of redeemable noncontrolling interests
• · Operating properties revenue was essentially flat YoY at $0.7M in Q3 2026 and $1.9M for nine months

23-10-2026

Circle8 Group, Inc. (filing names Atlantic International Corp. as signatory; the registrant is identified as Circle8 Group, Inc., Nasdaq: CIRC) disclosed multiple defaults and enforcement threats affecting its Lyneer Staffing Solutions subsidiary. A professional employer organization, Employers Personnel, LLC, issued a payment default notice to Lyneer, and SPP Credit Advisors issued notices of default under a Financing Agreement and a Bridge Loan Agreement based on cross-defaults. Separately, senior secured lender North Mill Capital (SLR Business Credit) intends to sell substantially all Lyneer assets under UCC Article 9 on or after October 27, 2026; the company disputes the validity of that notice. No financial figures were disclosed in the filing.

• · Lyneer received a payment default notice from its PEO, Employers Personnel, LLC, under their service agreement; Lyneer is negotiating a resolution.
• · SPP asserted Events of Default under the Amended and Restated Loan Agreement dated April 29, 2025 and under the Bridge Loan Agreement dated June 18, 2024, including cross-defaults tied to the PEO notice.
• · SPP has not waived the Events of Default and reserved all rights and remedies, but has taken no further action at this time.
• · The company is disputing the purported defaults in light of the August 7, 2026 Settlement Agreement.
• · SLR intends to conduct a UCC Article 9 private sale of substantially all Lyneer Staffing Solutions assets on or after October 27, 2026; the company disputes the notice's validity.
• · Filing reports Item 2.04 (Triggering Events That Accelerate or Increase a Direct Financial Obligation) and Item 9.01 exhibits; the filing identifies the company as an emerging growth company.

23-10-2026

CN Energy Group (CNEY) filed Amendment No. 1 on Form 6-K/A, dated October 23, 2026, to supplement its April 2, 2026 Original Report on the March 31, 2026 closing of its acquisition of Blessing Logistics Ltd., an Alberta corporation, by its wholly owned subsidiary CNEY Canada Inc. The amendment adds audited financial statements for Blessing Logistics for fiscal years ended September 30, 2025 and 2024, unaudited condensed financials for the six months ended March 31, 2026, and unaudited pro forma condensed combined financial information for CNEY. The filing contains no quantitative figures in the text itself; the financial data resides in exhibits not reproduced here.

• · Acquisition closed March 31, 2026 under an Amended and Restated Share Purchase Agreement dated March 30, 2026
• · Amendment is filed solely to furnish supplemental financial information; it does not update other content of the Original Report
• · Exhibit 23.1 is a consent of Enrome LLP, indicating an auditor consent for the furnished financial statements
• · Pro forma information is explicitly stated as illustrative and not indicative of future results
• · Incorporated by reference into Form F-3 registration statement (File No. 333-292319)
• · Company reports on Form 20-F basis (annual reports filed under Form 20-F)

23-10-2026

Teledyne Technologies reported third-quarter 2026 net sales of $1,684.9 million, up 9.4% from $1,539.5 million in Q3 2025, and net income attributable to Teledyne of $272.8 million (diluted EPS $5.82), up from $220.7 million (diluted EPS $4.65). Nine-month net sales rose 9.0% to $4,907.5 million, but nine-month cash flow from operations, while up, was offset by a larger inventory build (-$193.7 million) and comprehensive income declined sharply to $665.0 million from $961.9 million due to a foreign exchange translation swing from a gain of $334.7 million to a loss of $92.9 million.

• · Q3 2026 gross margin widened: cost of sales rose only 7.5% ($945.5M vs $880.0M) against 9.4% sales growth.
• · Q3 2026 other income rose to $7.5M from $0.9M, supporting pre-tax income growth of 26.7%.
• · Q3 2026 effective tax rate was 21.3% ($74.0M on $346.8M), versus 19.3% in Q3 2025 ($52.9M on $273.8M), a headwind to net income growth.
• · Nine-month R&D expense increased 5.5% to $253.4M, even as Q3 R&D fell 5.8% to $78.6M.
• · Nine-month working capital absorbed cash: inventories rose $193.7M and accounts receivable/unbilled receivables used $30.3M, partly offset by accrued liabilities (+$90.3M) and payables (+$42.6M).
• · The $450.0M fixed rate senior notes were repaid in 2026, leaving current portion of long-term debt at $0.1M versus $450.1M at year-end 2025.
• · Nine-month purchases of treasury stock were $97.7M, up from $2.9M in the prior-year period; Q3 2026 repurchases alone were $94.8M.
• · Goodwill declined $9.1M and acquired intangibles declined $172.7M from December 2025, reflecting amortization and foreign currency translation.
• · Accumulated other comprehensive loss widened to $511.7M from $425.4M at year-end 2025, driven by a $92.9M nine-month FX translation loss.
• · Nine-month 2025 investing outflows of $840.9M were dominated by $764.2M in business acquisitions; 2026 investing outflows were $160.4M, with DD-Scientific at $53.4M net of cash acquired.
• · Nine-month 2026 diluted weighted average shares were 46.9M versus 47.4M in 2025, a 1.1% reduction supporting per-share growth.
• · Q3 2026 Q3 Other comprehensive income was $23.4M versus a loss of $(39.5)M in Q3 2025.

23-10-2026

Proficient Auto Logistics, Inc. (PAL) filed Amendment No. 1 to its August 14, 2026 Form 8-K to provide the Item 9.01 financial statements and pro forma information for its completed acquisition of Hansen & Adkins Auto Transport, LLC, Hansen & Adkins Auto Logistics, LLC, Royal Truck Leasing, LLC and Hansen & Adkins Canada Ltd. (collectively the 'Acquired Companies'), plus MCL McGill Carriers Ltd., which became a subsidiary of H&A Canada. The filing includes audited FY2025/FY2024 and unaudited H1 2026/H1 2025 statements for the acquired businesses, along with unaudited pro forma condensed combined statements that are presented for informational purposes only and do not project future results; the filing itself contains no quantified financial results, purchase price, or performance figures in the excerpt provided.

• · Acquisition completed August 13, 2026 under an Equity Purchase Agreement dated August 10, 2026, with the Original 8-K filed August 14, 2026
• · Sellers include Steven Hansen, Louie Adkins, Hansen & Adkins, Inc., Royal Holdco, LLC, The Steven Hansen Separate Property Trust and The Louie Adkins 2024 Trust
• · Acquired-business audited statements (Windes, Inc. report dated April 13, 2026) cover years ended December 31, 2025 and 2024; MCL audited statements (Grant Thornton LLP report dated October 23, 2026) cover the same years
• · Pro forma balance sheet as of June 30, 2026 and pro forma statements of operations for FY2025 and H1 2026 assume the transaction occurred on June 30, 2026 and January 1, 2025 respectively
• · PAL is an emerging growth company listed on Nasdaq Global Market under ticker PAL; the company is headquartered in Jacksonville, FL

23-10-2026

WaFd, Inc. (WAFD) filed additional proxy materials (DEFA14A) relating to a proposed transaction with EverBank, which the filing references but the excerpt does not describe in terms of deal value, structure, or consideration. The filing is primarily a legal and disclosure notice: it contains standard forward-looking statement cautions, states that WaFd will file a Schedule 14A proxy statement and mail it to shareholders entitled to vote, and urges shareholders to read the forthcoming proxy materials. No financial results, quantitative metrics, or performance comparisons are presented in the excerpt.

• · WaFd will file a definitive proxy statement on Schedule 14A and mail it to shareholders entitled to vote at the meeting on the proposed transaction.
• · WaFd's contact for copies of the proxy statement is Brad Goode, 425 Pike Street, Seattle, Washington 98101, telephone (206) 626-8178.
• · WaFd and certain directors and executive officers may be deemed participants in the proxy solicitation; details are to be included in the forthcoming proxy statement.
• · The excerpt references a 2026 annual meeting proxy statement and Form 10-Q filings as sources of additional information on WaFd's directors, officers, and financial position.

23-10-2026

iPower Inc. (IPW) filed Amendment No. 1 to its Form S-3 shelf registration statement (Registration No. 333-299409) on October 23, 2026. The amendment primarily adds exhibits, including a consent from HTL International LLC, the company's independent registered public accounting firm, referencing its audit report dated October 2, 2026 on the fiscal years ended June 30, 2026 and 2025. The filing covers potential issuance of preferred stock, warrants, debt securities, rights, and units under the shelf, and does not itself disclose any new financial results or a specific offering size in the excerpt provided.

• · Company is listed in Rancho Cucamonga, CA; fiscal year ends June 30; incorporated in Nevada
• · Filing references Annual Report on Form 10-K for fiscal year ended June 30, 2026, with auditor report dated October 2, 2026
• · Recent charter activity referenced: Certificates of Amendment to Articles of Incorporation filed via Form 8-K on May 22, 2026 and August 5, 2026
• · Series A and Series B Senior Secured Convertible Notes were previously issued (Form 8-K/A filed December 23, 2025), indicating existing secured convertible debt
• · Exhibit 5.1 legal opinion (Dorsey & Whitney LLP), Power of Attorney, and Filing Fee Table (Exhibit 107) were previously filed; several exhibits are to be filed later or incorporated by reference
• · Trustee eligibility statements (Form T-1) for senior and subordinated indentures are to be filed separately if necessary

23-10-2026

Silver Bow Mining Corp. (NYSE American: SBMT) entered a First Amendment to its August 21, 2026 Asset Purchase Agreement with Montana Goldfields, Inc. and Montana Tunnels Mining, Inc., effective October 14, 2026. The amendment redefines the Outside Date as 60 days after the sellers deliver audited MTMI financial statements for its last two fiscal years, requires the company to file a preliminary proxy statement within 5 business days of that delivery, and requires sellers to use reasonable efforts to deliver those audited financials by October 31, 2026. The filing does not disclose transaction value, and the amendment does not change the substance of the acquisition itself.

• · Sellers must use reasonable efforts to deliver MTMI audited financials (two fiscal years, PCAOB-registered auditor) by October 31, 2026
• · The transaction requires shareholder approval for issuance of CVRs and underlying common shares, Bankruptcy Court approval, and NYSE American approval
• · Amendment was originally signed as a Form 8-K item disclosure; original agreement was disclosed in an August 24, 2026 8-K

23-10-2026

HiTek Global Inc. (HKIT) reported unaudited H1 2026 results with revenue of $1,226,046, up 65% YoY from $741,541, and total assets of $49,277,023 at June 30, 2026, up from $42,581,032 at December 31, 2025. However, the company remained loss-making: net loss widened 50% YoY to $(1,370,065) from $(916,109), operating loss widened 34% to $(1,802,267), and gross profit grew only 16% to $201,211 as cost of revenues rose 81%. Cash and equivalents more than quadrupled to $17,088,014, driven largely by a $10,417,994 share issuance, while operating cash flow turned negative at $(1,080,216) versus $1,153,600 a year earlier.

• · Revenue from the subsidiary-level segment (six months) was $795,544 versus $737,904 (+7.8%), with that entity's net loss widening to $(560,526) from $(469,268) (+19.4%), indicating most of the revenue growth came from outside this unit.
• · Loans receivable fell sharply to $589,528 from $6,020,220, and loan payable to related party was fully repaid ($2,645,465 at year-end), with $3,439,030 in loan repayments received from third parties in H1 2026.
• · Accumulated other comprehensive loss narrowed to $(74,586) from $(420,093), supported by foreign currency translation gains of $345,507.
• · Interest income declined 49% to $210,639 from $412,683, and the company recorded no interest expense in H1 2026 versus $153,049 a year earlier.
• · Class A ordinary shares outstanding were 799,861 post-split, down from 5,629 pre-split as of December 31, 2025 figures presented retroactively, reflecting the 1-for-25 reverse split.
• · Accounts receivable were broadly flat at $5,350,006 versus $5,407,989, and the company recorded a provision for expected credit losses of $506,980 in H1 2026.

23-10-2026

HOOPS SCOUTING USA (HSCT) reported its first sales for the fiscal year ended June 30, 2026, generating $20,000 in revenue against $79,538 in total operating expenses, resulting in a net loss of $71,064 versus a $20,118 net loss in FY2025. The company's accumulated deficit grew to $382,901 and total stockholders' deficit widened to $247,851, with the company remaining reliant on related-party financing. Performance is mixed: the company achieved initial revenue and a $4,229 legal settlement gain, but expenses rose sharply and losses deepened.

• · Net cash used in operations rose to $44,082 from $29,053, funded by $52,075 of related-party proceeds.
• · Net operating loss carryforwards increased to $64,192 from $47,869, with a full valuation allowance recorded against the $80,409 gross deferred tax asset.
• · Inventory declined 20.5% to $61,114, with $15,755 recognized as cost of goods sold.
• · Accounts payable increased to $12,959 from $2,732, and accrued liabilities of $1,000 appeared for the first time.
• · Loans payable remained flat at $16,000 in both periods.
• · Stockholders' deficit widened 40.2% year over year, and no new equity was issued; share count remained at 101,250,000.

23-10-2026

HomesToLife Ltd filed a Form 6-K for October 2026 disclosing that it received a conditional eligibility-to-list letter from the Singapore Exchange Securities Trading Limited (SGX-ST) on October 21, 2026, in connection with a proposed secondary listing by way of introduction of its ordinary shares on the SGX Main Board. On October 23, 2026, the company issued an Introductory Document containing supplemental and updated business and financial disclosures, and a press release announcing the same. The filing contains no specific financial figures, period-over-period comparisons, or quantitative results in the body text; the substantive data resides in the attached exhibits.

• · The eligibility-to-list letter from the SGX-ST is conditional, so the secondary listing is not yet assured.
• · Exhibit 99.1 contains new, supplemental, and updated business and financial information that previously disclosed SEC filings did not include, which should be read alongside prior filings.
• · The company is a Form 20-F filer (foreign private issuer), not a Form 40-F filer.
• · Registrant address: 12 Tai Seng Link GRC Centre, #03-01A, Singapore 534233; Commission File Number 001-42290.

23-10-2026

Destiny Tech100 Inc. (DXYZ) filed a definitive proxy statement (DEF 14A) dated October 23, 2026, calling its annual shareholder meeting for November 20, 2026 at 2:00 P.M. Eastern Time, to be held virtually. Shareholders will vote on the election of two Class I directors, Travis Mason and Nathan Rodland, each serving until the 2029 annual meeting, and on ratifying KPMG LLP as the independent registered public accounting firm for fiscal year 2026. The Board unanimously recommends voting FOR all proposals; the filing contains no reported financial performance metrics.

• · Record date for shareholders entitled to vote is October 9, 2026; each share of common stock gets one vote.
• · Advance registration to attend the virtual meeting is required by 2:00 P.M. Eastern Time on November 19, 2026, via email to [email protected].
• · Travis Mason's background includes serving as Chief Policy and Regulatory Officer of Merlin, Inc. (2022–2025) and Vice President, Certification and Regulation at Airbus (2017–2020).
• · Nathan Rodland is currently COO at Endurance Energy Equipment Integration Co., Ltd. and previously was COO and Co-Founder of Robinhood Markets, Inc.
• · The Company's annual report for the fiscal year ended December 31, 2025 is referenced as an N-CSR filing, available on the Company's website (https://d.xyz/tech100).
• · Proxy materials and Notice of Internet Availability are first being released to shareholders on or about October 23, 2026.

23-10-2026

Evernorth Holdings Inc. entered into a Common Stock Purchase Agreement with CF Principal Investments LLC (Cantor) establishing a committed equity facility under which the company may sell up to 5,218,935 newly issued Class A shares over roughly 14 months, subject to a 97% VWAP purchase price, a $1.00 threshold price, and a 4.99% beneficial ownership cap. The company paid or owes an upfront commitment fee of $521,893.50 (1.0% of the Total Commitment at $10.00 per share), subject to a true-up capped at $1,000,000 in aggregate fees, and additional expense reimbursements and a $200,000 fee to StoneX Financial as qualified independent underwriter. The facility is dilutive to existing shareholders and carries execution-dependent proceeds, so its net economic effect will depend on share prices and the timing of sales.

• · Purchase facility terminates automatically on the earliest of 14 months, full purchase of the Total Commitment, delisting from Nasdaq, or bankruptcy/insolvency proceedings
• · Cantor may terminate upon events including a material adverse effect, fundamental transaction, uncured registration rights breach, lapse of the resale registration for over 45 consecutive trading days or 90 trading days in any 365-day period, or trading suspension
• · Company may terminate at no cost after Commencement on three trading days' notice, provided fees are paid, and may switch to an S-3 at-the-market offering through Cantor Fitzgerald & Co., with a partial fee credit up to 75%
• · Threshold Price is the greater of $1.00, 90% of prior closing price, or a higher price specified by the company; purchases are reduced for periods below this price
• · Purchase Agreement prohibits certain variable rate transactions, subject to exceptions

23-10-2026

Director Nexus Capital Management LP bought 632,922 Class A Common Stock, $0.001 par value per share at $3.55 (~$2.25M). Nexus Capital Management LP holds 4,907,316 shares after the transaction.

• · Director Nexus Capital Management LP bought 632,922 Class A Common Stock, $0.001 par value per share at $3.55 (~$2.25M)

23-10-2026

EVP, Clinical Development Blackburn Kelly was awarded 19,100 Stock Option (Right to Buy).

• · EVP, Clinical Development Blackburn Kelly was awarded 19,100 Stock Option (Right to Buy)

23-10-2026

President and Chief Op Officer Merriwether Deidra C was awarded 31,042 Common Stock. Merriwether Deidra C holds 31,042 shares after the transaction.

• · President and Chief Op Officer Merriwether Deidra C was awarded 31,042 Common Stock

23-10-2026

Lucky Strike Entertainment Corp's DEF 14A proxy statement, dated October 23, 2026, covers the audit committee's reappointment of Deloitte as independent auditor for fiscal 2027 (Deloitte has served since 2022) and detailed executive compensation for the fiscal year ended June 28, 2026. The filing reports executive employment terms, severance arrangements, and option grants for CEO Thomas F. Shannon, President/CFO Robert M. Lavan, and former President Lev Ekster, whose resignation took effect March 4, 2026. The disclosure is largely governance and compensation detail rather than a material operating event, with no new performance results reported in this excerpt.

• · Lavan's employment agreement term extended by two years to May 2027
• · Shannon is not eligible for additional long-term equity grants until December 15, 2026
• · Shannon's change-in-control severance is two times base plus target bonus, paid in a lump sum, versus 1x paid monthly otherwise
• · Ekster's vested-option treatment: unvested awards vesting on or before December 31, 2026 remain outstanding; all others were cancelled
• · Company classifies itself as a smaller reporting company using scaled Regulation S-K disclosure
• · Shannon's Initial Option exercise prices range from $10 to $18 across five tranches; Lavan's 2023 Option from $15.33 to $19.83

23-10-2026

Polar Power, Inc. (NASDAQ: POLA) disclosed it believes it has regained compliance with Nasdaq Listing Rule 5550(b)(1), which requires a minimum of $2.5 million in stockholders' equity, after a series of convertible note, preferred stock, warrant, and equity line financings. The Company estimates preliminary pro forma stockholders' equity of approximately $2.9 million as of the report date, but these figures are unaudited and subject to revision, and Nasdaq will continue monitoring compliance at the next periodic report, with delisting possible if compliance is not evidenced.

• · Nasdaq extension required a public filing demonstrating compliance on or before October 28, 2026
• · Equity was boosted largely by related-party and insider conversions, including CEO Arthur Sams converting $614,700 and a further $161,276 in notes
• · Financing terms include a 10% PIK dividend, perpetual Series A Preferred senior to common stock, and conversion at a discount to VWAP that can be dilutive
• · Company stated the preferred stock and warrants may be subject to reclassification or accounting adjustments, and figures are unaudited pending Q3 2026 close
• · Compliance is fragile: Nasdaq will re-test at the next periodic report and delisting may follow if equity falls below $2.5M

23-10-2026

Blue Owl Technology Income Corp. disclosed a monthly distribution of $0.074775 per Class I share payable by November 30, 2026, and an October 1, 2026 share sale of 505,374 unregistered Class I shares for $4.98 million under a private offering. Net asset value was $9.85 per share and aggregate NAV was $2.6 billion as of September 30, 2026. Performance was mixed: Class I total net return was 1.6% YTD and 3.4% for one year, while Class S with max sales load showed (2.5)% YTD and (1.0)% for one year, though the company outperformed several public credit indices since inception.

• · Class S (no sales load) 1-month return 1.7% and 3-month 3.7% versus Class S with max sales load showing (1.7)% and 0.2%
• · Outperformed Morningstar LSTA U.S. Leveraged Loan Index by 244 bps, Bloomberg U.S. Corporate High Yield Index by 330 bps, and Bloomberg U.S. Aggregate Bond Index by 771 bps since inception
• · Portfolio industry concentration led by Application Software (15.5%), Systems Software (13.8%) and Health Care Technology (13.2%)
• · Preliminary financial data was not audited or reviewed by KPMG LLP
• · Distributions are not guaranteed and may be funded from sources other than operating cash flow

23-10-2026

Bio Green Med Solution, Inc. (BGMS), formerly Cyclacel Pharmaceuticals, filed a Form S-3 shelf registration on October 23, 2026 to register up to 1,103,338 shares of common stock for resale by selling stockholders who bought the shares in a $794,403 Regulation S private placement at $0.72 per share on June 10, 2026. The company will receive no proceeds from these resales. The filing also discloses a proposed business combination with Future NRG Sdn. Bhd. under which BGMS would issue shares valued at $2,000,000,000, leaving current stockholders with less than approximately 1.0% of the post-deal company, subject to a November 19, 2026 stockholder vote and a December 31, 2026 outside date; the company also flags going-concern doubt and Nasdaq listing risk.

• · Company is a going-concern risk, per the forward-looking statements disclosure.
• · Listing on The Nasdaq Capital Market is a stated forward-looking risk area.
• · Either party may terminate the Business Combination Agreement if the Exchange has not closed by December 31, 2026.
• · Liquidated damages are payable if the company misses registration filing or effectiveness deadlines under the Registration Rights Agreement.
• · Plogosertib clinical program assets were agreed to be sold to Tethra Biosciences on October 6, 2025, following the January 2025 deconsolidation of Cyclacel Limited.
• · Special stockholder meeting on November 19, 2026 will vote on share issuance, authorized share increase to 3,000,000,000, reverse split, and future financings over 24 months post-deal.
• · Registration Statement on Form S-4 (File No. 333-296815) was declared effective October 8, 2026, with proxy statement/prospectus dated October 9, 2026.

23-10-2026

Rocket One Inc. (formerly Hoth Therapeutics, Inc.; ticker RKTO per the filing, referenced as HOTH in the request) filed a definitive proxy statement on October 23, 2026 for its 2026 virtual annual shareholder meeting on December 17, 2026 at 12:00 p.m. ET. Six proposals are presented: election of five directors, ratification of Withum as auditor, an increase in shares reserved under the 2022 Omnibus Equity Incentive Plan from 3,091,317 to 6,341,317, an advisory Say-on-Pay vote, a reverse stock split authorization (1-for-2 to 1-for-15, exercisable until December 17, 2028), and an increase in authorized common stock from 50,000,000 to 100,000,000 shares. The company had 24,897,581 shares outstanding on the October 22, 2026 record date.

• · Reverse split ratio range is 1-for-2 to 1-for-15, with the Board selecting the exact ratio and timing, exercisable at any time before December 17, 2028 without further shareholder approval
• · Ratification of Auditors, Reverse Stock Split, and Authorized Share Increase are expected to be routine matters for broker voting; Plan Amendment and Say-on-Pay are non-routine
• · Shareholders of record who return a proxy without instructions default to FOR on all six proposals
• · Filing discloses a change of name from Hoth Therapeutics, Inc. (name change dated July 12, 2017 per EDGAR header) and a business address in Hoboken, NJ

23-10-2026

Offerpad Solutions Inc. (OPAD) announced that Chief Financial Officer Peter Knag stepped down effective October 20, 2026, in an amicable departure not tied to any disagreement with the company. Knag will remain as a Senior Advisor through November 30, 2026 to support an orderly transition, and Andrew Pieper, Senior Vice President and Controller, was appointed Interim Chief Financial Officer, also serving as principal financial and principal accounting officer. The filing contains no financial results or quantitative performance data.

• · Knag's separation payments and benefits are governed by his existing employment agreement, though no amounts are disclosed
• · Pieper, age 44, has been with Offerpad since July 2021, previously serving as Director, Financial Reporting and then Vice President, Controller before his August 2025 promotion to SVP, Controller
• · Pieper is a Certified Public Accountant in Arizona and previously worked at KPMG LLP (2004-2009) and Apollo Education Group (2009-2018)
• · Pieper has no arrangements with other persons tied to his appointment, no family relationships with directors or executive officers, and no related-party transaction interest under Item 404(a)

23-10-2026

City of London Investment Management Company Limited (CLIM) filed an amended Schedule 13G reporting beneficial ownership of 1,219,023 shares of common stock of Morgan Stanley India Investment Fund, Inc. (IIF), representing approximately 13.0% of the outstanding shares, as of 09/30/2026. CLIM reports sole voting and dispositive power over all reported shares and files under Rule 13d-1(b) as a registered investment adviser on behalf of several funds and segregated accounts it manages. The filing is a routine ownership disclosure with no reported change in control intent or proposed transaction.

• · Filing is a SC 13G/A amendment referencing prior filing 0001072613-25-000822, with an event date of 09/30/2026
• · CLIM certifies the shares were acquired and are held in the ordinary course of business, not for the purpose of influencing control of the issuer
• · One of the segregated accounts has the right to receive or direct dividends or sale proceeds from more than 5% of the reported shares
• · Filing states CLIM operates under informational barriers with its parent City of London Investment Group plc (LSE-listed), so beneficial ownership is not attributed to the parent

23-10-2026

Jasper Therapeutics, Inc. (JSPRW) filed Amendment No. 1 to its Schedule TO-I (SC TO-I/A) on October 23, 2026, amending its offer to holders of outstanding warrants. The excerpt provided consists mainly of the incorporated-by-reference list of prior SEC filings (10-K, 10-K/A, 10-Qs and multiple 8-Ks through October 15, 2026) and the company's investor relations and mailing contact details; it does not disclose the offer's exercise price, consideration, expiration date, or quantitative terms, so the economic impact of the offer cannot be assessed from this excerpt.

• · The offer relates to outstanding Warrants; the offer letter references a Letter of Transmittal and Warrants to be delivered by holders or their brokers to the Company.
• · The company is a former SPAC (formerly Amplitude Healthcare Acquisition Corp, renamed September 12, 2019), with a Redwood City, CA headquarters.
• · Amendment No. 1 incorporates an October 15, 2026 Form 8-K as the most recent referenced filing, suggesting recent material developments not detailed in this excerpt.
• · Subsequent amendments to the Schedule TO may modify or supersede statements in the offer letter; investors should review the full filing for final terms.

23-10-2026

The 6-K filing for Australian Oilseeds Holdings Ltd (COOTW) contains no financial results, transactions, or operating metrics. It consists of extracted sections of the company's articles of association, including a table of contents covering share issuance, meetings, directors' powers, dividends, and winding up, plus excerpts on preferred share series, FATCA definitions, shareholder death/bankruptcy entitlements, partly paid share liens, and interim/final dividend declarations.

• · Article 28 lets Directors withhold dividends and other payments on a share if a successor fails to elect registration or transfer within 90 calendar days of notice.
• · Article 44 grants the Company a first priority lien and charge on partly paid shares for amounts called or payable, extending to dividends on those shares.
• · Articles 141 and 142 give Directors power to declare interim dividends, and allow final dividends by Ordinary Resolution capped at the amount recommended by the Directors.
• · Excerpts reference preferred share series terms (dividend rights and restrictions on distributions and redemptions) and a FATCA definition referencing US IRC sections 1471 to 1474.

23-10-2026

On October 23, 2026, Yimutian Inc. (YMT) issued a third additional senior unsecured convertible promissory note with an original principal of $2,500,000 to an investor under the December 8, 2025 Securities Purchase Agreement, which provides for up to $30,000,000 in aggregate notes. The note carries an initial conversion price of $0.5378 per ADS and matures on October 23, 2027. The cumulative issuance to date is $8,563,333, implying roughly $21,436,667 of remaining capacity under the facility; the note's terms, which include a 19% default interest rate and a $500,000 minimum cash balance covenant, indicate financing pressure, though the filing does not explicitly characterize the company's liquidity position.

• · Conversion price is $0.5378 per ADS, with conversion at the lower of this fixed price and 90% of the lowest 10-day VWAP, creating dilution risk if the share price declines.
• · Interest is payable monthly from November 1, 2026, in ADSs by default, with the company able to elect cash payment.
• · Failure to timely deliver converted ADSs triggers a cash penalty of 1.5% per day and buy-in remedies for the holder.
• · Covenants restrict senior indebtedness, cash dividends, asset transfers, and affiliate transactions while the notes are outstanding.

23-10-2026

Steel Dynamics reported Q3 2026 net sales of $6,509.4 million, up 34.8% YoY from $4,828.2 million, and net income attributable to Steel Dynamics of $756.0 million, up 87.2% from $403.7 million. Nine-month net sales reached $17,805.8 million (up 29.4% YoY) and nine-month net income attributable to the company was $1,693.5 million (up 84.2%). Performance was strong across the board, though related-party sales fell sharply and interest expense more than doubled.

• · Gross margin expanded to roughly 19.7% in Q3 2026 from about 15.7% in Q3 2025, while cost of goods sold rose 28.4% YoY
• · Profit sharing expense nearly doubled to $81.3M in Q3 2026 from $42.4M, and rose to $180.8M for nine months from $95.8M
• · Income tax expense rose to $222.9M in Q3 2026 from $109.9M, implying an effective tax rate of about 22.8% versus 21.4% a year earlier
• · Nine-month operating income reached $2,244.9M, up 92.6% from $1,165.8M, while nine-month interest expense rose to $111.7M from $43.1M
• · Work-in-progress inventory more than doubled to $843.2M from $414.5M since December 31, 2025, a notable build that could weigh on working capital
• · Current liabilities rose 20.1% to $2,548.3M, led by accounts payable up 30.6% to $1,597.8M
• · Accumulated other comprehensive income swung to a $7.9M gain from a $0.6M loss, and noncontrolling interests deficit widened to $(206.2)M from $(168.0)M
• · Total share repurchases in the nine months were $591.0M (based on treasury stock changes of $582.8M excluding equity compensation effects), reducing shares outstanding by about 2.5M
• · Quarterly dividends per share increased to $0.53 from $0.50, and nine-month dividends declared rose to $1.59 from $1.50