Dow Jones 30 Stocks SEC Filings — June 03, 2026

03-06-2026

Advanced Drainage Systems, Inc. filed its DEF 14A proxy statement for the 2026 Annual Meeting of Stockholders, to be held via webcast on July 16, 2026. The filing includes proposals to elect nine directors, ratify the appointment of Deloitte & Touche LLP as independent auditor for fiscal year 2027, and hold a non-binding advisory vote on executive compensation. The company reported having 76,645,382 shares of common stock outstanding as of the May 22, 2026 record date.

• · The Annual Meeting will be held via live webcast only at www.virtualshareholdermeeting.com/WMS2026 on July 16, 2026 at 10:00 a.m. Eastern Time.
• · Stockholders of record as of May 22, 2026 are entitled to vote; each share of common stock carries one vote, and cumulative voting is not permitted.
• · The proxy materials were first sent to stockholders on or about June 3, 2026.
• · The company's fiscal year 2026 ended March 31, 2026.
• · The proxy statement includes a Compensation Discussion and Analysis section and a Pay-Versus-Performance table covering fiscal years 2021–2026.
• · The Audit Committee report and information on director compensation and stock ownership policies are included.

03-06-2026

Treasure Global Inc (TGL) entered into a Software Development Agreement with Nexe Cloud Limited on May 28, 2026, to design and deliver an enterprise business intelligence system. The agreement includes a first milestone payment of $300,000 due within two days and a one-year term. The Developer must refund all service fees if the software fails acceptance testing after more than three repeated tests, providing a safeguard for the Company.

• · The Developer must indemnify the Company against losses from third-party IP infringement claims.
• · Neither party is liable for economic losses (including lost profits) except for certain exceptions.
• · Confidentiality obligations last 5 years post-termination, with perpetual protection for source code and proprietary technology.
• · The agreement is governed by the laws of Malaysia, with disputes resolved in Malaysian courts.
• · The Company may modify the scope of services upon reasonable notice to the Developer.

03-06-2026

Netskope reported strong Q1 FY2027 results with ARR up 29% YoY to $845M and revenue up 28% YoY to $201.6M, driven by AI security demand. However, GAAP loss from operations widened to $(108.7)M from $(45.4)M, and cash flow turned negative at $(53.9)M used in operations vs. $25.6M provided a year ago. CFO Drew Del Matto announced retirement, with a search for a successor underway.

• · GAAP gross margin improved to 74% from 69% YoY; Non-GAAP gross margin improved to 77% from 74%.
• · GAAP net loss per share improved to $(0.29) from $(0.76) YoY; Non-GAAP net loss per share improved to $(0.06) from $(0.28).
• · Cash and marketable securities stood at $1.1B.
• · Q2 FY2027 revenue guidance: $213M-$215M (25%-26% YoY growth).
• · Full year FY2027 revenue guidance: $879M-$883M (24%-25% YoY growth).
• · Full year FY2027 free cash flow margin guidance: 2% to 4%.
• · CFO Drew Del Matto to retire; will remain in role during successor search and transition to advisory role.
• · New product launches: AgentSkope (6 AI agents) and AI Command Center.
• · Partnerships: Deloitte for managed SASE, Anthropic for AI security, OpenAI for cyber program, Google Cloud for AI Guardrails.

03-06-2026

Torrid Holdings Inc. held its annual meeting on June 2, 2026, where stockholders elected Theophlius Killion and Michael A. Shaffer as Class II directors, approved executive compensation on an advisory basis, and ratified the appointment of PricewaterhouseCoopers LLP as auditor for fiscal year ending January 30, 2027. All proposals passed with strong support, though broker non-votes were significant.

• · The annual meeting was held on June 2, 2026.
• · All three proposals passed: election of directors, advisory vote on executive compensation, and ratification of auditor.
• · Broker non-votes totaled 13,158,070 for each of the first two proposals.
• · Auditor ratification received the highest support with 86,684,687 votes for and only 15,664 against.

03-06-2026

PG&E's utility subsidiary, Pacific Gas and Electric Company, completed the sale of $2.2 billion aggregate principal amount of First Mortgage Bonds on June 3, 2026, comprising three tranches: $800 million of 5.050% bonds due 2031, $800 million of 5.600% bonds due 2036, and $600 million of 6.300% bonds due 2056. The issuance was executed under an underwriting agreement dated June 1, 2026, with BNP Paribas Securities Corp., Citigroup Global Markets Inc., MUFG Securities Americas Inc., and RBC Capital Markets LLC. This debt financing provides PG&E with long-term capital, but the relatively high coupon rates (5.050% to 6.300%) reflect elevated borrowing costs in the current interest rate environment.

• · The underwriting agreement was entered into on June 1, 2026, and the sale was completed on June 3, 2026.
• · The bonds are secured by first mortgage liens on the Utility's property.
• · The 2056 tranche carries the highest coupon at 6.300%, reflecting the longest maturity and potentially higher risk premium.
• · The issuance was conducted under a Thirty-Fourth Supplemental Indenture with The Bank of New York Mellon Trust Company, N.A. as Trustee.

03-06-2026

PVH Corp reported Q1 FY2026 revenue of $2.025B, up 2% YoY, in line with guidance, though down 2% on a constant currency basis. Non-GAAP EPS of $2.01 exceeded guidance of $1.65-$1.80, but declined from $2.30 in Q1 FY2025. The company lowered full-year 2026 revenue guidance to approximately flat (from slight increase) due to prolonged Middle East conflict pressure in EMEA, but maintained operating margin guidance of ~8.8% as tariff refunds ($100M expected in Q2) offset the headwinds. DTC revenue grew 6% (3% cc) with digital commerce up 11% (6% cc), while wholesale was flat. APAC revenue grew 10% (6% cc), Americas declined 1%, and EMEA constant-currency revenue fell 5%.

• · Inventory decreased 5% to $1.51B.
• · Stock repurchases: None in Q1 2026; at least $300M expected for full year 2026.
• · GAAP EPS was $1.90 vs $(0.88) in Q1 2025. GAAP EBIT was $124M vs $(332M) which included a $480M goodwill impairment in Q1 2025.
• · Gross margin was flat at 58.6%.
• · Q2 2026 guidance: Revenue down 3-4%; non-GAAP operating margin ~9.5% (including ~470 bps from tariff refunds); non-GAAP EPS $3.00-$3.10.
• · Full year 2026: Revenue roughly flat; non-GAAP EPS $11.80-$12.10; non-GAAP operating margin ~8.8%.
• · Tariff refunds of ~$100M expected in Q2, contributing ~100 bps to FY margin and ~$1.70 to FY EPS.
• · Net interest expense projected at ~$75M for FY2026 vs $79M in FY2025.
• · Effective tax rate FY2026 projected at 22%-23%.
• · Foreign currency translation had a positive $0.21 impact on EPS in Q1 2026.
• · Wholesale had a shift in timing of shipments to H2 2026.

03-06-2026

Enovix Corp filed a DEFA14A proxy statement on June 3, 2026, which includes forward-looking statements and references to quarterly reports on Form 10-Q and other SEC filings. The filing does not contain specific financial results or operational metrics, but serves as a routine regulatory disclosure.

• · Filing type is DEFA14A (additional definitive proxy materials).
• · Filing date is June 3, 2026.
• · The document includes a cautionary note that forward-looking statements speak only as of the date made and the company undertakes no obligation to update them.

03-06-2026

Health Catalyst filed a DEF 14A proxy statement for its 2026 Annual Meeting to be held virtually on July 16, 2026. Stockholders will vote on electing two Class I directors, ratifying Ernst & Young as auditor, approving executive compensation on an advisory basis, and declassifying the board. The record date is May 22, 2026, with 73,894,020 shares outstanding.

• · Annual Meeting will be held virtually on July 16, 2026 at 3:00 p.m. ET.
• · Stockholders of record as of May 22, 2026 are entitled to vote.
• · Proposals include election of two Class I directors, ratification of auditor, advisory vote on executive compensation, and declassification of the board.
• · Board recommends FOR all proposals.
• · Plurality voting for directors; majority of votes cast for other proposals.

03-06-2026

Ollie's Bargain Outlet reported strong Q1 FY2027 results (thirteen weeks ended May 2, 2026) with net sales increasing 14.2% YoY to $658.9M and net income rising 18.6% to $56.4M. Diluted EPS grew 19.5% to $0.92. However, the company generated $62.0M less in cash from operations ($45.5M vs. $28.7M) primarily due to higher working capital needs, and cash & equivalents declined to $197.7M from $259.7M at fiscal year-end, partly due to $53.4M in share repurchases.

• · Network of stores operated by Ollie's generates revenue through bargain retail
• · Gross profit margin improved to 41.9% from 41.1% in prior year, driven by higher merchandise margins or lower cost of sales
• · SG&A expenses rose 14.5% YoY, roughly in line with sales growth, but operating income grew faster at 23.8%
• · Long-term debt remains minimal at $1.5M with undrawn revolving credit facility
• · Total assets increased to $2.99B from $2.71B a year ago, driven by higher inventory and investment balances
• · Deferred revenue balance declined to $12.5M from $14.2M a year ago, indicating lower gift card or loyalty liability
• · Interest income, net increased to $5.0M from $4.8M YoY, reflecting higher investment balances
• · Effective tax rate was 24.3% vs. 22.0% in prior year

03-06-2026

Cadre Holdings, Inc. held its 2026 Annual Meeting on May 29, 2026, where directors Gianmaria C. Delzanno and Deborah A. DeCotis departed as their terms expired and were not nominated for re-election. Stockholders elected five director nominees and ratified KPMG LLP as auditor for 2026. The meeting had 94.41% voter turnout.

• · Hamish Norton received the lowest votes for (27,441,282) and highest votes withheld (10,926,144) among director nominees.
• · Proposal 2 (ratification of KPMG) received 40,030,528 votes for, 220,138 against, and 155,542 abstentions, with no broker non-votes.
• · The decision not to nominate Delzanno and DeCotis was not due to any disagreement with the Company.

03-06-2026

Verde Resources reported a net loss of $4.78M for the fiscal year ended June 30, 2025, widening 50% from a $3.19M loss in the prior year, driven by a 104.3% surge in SG&A expenses to $5.89M. Revenue grew 37.9% to $133,202 and gross profit more than doubled to $81,413, but the company remains pre-revenue in its core licensing model. The company is executing a definitive licensing agreement with Ergon for North America and must fund $3M to C-Twelve by July 2026, while cash reserves are only $1.02M.

• · The company has 20 total personnel: 3 senior management, 1 sales/marketing, 2 production, 5 IT, 4 admin/finance/HR, and 5 independent consultants.
• · Cash used in operating activities increased 63.4% to $3.41M in FY 2025 from $2.09M in FY 2024.
• · Net cash provided by investing activities was $3.18M in FY 2025, compared to a use of $2.02M in FY 2024.
• · Financing activities provided $0.98M in FY 2025, down from $4.13M in FY 2024.
• · The company must pay $3M to C-Twelve by end of July 2026 ($2M loan + $1M license fee), which exceeds its current cash balance of $1.02M.
• · The Ergon license covers the U.S., Canada, and Mexico for Verde V24.
• · The company's 'go to market' period with Ergon runs through end of 2026.
• · The filing warns of penny stock market risks including manipulation and boiler room practices.

03-06-2026

Five Below, Inc. reported outstanding Q1 FY2026 results with net sales surging 32.5% YoY to $1.2856B and comparable sales increasing 22.7%, driven by broad-based growth across merchandising worlds and demographic segments. GAAP diluted EPS more than tripled to $2.21 from $0.75, while the company raised its full-year 2026 sales and EPS outlook. However, the company's outlook for Q2 implies a significant sequential deceleration in comparable sales growth to approximately 7-9% and a sharp drop in net income to $64M-$71M range, reflecting a cautious stance on potential tariff impacts and macroeconomic uncertainty.

• · Adjusted diluted EPS of $2.22 compared to $0.86 in prior year, a 158% increase.
• · Effective tax rate declined to 24.3% from 27.2%, providing a tailwind to net income.
• · Full year FY2026 net income outlook range: $480M to $502M (GAAP); adjusted $482M to $504M.
• · Full year FY2026 diluted EPS outlook: $8.62 to $9.02 (GAAP); adjusted $8.65 to $9.05.
• · The company ended Q1 with $638.9M cash and equivalents plus $474.4M in short-term investment securities, against zero drawn on its line of credit.
• · Inventories increased 15.8% YoY, while cash from operations nearly doubled to $227.2M.
• · Q2 FY2026 net income outlook implies a significant sequential decline from Q1's $123.1M to a range of $64M-$71M (GAAP).
• · Capital expenditures for full year FY2026 expected between $230M and $250M.

03-06-2026

Nevada Canyon Gold Corp. filed an 8-K on June 3, 2026, disclosing that Walker River Resources Corp completed the first airborne geophysical survey on the Lapon Canyon Project, in which Nevada Canyon holds an Exploration Stream Earn-in Agreement and a royalty. The filing is a Regulation FD disclosure and includes a news release dated May 27, 2026, as an exhibit. No financial figures or period-over-period comparisons are provided in this filing.

• · The filing is an 8-K under Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits).
• · The news release (Exhibit 99.1) contains forward-looking statements and is not deemed filed for SEC liability purposes.
• · The Company may post similar information on its website and use the release in reports and presentations.

03-06-2026

UWM Holdings Corporation held its Annual Meeting of Stockholders on June 3, 2026, where all four director nominees were elected, the ratification of Deloitte & Touche as independent auditor for FY2026 was approved, and executive compensation was approved on an advisory basis. All proposals passed with overwhelming support, with the auditor ratification receiving the highest approval (over 99.8% of votes cast).

• · All four director nominees were elected with votes 'for' ranging from 1,247,770,266 to 1,286,634,941, with broker non-votes of 95,838,725 for each.
• · Ratification of Deloitte & Touche as independent auditor received 1,443,612,692 votes for, 2,318,843 against, and 1,285,942 abstentions.
• · Advisory approval of executive compensation received 1,342,633,736 votes for, 8,340,970 against, 404,046 abstentions, and 95,838,725 broker non-votes.
• · The meeting was held on June 3, 2026, and the report was signed by Rami Hasani, Executive Vice President and CFO.

03-06-2026

American Strategic Investment Co. held its 2026 annual meeting on June 2, 2026, with 82.16% of outstanding shares represented. Stockholders re-elected Louis P. DiPalma and Edward M. Weil, Jr. as Class III directors, ratified CBIZ CPAs P.C. as auditor for fiscal 2026, and adopted a non-binding advisory resolution on executive compensation, with all proposals passing by majority. No other matters were voted upon.

• · Proposal 1: Louis P. DiPalma received 1,780,727 votes for and 121,406 withheld, with 310,304 broker non-votes.
• · Proposal 1: Edward M. Weil, Jr. received 1,590,981 votes for and 311,152 withheld, with 310,304 broker non-votes.
• · Proposal 2 (Auditor ratification): 1,976,286 votes for, 199,145 against, 37,006 abstentions; no broker non-votes.
• · Proposal 3 (Say-on-pay): 1,753,132 votes for, 134,001 against, 15,000 abstentions, with 310,304 broker non-votes.

03-06-2026

Global Technologies Ltd (GTLL) reported a net loss of $191,963 for the three months ended March 31, 2026, compared to a net loss of $193,297 in the same period last year, a slight improvement. However, for the nine-month period, the company swung from a restated net income of $24,055 to a net loss of $170,524. Cash and cash equivalents declined sharply to $38,178 from $68,108 at June 30, 2025, while total liabilities remain high at $1,136,202, resulting in a stockholders' deficiency of $1,093,803.

• · Total operating expenses for the three months ended March 31, 2026 were $276,798, up from $241,380 in the prior year period.
• · Selling, general and administrative expenses for the three months ended March 31, 2026 were $124,059, compared to $27,458 in the prior year period.
• · Professional services expenses for the three months ended March 31, 2026 were $79,989, compared to $2,050 in the prior year period.
• · Accounts payable increased to $121,055 as of March 31, 2026 from $19,410 at June 30, 2025.
• · Accrued executive compensation was $89,750 as of March 31, 2026, up from $17,000 at June 30, 2025.
• · Derivative liability decreased to $498,000 as of March 31, 2026 from $780,000 at June 30, 2025.
• · Net cash used in operating activities for the nine months ended March 31, 2026 was $259,830, compared to $64,506 provided in the prior year period.
• · The prior year nine-month period was restated, reducing net revenue by $238,000 and net income by $226,004.

03-06-2026

Aether Holdings, Inc. appointed Hon Nam Lee (Alvars) as an independent director and chair of the Nominating and Corporate Governance Committee, effective June 1, 2026. Additionally, Timothy William Murphy transitioned from independent director to a director serving as General Counsel, losing his independent status. No financial results or period comparisons are included.

• · Mr. Lee will serve until the next annual meeting of stockholders and until his successor is duly elected.
• · Mr. Lee has no family relationships with any executive officer or director and is not a party to any reportable transactions.
• · Mr. Murphy will no longer be designated as an independent director for Nasdaq listing rules, SEC rules, or committee charters.

03-06-2026

Customers Bancorp, Inc. filed an amended 8-K/A to correct a director reference in its May 26, 2026 Annual Meeting results, replacing an erroneous reference to Mr. Daniel K. Rothermel with Mr. T. Lawrence Way. All three Class III director nominees (Susan D. Looney, Dalton T. Sirmans, Steven J. Zuckerman) were elected with overwhelming support (over 26 million votes for each), and the ratification of Deloitte & Touche as auditor passed with 30.4 million votes for. However, advisory votes on executive compensation and the 2019 Stock Incentive Plan amendment showed significant opposition, with about 9.1 million and 8.5 million votes against, respectively.

• · The filing is an amendment (8-K/A) to correct a director reference; no other changes were made to the original 8-K.
• · Broker non-votes totaled 2,052,252 on director elections and the advisory compensation and stock plan votes.
• · There were no broker non-votes on the auditor ratification proposal.
• · The following directors continued in office after the meeting: Andrea R. Allon, Bernard B. Banks, Robert J. Buford, M. Michael Gill, Robert M. Krasne, Jay S. Sidhu, Samvir S. Sidhu, and T. Lawrence Way.

03-06-2026

Public Service Enterprise Group Inc. (PSEG) completed a public offering of $500,000,000 aggregate principal amount of 4.800% Senior Notes due 2031 on June 3, 2026. The notes were sold through underwriters including Barclays, Citigroup, and Goldman Sachs. No period-over-period comparisons are available as this is a one-time financing event.

• · The offering was completed on June 3, 2026, with the underwriting agreement dated June 1, 2026.
• · The notes were issued under an indenture dated November 1, 1998, with U.S. Bank Trust Company as successor trustee.
• · The registration statement on Form S-3 (File No. 333-275509) and related prospectus dated November 13, 2023, and prospectus supplement dated June 1, 2026, were used for the offering.
• · An opinion on the legality of the notes was provided by John C. Walmsley, Associate Counsel of PSEG Services Corporation.

03-06-2026

urban-gro, Inc. held a Special Meeting of Stockholders on June 3, 2026, but failed to achieve a quorum, preventing any business from being transacted. The meeting was adjourned to June 12, 2026, at 10:00 AM EST, and the company will continue soliciting proxies. The record date remains May 6, 2026.

• · The Special Meeting was originally scheduled for June 3, 2026, and was adjourned due to lack of quorum.
• · The adjourned meeting will be held on June 12, 2026, at 10:00 AM EST.
• · The record date for voting remains May 6, 2026.
• · Valid proxies submitted before the original meeting will remain valid for the adjourned meeting unless changed or revoked.

03-06-2026

PennantPark Private Income Fund declared a monthly distribution of $0.15 per share, payable on June 29, 2026 to shareholders of record as of June 22, 2026. The distribution is expected to be paid from taxable net investment income, with final tax characteristics reported on Form 1099-DIV in early 2027.

• · Distribution payable on June 29, 2026
• · Record date is June 22, 2026
• · Tax characteristics to be reported on Form 1099-DIV in early 2027

03-06-2026

CVRx, Inc. held its 2026 annual meeting on June 1, 2026, where stockholders elected three Class II directors and ratified the appointment of Grant Thornton LLP as independent auditor for fiscal year 2026. All proposals passed with majority support, though director Joseph Slattery received the highest number of withheld votes (1,346,904).

• · The annual meeting was held on June 1, 2026.
• · All three director nominees were elected with a majority of votes cast.
• · Joseph Slattery received the highest number of withheld votes (1,346,904) among nominees.
• · Ratification of Grant Thornton LLP passed with 21,150,201 votes for, 2,275,126 against, and 13,855 abstentions.
• · Broker non-votes totaled 10,153,679 for each director election.

03-06-2026

Gores Holdings XI, Inc. filed an S-1 registration statement for its IPO on June 3, 2026. The company is a blank check company (SPAC) formed for the purpose of effecting a merger or business combination. The filing extensively details risks related to shareholder redemption rights, including the absence of a specified maximum redemption threshold, the potential inability to complete a business combination if too many shares are redeemed, and the significant dilution non-redeeming shareholders may face. The sponsor paid approximately $0.003 per founder share ($25,000 total), resulting in immediate and substantial dilution for public investors.

• · The filing notes that if a substantial majority of public shareholders redeem their shares, the company may still complete the business combination due to the absence of a specified maximum redemption threshold.
• · Deferred underwriting commissions are payable only upon completion of an initial business combination, and the per-share value for non-redeeming shareholders reflects this obligation.
• · If the business combination is not completed within the required time frame, the company will liquidate and public shareholders may receive only $10.00 per share, and warrants will expire worthless.
• · The company may choose not to hold a shareholder vote for the business combination unless required by law or stock exchange rules, limiting shareholder input to redemption rights only.
• · Potential target businesses may gain negotiating leverage knowing the company must complete a business combination within a set completion window.

03-06-2026

IQVIA Holdings Inc. announced on June 3, 2026, that its wholly owned subsidiary, IQVIA Inc., intends to raise €950,000,000 in gross proceeds through an offering of senior notes due 2033. The proceeds will be used to refinance certain of the Issuer’s existing indebtedness. No financial results or period-over-period comparisons are provided in this filing.

• · The offering is of senior notes due 2033.
• · The subsidiary IQVIA Inc. is the issuer of the notes.
• · The press release was issued on June 3, 2026.

03-06-2026

Goldman Sachs has issued $5.0B aggregate principal amount of new debt securities on June 3, 2026: $2.5B in 4.972% Fixed/Floating Rate Notes due 2032 and $2.5B in 5.425% Fixed/Floating Rate Notes due 2037, under its existing shelf registration statement (Form S-3, File No. 333-284538). The offering is supported by a legal opinion from Sullivan & Cromwell LLP.

• · Issuance was conducted under shelf registration statement Form S-3 (File No. 333-284538).
• · The legal opinion and consent were provided by Sullivan & Cromwell LLP (Exhibits 5.1 and 23.1).
• · The 2032 Notes carry a 4.972% coupon; the 2037 Notes carry a 5.425% coupon, both fixed/floating rate structures.

03-06-2026

American Battery Technology Company granted CEO Ryan Melsert 2,200,000 performance-based restricted stock units on May 29, 2026, with five milestones including a $10 stock price, $100M revenue, positive NEPA Record of Decision, Financial Investment Decision for the Tonopah Flats Lithium Project, and a $50M offtake agreement over a four-year period. If all milestones are met within three years, an additional 1,100,000 bonus units are awarded. The filing reflects a significant long-term incentive plan but does not include any financial results or period-over-period comparisons.

• · Grant date is May 29, 2026; performance period ends on the fourth anniversary.
• · Stock price milestone requires average closing price of at least $10 over any consecutive 60 trading days.
• · Upon achievement of each milestone, 440,000 units are earned.
• · If all five milestones are achieved before the third anniversary, CEO receives an additional 50% bonus units (1,100,000 units).
• · Vesting occurs quarterly over the four-year period based on achieved milestones.
• · Accelerated vesting provisions occur upon termination without cause, death, disability, or voluntary termination with good reason.
• · Units are non-transferable and subject to forfeiture if performance milestones not met within four years.

03-06-2026

TEN Holdings, Inc. (XHLD) filed an S-1/A registration statement for an IPO of 8,000,000 shares of common stock at an assumed price of $1.41 per share, expecting net proceeds of approximately $10.0 million. Revenue grew 15.4% YoY to $3.1 million in 2025, driven by virtual/hybrid events ($2.7M, +88.2% of total) and physical events ($0.4M, +11.8% of total). However, the company faces risks including government investigations by the DOJ, substantial dilution for new investors ($0.43 per share), and a high weighted average exercise price of $6.82 on outstanding stock options.

• · The company changed its domicile from Pennsylvania to Nevada on July 24, 2024.
• · TEN Events was originally incorporated in Pennsylvania in May 2011.
• · The closing sale price of common stock on May 26, 2026 was $1.41.
• · Outstanding stock options have a weighted average exercise price of $6.82 per share, significantly above the offering price.
• · The company has received subpoenas from the U.S. Department of Justice (DOJ) and faces government investigations.
• · All directors, officers, and certain stockholders have agreed to a 90-day lock-up period after the prospectus date.
• · The company has no present plans to declare dividends.
• · The transfer agent is Computershare Inc.
• · 500,000 shares of common stock were issued on May 22, 2026, after the March 31, 2026 balance date.

03-06-2026

Anvi Global Holdings, Inc. filed its 10-K annual report for FY2026, reporting a net loss of $196,933, an improvement from the $203,734 net loss in FY2025. Total assets declined to $14,230 from $14,863, while total liabilities increased to $2,375,129 from $2,178,829, and stockholders' deficit deepened to $2,360,899 from $2,163,966. The company remains heavily dependent on related-party financing to fund operations.

• · Cash used in operating activities was $65,708 in FY2026 vs. $54,591 in FY2025, a worsening of 20.4%.
• · The company had zero revenue for both fiscal years, as no revenue line items are reported.
• · Total related-party payables (accounts payable + accrued liabilities) stood at $1,692,000 as of Feb 28, 2026, up from $1,548,000 a year earlier.
• · Net operating loss carryforward increased to $508,000 from $467,000, with a full valuation allowance against deferred tax assets.
• · The company's working capital deficit worsened to $2,360,899 (current liabilities of $2,375,129 minus current assets of $14,230).
• · Basic and diluted loss per share remained at $(0.00) for both periods due to the high share count.
• · The company is a non-accelerated filer and a smaller reporting company with a public float of $0.

03-06-2026

Glaukos Corporation held its annual meeting on May 28, 2026, where stockholders voted on three proposals. All proposals passed, including the election of two Class II directors (Denice M. Torres and Aimee S. Weisner), a non-binding advisory vote on executive compensation, and ratification of Ernst & Young LLP as independent auditor for 2026. However, Denice M. Torres received a significant number of withheld votes (11,169,168), indicating notable shareholder dissent, while the compensation vote also had 4,272,830 against votes.

• · The annual meeting was held on May 28, 2026, and the proxy statement was filed on April 16, 2026.
• · Proposal 3 (ratification of auditor) had no broker non-votes, indicating all shares voted.
• · Denice M. Torres received 40,843,317 votes for and 11,169,168 withheld, representing about 21.5% withheld votes.
• · Aimee S. Weisner received 49,397,952 votes for and 2,614,533 withheld, with a much lower dissent rate.
• · The advisory vote on executive compensation had 4,272,830 against votes (about 8.2% of votes cast), indicating some shareholder concerns.

03-06-2026

KB Global Holdings Ltd reported a net loss of $112,049 for FY2025, a 50.97% increase from a net loss of $74,221 in FY2024. Revenue fell to $0 from $179,613 as software development service revenue from a related party ceased entirely. Total assets increased 38.49% to $69,686, but the company remains in a shareholders' deficit of $381,660, which worsened by 41.01% from the prior year.

• · Operating expenses decreased 16.12% YoY to $112,059, but loss from operations increased 8.94% to $112,059.
• · Other income plummeted 99.97% to $10 from $28,640.
• · Amounts due from a related party surged to $45,604 from $0, while amount due to a related party increased 740.95% to $198,977.
• · Accumulated deficit grew 30.58% to $478,465.
• · Total current assets increased 113.58% to $47,459, driven by the related party receivable.
• · Computer equipment (non-current assets) declined 20.89% to $22,227.
• · The company has 130,097,000 ordinary shares outstanding, unchanged from prior year.
• · The company continues to benefit from low-cost office arrangements, deferred executive compensation, and a lean team.

03-06-2026

Vroom, Inc. amended two warehouse credit facilities on May 29, 2026. Amendment No. 28 to Warehouse Credit Facility One extended the commitment termination date by one month to July 2, 2026, while Amendment No. 10 to Warehouse Credit Facility Two reduced the advance rate on certain receivables, lowered the Minimum Tangible Net Worth covenant, and expanded the definition of Available Liquidity to include undrawn committed availability under the Senior Secured Delayed Draw Convertible Note due 2032. The amendments suggest ongoing efforts to manage liquidity and covenant compliance, though the short extension and reduced advance rate indicate potential tightening of credit terms.

• · Amendment No. 28 extended the Commitment Termination Date from June 2, 2026 to July 2, 2026.
• · Amendment No. 10 reduced the advance rate applicable to certain receivables.
• · Amendment No. 10 reduced the Minimum Tangible Net Worth covenant.
• · Amendment No. 10 added undrawn committed availability under the Senior Secured Delayed Draw Convertible Note due 2032 to Available Liquidity.
• · Amendment No. 10 updated the undrawn availability under the Mudrick Capital Facility.
• · Amendment No. 10 is effective as of March 31, 2026.

03-06-2026

Envista Holdings Corp announced the resignation of Chief Accounting Officer Faez Kaabi, effective August 6, 2026, due to retirement, with no disagreement regarding financial disclosures. The company appointed Coree Thomas, currently Vice President, Global Controller, as Vice President and Chief Accounting Officer, effective the same date. The transition appears orderly and non-contentious.

• · Faez Kaabi's resignation is effective August 6, 2026, and he will assist with the transition until then.
• · Coree Thomas has been with Envista since February 2023 as Vice President, Global Controller.
• · Prior to Envista, Thomas served as Vice President, Global Controller at CBRE Group from October 2021 to February 2023, and as VP Corporate Controller & Global Segment Controller – Advisory at CBRE from April 2021 to September 2021.
• · Thomas holds a Bachelor of Science in Accounting from St. Mary's College of California.
• · No family relationships or related transactions requiring disclosure under Item 404(a) of Regulation S-K were identified.

03-06-2026

On May 28, 2026, SpringBig Holdings, Inc. entered into a Separation Agreement with CEO Jaret Christopher, whose service as CEO and director concluded. He will receive two months' base salary continuation, two months of COBRA premiums, and a $50,000 cash payment, subject to compliance and a 30-day review period. No unvested compensatory awards accelerated, and his departure was not due to any disagreement with the company.

• · No unvested compensatory awards accelerated in connection with the separation.
• · The Separation Agreement includes customary provisions: general release of claims, confidentiality, non-disparagement, non-solicitation, non-competition, and cooperation obligations.
• · Mr. Christopher's departure was not the result of any disagreement with the Company regarding its operations, policies, or practices.

03-06-2026

Katapult Holdings, Inc. entered into a Third Amendment and Limited Waiver to its Amended and Restated Loan and Security Agreement on June 2, 2026. The amendment removes the Minimum Trailing Net Three-Month Originations covenant and reduces the advance rate under the loan. The filing notes a series of prior waivers and amendments throughout 2025 and 2026, indicating ongoing covenant compliance challenges.

• · The amendment follows at least eleven prior limited waivers and two prior amendments executed between September 2025 and May 2026.
• · The Third Amendment removes the Minimum Trailing Net Three-Month Originations financial covenant.
• · The Third Amendment reduces the advance rate under the Loan Agreement.
• · The Loan Agreement was originally dated June 12, 2025.

03-06-2026

Rush Street Interactive, Inc. held its 2026 annual meeting on June 3, 2026, where stockholders elected four Class III directors, ratified the appointment of WithumSmith+Brown, PC as independent auditor for fiscal year 2026, and approved charter amendments providing for officer exculpation and clarifying director removal. All four director nominees were elected, with Jack Markell and Thomas Winter receiving the highest votes (over 198 million for each), while Neil Bluhm and Niccolo de Masi had significant withheld votes (52.2 million and 45.3 million, respectively). The ratification of the accounting firm passed overwhelmingly with 212.8 million for and only 4,381 against, while the charter amendments were approved with 159.8 million for and 42.9 million against.

• · The annual meeting was held on June 3, 2026.
• · All four Class III director nominees were elected for a three-year term ending at the 2029 annual meeting.
• · Jack Markell and Thomas Winter received over 198 million votes each, while Neil Bluhm and Niccolo de Masi had over 45 million withheld votes each.
• · Ratification of WithumSmith+Brown, PC as independent auditor passed with 212,839,268 for, 4,381 against, and 574,999 abstentions.
• · Charter amendments were approved with 159,801,940 for, 42,901,742 against, 559,578 abstentions, and 10,155,388 broker non-votes.
• · The filing was signed by Kyle Sauers, President and CFO.

03-06-2026

Disciplined Growth Acquisition Corp. completed its IPO of 15,000,000 units at $10.00 per unit, raising $150,000,000 in gross proceeds. Simultaneously, a private placement of 345,000 units raised an additional $3,450,000, with total net proceeds of $150,750,000 placed in a trust account. The IPO was consummated on May 28, 2026, and the underwriters have a 45-day option for up to 2,250,000 additional units to cover over-allotments.

• · Class A ordinary shares have a par value of $0.0001 per share
• · Each right entitles the holder to receive one-fourth (1/4) of one Class A ordinary share upon consummation of the initial business combination
• · Trust account maintained by Odyssey Transfer and Trust Company as trustee
• · Trust amount of $10.05 per unit ($150,750,000 / 15,345,000 total units)

03-06-2026

Bayview Acquisition Corp (NASDAQ: BAYA, BAYAU, BAYAR) announced shareholder approval of a six-month extension to complete its initial business combination, moving the deadline from June 19, 2026 to December 19, 2026, with a $50,000 deposit per monthly extension. Redemptions were minimal, with only 124,156 shares (less than 5% of outstanding) redeemed for approximately $1.49 million at ~$12.03 per share, indicating strong shareholder support. The company remains focused on completing its merger with Oabay Inc., a Chinese trade credit technology solutions provider.

• · The extension proposal allows up to six one-month extensions, each requiring a $50,000 deposit into the trust account.
• · The redemption price was approximately $12.03 per share.
• · Oabay Inc. has more than ten years of operating history and is a pioneer in the Chinese trade credit technology solutions industry.
• · The company has focused its search for a target on businesses throughout Asia.

03-06-2026

Charlotte's Web Holdings, Inc. entered into an agreement with BT DE Investments Inc. to amend a convertible debenture originally issued in November 2022 for $75,341,080. The amendment reduces the conversion price to $0.94 per share and increases the conversion limit from 19.9% to 40.8%. Concurrently, the lender will convert the full outstanding principal plus accrued interest into 95,281,277 common shares, and a separate private placement of $10 million in shares will close simultaneously.

• · The conversion price is set at $0.94 per share, subject to adjustment under Section 4.3 of the debenture.
• · The interest conversion price is also set at $0.94 per share.
• · The conversion is contingent on and effective immediately prior to the closing of the private placement investment.
• · The parties waived any time periods under Article 4 of the debenture to facilitate immediate conversion at closing.
• · Upon conversion, the borrower is discharged from all obligations under the debenture, and the lender releases all claims.
• · The agreement is governed by Ontario law and the federal laws of Canada.

03-06-2026

eBay Inc. sent a reminder letter to certain stockholders ahead of its Annual Meeting, urging them to vote on Proposals 1, 2, 3, and 4. The Board unanimously recommends voting FOR all director nominees (Proposal 1), FOR Proposals 2 and 3, and AGAINST Proposal 4. The filing does not contain any financial results or quantitative performance data.

• · The letter was sent on June 4, 2026, to stockholders who had not yet voted.
• · Stockholders can vote via Internet, telephone, or by returning the proxy card.
• · The proxy solicitor is Innisfree M&A Incorporated, reachable at 1(877) 687-1873 (toll-free) or +1 (412) 232-3651 (international).

03-06-2026

Lionheart Holdings (CUBWU) announced it is focusing on a potential business combination with a target in Venezuela's upstream oil and gas sector, specifically brownfield redevelopment of mature producing fields. The company is negotiating a non-binding term sheet for a committed equity facility that would provide the right, but not the obligation, to raise up to $2.25 billion over 24 months, subject to execution of definitive documents. However, the facility does not represent committed cash, amounts and timing depend on market conditions, trading volume, and share price, and there can be no assurance of successfully negotiating or consummating any transaction.

• · Special meeting of shareholders scheduled for June 15, 2026 to vote on Extension Proposal extending deadline to March 20, 2027
• · Shareholders of record as of May 15, 2026 are entitled to vote at the special meeting
• · Securities traded on Nasdaq: Units (CUBWU), Class A ordinary shares (CUB), Warrants (CUBWW)
• · Company is a blank check company (SIC 6770) incorporated in the Cayman Islands
• · Company qualifies as an emerging growth company and has elected not to use the extended transition period for new accounting standards
• · There is no assurance of success in negotiating definitive documents for the equity facility or in completing any business combination

03-06-2026

BANNER CORP filed an S-4 registration statement on June 3, 2026, in connection with a business combination where Banner Corp (Acquiror) will acquire a target company (the Company). The filing includes representations and warranties regarding Acquiror's contracts, taxes, financing, and shares available, as well as covenants restricting the Company's operations until closing, including limits on dividends (max $0.15 per share quarterly) and new loans (e.g., >$3.5M requires Acquiror approval). The agreement includes a confidentiality agreement dated February 6, 2026, and fees payable to BofA Securities.

• · The S-4 was filed on June 3, 2026.
• · Acquiror has sufficient cash and shares to pay merger consideration and fractional shares.
• · Company covenants include restrictions on issuing stock, paying dividends (max $0.15/quarter), amending charter/bylaws, and entering into certain loans without Acquiror approval.
• · Acquiror approval for loans is deemed given if no response within 48 hours of receipt of loan package.
• · Confidentiality agreement dated February 6, 2026, governs information exchange.
• · Fees payable to BofA Securities under an engagement letter.

03-06-2026

DevvStream Corp. entered into a binding term sheet for a $6M private placement of Series A Preferred Stock, with $5M earmarked for investment in Southern Energy Renewables. Concurrently, the company received a notice of default from Helena Global Investment Opportunities 1 Ltd. on a $10M convertible note, claiming a $4.5M mandatory default amount, and Helena has initiated liquidation of approximately $2.8M in digital asset collateral. The company disputes certain components of the claim.

• · The Series A Preferred Stock is perpetual with no mandatory redemption or maturity date.
• · Conversion price is based on VWAP of XCF or DevvStream common stock depending on BCA outcome.
• · Automatic conversion occurs only upon change of control or approval of majority of Series A holders after BCA termination.
• · Helena's notice was delivered to BitGo as custodian under the Account Control Agreement.
• · Helena has instructed BitGo to remove the Company as an approver and liquidate Bitcoin and Solana collateral.
• · The Company is evaluating resolution alternatives and disputes certain components of the asserted mandatory default amount.

03-06-2026

Global Industrial Company (GIC) held its 2026 Annual Meeting on June 1, 2026, where all four proposals were approved by stockholders. All eight director nominees were elected, with Richard B. Leeds, Bruce Leeds, Robert Leeds, and Anesa T. Chaibi receiving significant withhold votes (over 6 million each), while Chad M. Lindbloom, Gary S. Michel, Paul S. Pearlman, and Robert D. Rosenthal received overwhelming support with over 34 million votes each. The advisory vote on executive compensation passed with 34.7 million for and 502,371 against, indicating strong but not unanimous shareholder support.

• · The ratification of Ernst & Young LLP as independent auditor for fiscal year 2026 passed overwhelmingly with 36,323,196 votes for, 141,794 against, and 21,141 abstentions.
• · The Amended and Restated 2018 Employee Stock Purchase Plan was approved with 35,192,610 votes for, 21,112 against, and 2,820 abstentions.
• · Broker non-votes totaled 1,269,589 on all director elections and the advisory compensation vote, indicating these were non-routine matters for brokers.
• · Four directors (Richard B. Leeds, Bruce Leeds, Robert Leeds, Anesa T. Chaibi) each received over 6 million withheld votes, representing approximately 17.6% of votes cast (excluding broker non-votes), suggesting notable shareholder dissent.

03-06-2026

Global AI, Inc. (GLAI) reported Q1 2026 revenue of $44,747, up 25.3% from $35,704 in Q1 2025, driven by growth in its Agentic AI Platform. However, the net loss widened to $777,148 from $737,778 in the prior-year period, and cash and cash equivalents fell sharply by 66.0% to $26,255 from $77,200 at year-end 2025, primarily due to heavy cash used in operations and investing activities. The company's stockholders' deficit deepened to $2,601,919 from $1,824,771, reflecting ongoing losses and reliance on related-party advances.

• · Total operating expenses increased 12.7% to $839,733 in Q1 2026 from $744,855 in Q1 2025, driven by new amortization of capitalized R&D ($305,413) and higher sales and marketing ($180,620 vs $37,302).
• · Net cash used in operating activities improved to $244,808 from $474,516 in the prior-year period, but cash burn remained significant.
• · Capitalized R&D costs increased to $3,789,942 from $3,664,957, with $430,398 spent on capitalization in Q1 2026.
• · The company relied heavily on related-party advances, with advance payable – related party rising to $5,561,899 from $4,909,270, providing $652,629 in financing during Q1 2026.
• · No equity was issued in Q1 2026, compared to $1,100,000 from sale of Class A common stock in Q1 2025.
• · Deferred revenue increased to $172,548 from $98,932, indicating potential future revenue recognition.
• · The company entered into an agreement to deploy the Agentic AI Platform with a major European energy and utilities company for near real-time pricing synchronization.

03-06-2026

On May 28, 2026, Hallmark Venture Group, Inc. (HLLK) assigned an impaired promissory note from Traderverse, Inc. (original principal $100,000, 8% interest, matured Oct 2024) to related party SB Technology Holdings, Inc. for $1,000 cash. The note had an outstanding balance of ~$113,752 as of Dec 31, 2025, but was written down due to collectibility doubts. The transaction was approved by the board as a related party transaction involving director Paul Strickland.

• · The Traderverse Note matured on or about October 29, 2024 and has remained unpaid for over 18 months.
• · The Company had previously determined the note to be impaired and written down its carrying value.
• · The assignment was made on a non-recourse, 'as is, where is' basis without any representation or warranty as to collectibility.
• · The transaction was authorized by the Board of Directors via written consent on May 28, 2026, after full disclosure of the related party nature.
• · The Company intends to report this as a related party transaction in subsequent periodic reports under Item 404 of Regulation S-K.

03-06-2026

Intuitive Machines, Inc. entered into a Sales Agreement with multiple agents to sell up to $500.0 million of its Class A common stock through an at-the-market offering, effective June 2, 2026. The agreement includes a 3.0% commission to agents and customary representations and indemnification. No prior-period comparison is available as this is a new agreement.

• · The Registration Statement (File No. 333-296442) became effective on June 2, 2026.
• · The Sales Agreement includes indemnification obligations for both the Company and the Agents.
• · The Company agreed to reimburse certain expenses incurred by the Agents in connection with the Sales Agreement.
• · The offering is made only by means of the Prospectus filed with the SEC on June 2, 2026.

03-06-2026

Public Service Company of Colorado (PSCo), a subsidiary of Xcel Energy, filed a non-unanimous settlement agreement on June 2, 2026, in its electric rate case with the Colorado Public Utilities Commission. The settlement proposes a revenue increase of $225 million (6.3%), down from the original request of $356 million (9.9%), with a 9.3% ROE and 54.5% equity ratio. However, the settlement is opposed by AARP, City of Boulder, and the Colorado Office of Utility Consumer Advocate, and hearings are scheduled for June 2026 with a CPUC decision expected in Q3 2026. Xcel Energy reaffirmed its 2026 ongoing EPS guidance of $4.04 to $4.16.

• · The settlement is non-unanimous, with opposition from AARP, City of Boulder, and the Colorado Office of Utility Consumer Advocate.
• · Other parties either support portions of the settlement or do not oppose it.
• · The settlement includes a performance framework for Comanche Unit 3 coal facility from effective date of rates through 2029.
• · Previous Transmission Cost Adjustment investments will be transferred into rate base.
• · Previously authorized trackers and deferrals will continue.
• · Hearings are scheduled for June 2026, with a CPUC decision and final rates anticipated in Q3 2026.
• · Xcel Energy reaffirmed its 2026 ongoing EPS guidance of $4.04 to $4.16.