Dow Jones 30 Stocks SEC Filings — June 05, 2026

05-06-2026

On June 4, 2026, Jordan Krugman notified the Invesco CurrencyShares British Pound Sterling Trust of his resignation from all positions at the Sponsor (Invesco Specialized Products, LLC) and its affiliates, including his role on the Board of Managers, effective August 3, 2026. The Sponsor is considering a replacement. No financial metrics or performance data are included in this filing.

• · Resignation effective date: August 3, 2026.
• · The Sponsor is currently considering Mr. Krugman's replacement.

05-06-2026

Yorkville International Capital Corp., a blank check company, filed Amendment 1 to its S-1 registration statement for an initial public offering of 20,000,000 units at $10.00 per unit, each consisting of one Class A ordinary share and one-third of one redeemable warrant. The company intends to focus on established businesses in emerging markets, particularly Latin America and Venezuela. No business combination target has been selected yet.

• · The company is a Cayman Islands exempted company.
• · No substantive discussions with any business combination target have been initiated.
• · The warrants are exercisable only in whole and no fractional warrants will be issued.
• · The company qualifies as an emerging growth company and a smaller reporting company.

05-06-2026

Hippo Holdings Inc. held its Annual Meeting on June 2, 2026, with a quorum of 16,887,256 shares. Shareholders elected three directors, ratified Deloitte & Touche as auditor, approved executive compensation advisory vote, and recommended annual frequency for future advisory votes. All proposals passed, but over 5 million broker non-votes existed for three of four proposals.

• · Record date for the Annual Meeting was April 7, 2026.
• · Approximately 26,031,227 shares outstanding and entitled to vote as of record date.
• · Quorum was achieved with 16,887,256 shares present.
• · Director Lori Dickerson Fouché received 9,719,518 FOR votes (82.4% of votes cast excluding broker non-votes), while Hugh R. Frater received 10,998,627 and Richard McCathron received 11,274,524.
• · Ratification of Deloitte & Touched passed with 16,771,055 FOR votes (99.3% of votes cast).
• · Advisory vote on executive compensation passed with 11,165,305 FOR (94.6% of votes cast excluding broker non-votes).
• · Frequency vote: 11,287,205 for one year, 83,597 for two years, 368,480 for three years, 60,774 abstentions.
• · Broker non-votes were approximately 5,087,200 for proposals 1, 3, and 4.

05-06-2026

At its 2026 Annual Meeting held on June 4, 2026, Zevra Therapeutics stockholders elected both director nominees (Douglas W. Calder and Corey Watton) and ratified Ernst & Young LLP as the independent auditor for fiscal 2026. However, the key governance Proposal 3, which aimed to declassify the Board by phasing out the classified structure and moving to annual director elections starting in 2027, failed because it did not receive the required supermajority vote of more than 66 2/3% of outstanding shares (it received about 55.1% of shares outstanding).

• · Proposal 3 to declassify the Board failed to achieve the required supermajority vote of 66 2/3% of outstanding shares; the 'FOR' vote of 32,557,653 represented only ~55.1% of the 59,114,850 outstanding shares.
• · Broker non-votes on Proposals 1 and 3 totaled 12,606,934 shares.
• · Corey Watton received significantly more 'FOR' votes (29,878,306) than Douglas W. Calder (25,754,763); Watton had fewer withheld votes (3,841,376 vs 7,964,919).
• · The Board intends to remain classified (staggered) for at least the immediate future, with directors elected to three-year terms until the phase-out could be re-proposed and approved.

05-06-2026

Purple Innovation, Inc. announced the resignation of Chief Operating Officer Eric Haynor, effective June 5, 2026. The resignation is not due to any disagreement with the company regarding its operations, policies, or practices. A replacement has not yet been appointed.

• · Eric Haynor's resignation as COO is effective June 5, 2026.
• · The resignation is not related to any disagreement with the company's operations, policies, or practices.
• · No successor has been appointed as of the filing date.

05-06-2026

Securitize and Cantor Equity Partners II (CEPT) announced that the SEC has declared effective the Registration Statement on Form S-4 for their proposed business combination, moving Securitize closer to becoming a publicly traded company. The special meeting of CEPT shareholders is scheduled for June 29, 2026, and if approved, the transaction is expected to close shortly thereafter, with the combined company to be named Securitize Corp. and trade on the NYSE under the ticker 'SECZ'. Securitize continues to expand its tokenization infrastructure through partnerships with the NYSE, Computershare, BlackRock, and others, and reports over $4B in assets under management (AUM) as of April 2026.

• · The Registration Statement on Form S-4 was declared effective by the SEC on June 5, 2026.
• · The special meeting of CEPT shareholders is scheduled for June 29, 2026.
• · The record date for CEPT shareholders is May 11, 2026.
• · Securitize has been recognized as a 2026 Forbes Top 50 Fintech company.
• · Securitize is the only company licensed to operate regulated digital-securities infrastructure across both the U.S. and EU.
• · Cantor Fitzgerald has more than 14,000 employees.

05-06-2026

Charlotte's Web Holdings announced that co-founder Jared Stanley has stepped down from its Board of Directors effective June 3, 2026, to focus full-time on his role as CEO of DeFloria, a clinical-stage botanical pharmaceutical company co-founded by Charlotte's Web. The Board supports the transition, and Mr. Stanley will remain available for advisory support. The move underscores Charlotte's Web's strategic alignment with DeFloria's FDA Phase 2 development of AJA001 for autism-related irritability, while the core wellness business continues independently.

• · DeFloria was formed in 2023 by Charlotte's Web and AJNA BioSciences PBC, with a subsidiary of British American Tobacco p.l.c. as lead investor.
• · AJA001 is being developed for irritability associated with autism spectrum disorder via the FDA's Botanical Drug Pathway.
• · Jared Stanley will continue his role on ONE HEMP, the national industry coalition co-founded by Charlotte's Web.
• · The 2025 U.S. executive actions are expected to support cannabinoid drug development by expanding research access and reducing barriers to pharmaceutical partnerships.

05-06-2026

ServiceTitan reported Q1 FY26 revenue of $268.8M, up 24.6% YoY from $215.7M, driven by strong platform revenue growth of 25.3% to $260.6M. Net loss narrowed significantly to $22.8M from $46.4M in the prior-year quarter, reflecting improved operating leverage. However, operating cash flow remained negative at ($1.6M), though improved from ($14.6M) a year ago, and the company's accumulated deficit widened to ($1.29B).

• · Net loss per share improved to ($0.24) in Q1 FY26 from ($0.51) in Q1 FY25.
• · Total operating expenses increased 10.9% YoY to $219.6M, driven by R&D (+27.3%) and sales & marketing (+5.5%), while G&A declined 1.9%.
• · Stock-based compensation expense rose 24.7% YoY to $54.6M.
• · Cash used in investing activities increased to $8.0M from $7.8M, primarily due to capitalized internal-use software.
• · Total assets remained nearly flat at $1.75B as of April 30, 2026 vs. January 31, 2026.
• · Accounts receivable increased to $63.4M from $56.0M, reflecting higher sales.
• · Accrued personnel related expenses dropped sharply to $42.4M from $83.1M, likely due to timing of bonus payments.
• · The company had no debt outstanding as of April 30, 2026 (interest expense was only $0.2M).
• · Right-of-use assets obtained in exchange for lease obligations totaled $3.9M in Q1 FY26 vs. $0 in Q1 FY25.

05-06-2026

AppLovin Corporation held its annual meeting on June 3, 2026, with stockholders voting on five proposals. All nine director nominees were elected, and proposals to ratify Deloitte & Touche as auditor, approve executive compensation on an advisory basis, and amend the certificate of incorporation for officer exculpation were approved. However, a stockholder proposal regarding disclosure of voting results by class of shares was overwhelmingly rejected, receiving only about 14.6% of votes cast in favor.

• · Record date for voting was April 13, 2026.
• · All nine director nominees received substantial support, with Victoria Valenzuela receiving the highest 'for' votes (814,003,872) and Todd Morgenfeld the fewest 'withhold' votes (6,488,212).
• · Ratification of Deloitte & Touche as auditor passed with 853,713,514 votes for, 2,003,724 against, and 71,468 abstentions.
• · Advisory vote on executive compensation passed with 752,959,150 for, 63,070,373 against, and 271,545 abstentions.
• · Amendment for officer exculpation passed with 735,785,832 for, 80,423,671 against, and 91,565 abstentions.
• · The stockholder proposal on class voting disclosure failed with only 119,127,022 for, 696,868,093 against, and 305,953 abstentions.

05-06-2026

On June 5, 2026, Auburn National Bancorporation's Compensation Committee granted 4,475 Restricted Stock Units (RSUs) to three named executive officers: David A. Hedges (2,078 RSUs), W. James Walker IV (1,207), and Robert L. Smith (1,190) under the 2024 Equity and Incentive Compensation Plan. The RSUs vest one-third annually over three years (2027–2029) and include dividend equivalents. No financial results or performance figures were disclosed, but the grant reflects ongoing executive compensation alignment.

• · RSUs carry no ownership rights until vested.
• · Dividend equivalents are issued as additional RSUs calculated using the dividend amount divided by the closing stock price.
• · Vesting accelerates 100% upon death or disability; pro-rata vesting on retirement; pro-rata on termination without cause; full vesting upon change in control if RSUs are not assumed.
• · Post-employment restrictive covenants include two-year confidentiality, one-year non-solicitation of employees, and one-year non-solicitation of customers.
• · RSUs cannot be pledged, assigned, or transferred.
• · The award agreement is subject to the company's insider trading policy.

05-06-2026

FirstSun Capital Bancorp held its annual meeting on June 5, 2026, where stockholders elected all seven director nominees and ratified the appointment of Crowe LLP as independent auditor. Separately, the company announced the sale of approximately $890 million of performing multifamily commercial real estate loans to entities affiliated with Brookfield Asset Management, with proceeds intended to pay down high-cost deposits acquired from First Foundation. The loan sale is part of a previously disclosed balance sheet repositioning following the First Foundation acquisition, which closed on April 1, 2026.

• · All seven director nominees received substantial 'for' votes, with the lowest being John S. Fleshood at 37,047,578 votes for and 615,014 withheld.
• · Ratification of Crowe LLP passed with 39,147,792 votes for, 20,764 against, and 3,544 abstentions.
• · The loan sale closed on June 4, 2026, one day before the annual meeting.
• · FirstSun expects to complete the remainder of its balance sheet loan downsizing before the end of Q2 2026.
• · The company believes overall balance sheet repositioning and total loan fair value marks will be in line with expectations disclosed at the time of the First Foundation acquisition announcement.

05-06-2026

BlackRock Monticello Debt Real Estate Investment Trust, as guarantor, entered into a Credit and Security Agreement dated June 1, 2026, with BLKM VI, LLC as borrower, ConnectOne Bank as administrative agent and account bank, and MonticelloAM Servicing, LLC as servicer. The agreement establishes a secured credit facility with an advance rate of 85% on eligible loans, secured by collateral including loan receivables. No specific dollar amounts for the facility or financial performance metrics are disclosed in this filing.

• · The agreement includes a guaranty from BlackRock Monticello Debt Real Estate Investment Trust for all obligations of the borrower.
• · The facility is secured by a first-priority security interest in all collateral, including eligible loans and related assets.
• · The agreement contains standard representations, warranties, covenants, and events of default typical for a secured credit facility.
• · The filing redacts certain confidential information under Regulation S-K Item 601(b)(10) and personally identifiable information under Item 601(a)(6).

05-06-2026

AvalonBay Communities, Inc. and Equity Residential are proceeding with a transformative merger of equals, as communicated by CEOs Ben Schall and Mark Parrell in a joint email to employees on June 5, 2026. The merger aims to create a stronger combined company with enhanced resident experience, technology investment, and growth opportunities. However, the filing acknowledges that not all decisions will be universally welcomed, challenges will arise, and the integration process will require careful planning and refinement.

• · Next week, the executive leadership team of the new company will be announced.
• · Town halls will be held in Arlington and Chicago with livestream access for all associates.
• · An updated Associate FAQ addresses compensation and benefits prior to closing, severance policies, treatment of outstanding equity awards, and grandfathering of years of service.
• · Until the merger closes, AvalonBay and Equity Residential will continue to operate as separate companies.
• · The filing includes a cautionary statement regarding forward-looking statements and notes that the merger is subject to stockholder approvals and other conditions.

05-06-2026

Jordan Krugman resigned from all positions at Invesco Specialized Products, LLC and affiliates, including his role as a member of the Board of Managers, effective August 3, 2026. The Sponsor is considering his replacement. No financial impact is disclosed.

• · Resignation effective date: August 3, 2026
• · Notice given on June 4, 2026
• · Sponsor is currently considering replacement

05-06-2026

On June 4, 2026, Jordan Krugman resigned from all positions at Invesco Capital Management LLC (the Managing Owner) and its affiliates, including his role on the Board of Managers, effective August 3, 2026. The Managing Owner is currently considering his replacement. No financial impact or performance data is provided in this filing.

• · Resignation effective date: close of business on August 3, 2026.
• · The Managing Owner is currently considering Mr. Krugman's replacement.

05-06-2026

Invesco Galaxy Ethereum ETF (QETH) disclosed that Jordan Krugman resigned from all positions at the Sponsor, Invesco Capital Management LLC, effective August 3, 2026. The Sponsor is considering a replacement.

• · Resignation effective date: close of business on August 3, 2026.
• · ETF trades on Cboe BZX Exchange under symbol QETH.

05-06-2026

Nevada Canyon Gold Corp. (NGLD) announced on June 3, 2026, that its independent auditor, Assure CPA, LLC, resigned after merging into Sadler, Gibb & Associates, LLC. The Audit Committee approved the engagement of Sadler, Gibb & Associates as the new auditor for fiscal year 2026 on June 4, 2026. There were no disagreements or reportable events with the former auditor during the past two fiscal years or the subsequent interim period.

• · Assure's audit reports for fiscal years ended December 31, 2025 and 2024 were unqualified with no adverse opinions or modifications.
• · No disagreements or reportable events occurred with Assure during the fiscal years ended December 31, 2025 and 2024, or the subsequent interim period through June 3, 2026.
• · The Company did not consult with Sadler, Gibb & Associates on any accounting or auditing matters prior to their engagement.
• · The resignation and new engagement were approved by the Audit Committee on June 4, 2026.

05-06-2026

Spring Valley Acquisition Corp. III (SVAC) filed a 425 communication on June 5, 2026, regarding its proposed business combination with General Fusion Inc. The filing includes a social media post from General Fusion highlighting a more streamlined U.S. regulatory path for fusion energy, reflecting its different risk profile and growing role in the future energy mix. The transaction, which involves SVAC redomiciling to British Columbia and changing its name to 'General Fusion Group Ltd.', is subject to shareholder and regulatory approvals, with a joint registration statement on Form F-4 already filed with the SEC.

• · The business combination agreement was dated January 21, 2026.
• · SVAC will continue from the Cayman Islands to British Columbia as part of the transaction.
• · NewCo will amalgamate with General Fusion, with NewCo surviving as a wholly-owned subsidiary of SVAC.
• · The combined company will be renamed 'General Fusion Group Ltd.'
• · General Fusion's social media post references a new U.S. regulatory direction that signals a more streamlined path for fusion energy.
• · The filing includes a cautionary note about forward-looking statements and risks, including the potential failure to complete the business combination or the PIPE Financing.
• · SVAC's final prospectus from its IPO was dated September 3, 2025.

05-06-2026

Banzai International, Inc. filed an S-1 registration statement on June 5, 2026, covering financial data through March 31, 2026. The filing includes a full year of 2025 results and a first quarter 2026 update, with the company reporting a net loss of $12.7 million for the three months ended March 31, 2026, compared to a net loss of $5.2 million in the same period of 2025, a significant decline. However, revenue grew to $4.5 million in Q1 2026 from $3.8 million in Q1 2025, a 18.4% increase. The company also completed the acquisition of Vidello Limited in January 2025.

• · The company completed the acquisition of Vidello Limited on January 31, 2025.
• · The filing includes a full year of 2025 results and Q1 2026 results.
• · The company has multiple classes of stock: Class A Common, Class B Common, Series A Preferred, Series FE Preferred.
• · The company has outstanding warrants including public warrants, GEM warrants, common warrants, placement agent warrants, and pre-funded warrants.

05-06-2026

LeMaitre Vascular held its 2026 Annual Meeting on June 2, 2026, with 21,336,301 of 22,847,798 eligible shares represented. Stockholders elected two Class II directors, approved executive compensation on an advisory basis, and ratified Grant Thornton LLP as the independent auditor for 2026. Notably, director John A. Roush received a significant 29.3% withhold vote (5,909,353 shares), indicating notable shareholder dissent, while David B. Roberts was elected with 93.8% support.

• · The meeting was held on June 2, 2026, with a record date of April 6, 2026.
• · John A. Roush received 5,909,353 withhold votes (29.3% of votes cast), a significant level of dissent.
• · Executive compensation was approved with 95.9% support (excluding broker non-votes), but 813,052 shares voted against.
• · Auditor ratification passed with 99.5% support, the highest approval of the three proposals.

05-06-2026

RMG ML Sports Holdings, a blank check company, filed Amendment No. 1 to its S-1 registration statement for an initial public offering of 20,000,000 units at $10.00 per unit, aiming to raise $200,000,000. The company has not yet selected a business combination target and has no substantive discussions initiated. The sponsor purchased 210,000 private placement units for $2,100,000, and the offering includes redemption rights for public shareholders, but with a 15% limitation on redemptions for holders of more than 15% of shares sold. The company has no current operations or revenue, and its success depends entirely on completing a future business combination.

• · The company is a blank check company (SPAC) incorporated in the Cayman Islands, with no operations and no business combination target selected.
• · Founder shares were initially purchased at approximately $0.002 per share, and after forfeiture, at approximately $0.003 per share.
• · The sponsor's founder shares represent 25% of the outstanding ordinary shares on an as-converted basis after the offering (not including private placement shares).
• · The company may pay fees and reimbursements to sponsor, officers, or directors for services related to the initial business combination.
• · The underwriter has a 45-day option to purchase up to an additional 3,000,000 units to cover over-allotments.
• · No fractional shares will be issued upon conversion of rights; a holder must have eight rights to receive one Class A ordinary share.
• · Public shareholders have redemption rights at the time of the initial business combination, but holders of more than 15% of shares sold in the offering are restricted from redeeming more than 15% without the company's consent.
• · The company may issue additional private placement units if working capital loans are converted, potentially diluting public shareholders.

05-06-2026

Shoe Carnival reported a net loss of $5.6M for Q1 FY26, a sharp reversal from net income of $9.3M in the prior-year quarter, as operating income swung to a loss of $6.0M from a profit of $12.0M. Total assets declined slightly to $1.16B from $1.20B at year-end, while shareholders' equity fell to $673.4M from $689.7M. The company generated $23.1M in operating cash flow, improving from a use of cash of $9.6M a year ago, but net sales slipped 2.5% YoY to $270.7M.

• · SG&A expenses increased 14.7% YoY to $96.1M from $83.8M, significantly outpacing the net sales decline.
• · Loss on retirement and impairment of assets surged to $8.2M from $0.6M in the prior year.
• · Stock-based compensation expense more than doubled to $3.4M from $1.5M.
• · The company repurchased 390,000 shares of treasury stock for $7.0M during Q1 FY26, vs. zero repurchases in Q1 FY25.
• · Dividend per share was raised to $0.17 from $0.15 year-over-year, with total dividends declared of $4.8M.
• · Operating cash flow turned strongly positive at $23.1M, driven by a $22.5M reduction in merchandise inventories (compared to a $42.8M inventory build in Q1 FY25).
• · Cash and cash equivalents stood at $116.1M as of May 2, 2026, up significantly from $78.5M a year earlier, despite a $0.99M sequential decline from $117.1M at Jan 31, 2026.
• · Deferred compensation plan liabilities declined to $12.9M from $13.8M year-over-year.
• · Total assets decreased 3.5% sequentially from $1.20B (Jan 31, 2026) to $1.16B (May 2, 2026).
• · Current liabilities decreased to $142.0M from $158.4M at year-end, primarily due to lower accounts payable.
• · Basic and diluted loss per share was $(0.21) in Q1 FY26 vs. earnings per share of $0.34 in Q1 FY25.

05-06-2026

Victoria's Secret & Co. reported a strong turnaround in Q1 FY2026, with net sales increasing 15.3% YoY to $1,560M and net income attributable to the company swinging from a $(2)M loss to a $48M profit. However, cash and cash equivalents dropped sharply from $518M at year-end to $207M, driven by $100M in share repurchases and negative operating cash flow of $(137)M.

• · International segment sales grew 44.7% YoY to $288M, outpacing North America stores (+11.4% to $803M) and Direct (+8.3% to $469M).
• · Gross margin improved to 37.5% in Q1 2026 from 35.0% in Q1 2025.
• · Operating margin expanded to 4.9% from 1.5%.
• · Long-term debt decreased to $986M from $1,078M a year earlier.
• · The company repurchased 2 million shares for $100M in Q1 2026.
• · Net cash used for operating activities improved to $(137)M from $(150)M in the prior year quarter.
• · Capital expenditures increased to $54M from $43M.

05-06-2026

Urban Outfitters held its Annual Meeting on June 3, 2026, where shareholders elected all ten director nominees, ratified Deloitte & Touche as auditor for FY2027, and approved executive compensation in a non-binding vote. All proposals passed with strong support, though broker non-votes were present for director elections and the compensation vote.

• · Broker non-votes totaled 3,849,900 for each director nominee and for the compensation proposal.
• · Ratification of Deloitte & Touche received 76,198,184 votes for, 1,403,695 against, and 15,180 abstentions with no broker non-votes.
• · The advisory vote on executive compensation had 72,960,681 for, 748,732 against, and 57,745 abstentions.

05-06-2026

On June 3, 2026, DBV Technologies' Board approved the 2026 Performance Share Unit Plan and granted 4,060,000 PSUs to CEO Daniel Tassé, with vesting tied to FDA approval of Viaskin Peanut BLA for two age groups. The PSUs are split into 2,900,000 units for first FDA approval and 1,160,000 for a second approval, with a vesting deadline of July 1, 2028. While the grant aligns CEO incentives with key regulatory milestones, the plan carries significant risk as PSUs are forfeited if FDA approvals are not achieved by the deadline, and no financial metrics or current revenue are mentioned.

• · PSU vesting deadline is July 1, 2028; unvested PSUs are automatically cancelled and forfeited without compensation.
• · Vested shares will be delivered in four equal installments of 25% on July 1, 2028, January 1, 2029, July 1, 2029, and January 1, 2030.
• · Continued employment condition requires Mr. Tassé to remain CEO or employed by the company continuously from grant date through vesting date, with exceptions for death, disability, qualifying retirement, or termination without cause/for good reason.
• · Upon a Change in Control, all performance conditions are deemed achieved, but the continued employment condition and delivery schedule still apply.
• · If CEO is a specified employee under Section 409A, payments due upon separation from service are deferred for six months and one day.
• · Board may substitute cash payment for vested shares if CEO is not a French tax resident at delivery.

05-06-2026

PMGC Holdings Inc. (ELAB) announced via an 8-K that its wholly owned subsidiary, NorthStrive Defense Tech LLC, has entered into a binding exclusive worldwide license for U.S. Patent No. 12,291,334 from Florida State University Research Foundation (FSURF) in the aerospace and defense field. Concurrently, NorthStrive agreed to fund $490,657 for associated research at Florida State University’s Center for Intelligent Systems, Control, and Robotics. While the license provides a new growth vector in defense technology, it carries significant upfront costs and risks: the license fee and detailed royalties remain redacted, a $490,657 research payment is due with no guaranteed results, and the license term expires June 30, 2026 if a definitive agreement is not finalized, creating uncertainty. The company's legacy pharmaceutical classification (SIC 2834) and recent name change from Elevai Labs suggest a pivot that may dilute existing shareholder focus.

• · License is exclusive, worldwide, sublicensable, and covers the field of aerospace and defense technologies.
• · Consideration includes a tiered earned royalty on net sales (redacted percentages), an annual minimum royalty (redacted), a sublicensing revenue share (redacted), and an annual license maintenance fee (redacted).
• · Licensee must reimburse FSURF for patent costs: a redacted upfront sum within 30 days of the effective date, plus all ongoing documented costs.
• · Assignment of the license requires FSURF consent, conditioned on the assignee having greater net assets, not being adverse to FSURF, and not being detrimental to FSURF's reputation.
• · The Term Sheet is legally binding and expires on June 30, 2026, unless a definitive License Agreement is approved by the FSU Vice President for Research and executed by both parties.
• · Under the Research Agreement, any Invention made during the Research belongs to FSURF, with NorthStrive having a 45-day option to negotiate a royalty-bearing license.
• · FSURF retained rights to practice the Patent Rights for research, clinical, educational purposes, and for government compliance.
• · All redacted financial terms (license issue fee, annual maintenance fee, royalty percentages, minimum royalty, and sublicensing share) are critical unknowns for valuation.

05-06-2026

On June 1, 2026, Longeveron Inc. CFO Lisa Locklear notified the company of her resignation, effective July 10, 2026, to pursue board opportunities and other interests. The company plans to elevate current controller Marie Washburn to the CFO role pending final contract. Locklear's departure is not due to any disagreement with the company's operations, policies, or practices.

• · CFO resignation effective July 10, 2026.
• · Controller Marie Washburn is anticipated to be elevated to CFO upon Locklear's departure, pending final contract.
• · Locklear's resignation was not due to any disagreement with the company.

05-06-2026

Unicycive Therapeutics, Inc. (UNCY) entered into Amendment No. 2 to its Sales Agreement with Guggenheim Securities, LLC on June 5, 2026, increasing the aggregate offering price of shares that may be sold in the at-the-market (ATM) offering from $100,000,000 to $150,000,000. Concurrently, the company filed a Shelf Registration Statement on Form S-3 to sell an additional $50,000,000 of common stock in the ATM offering. This amendment expands the company's potential equity capital raising capacity by $50,000,000, but also increases potential dilution for existing shareholders.

• · The company is an emerging growth company and has elected not to use the extended transition period for complying with new or revised financial accounting standards.
• · The common stock is traded on the Nasdaq Capital Market under the symbol UNCY.
• · The original Sales Agreement was dated November 13, 2024, and was first amended on November 14, 2025.

05-06-2026

CVR Energy held its 2026 Annual Meeting on June 4, 2026, where all ten director nominees were elected, the advisory vote on executive compensation was approved, and Grant Thornton LLP was ratified as the independent auditor for FY2026. While all proposals passed, several directors received notable withheld votes—including Dustin DeMaria and Colin Kwak with ~12.7 million votes withheld each (approximately 13.9% of votes cast)—suggesting some shareholder dissent on board composition. The advisory compensation vote also had 7.6 million votes against (8.4% of votes cast), indicating moderate shareholder concerns on pay.

• · Broker non-votes totaled 3,794,929 for all director elections and the compensation proposal, but zero for the auditor ratification (which is a routine matter).
• · Mark J. Smith and Jaffrey (Jay) A. Firestone received the highest support with over 91 million votes for each (over 99.5% of votes cast).
• · The auditor ratification received 95,081,957 votes for, 109,133 against, and 116,638 abstentions—nearing unanimous approval.

05-06-2026

UnitedHealth Group held its 2026 Annual Meeting on June 1, 2026, with 768,066,717 shares represented. All nine director nominees were elected, with support ranging from 89.68% (Charles Baker) to 98.96% (Kristen Gil). The non-binding advisory vote on executive compensation passed with 82.74% support, and the ratification of Deloitte & Touche LLP as auditor was approved with 95.00% of votes. However, a shareholder proposal requiring an independent board chair was rejected, receiving only 20.24% support.

• · Charles Baker received the lowest support among directors at 89.68% (606,637,150 for, 69,792,687 against).
• · Kristen Gil received the highest support among directors at 98.96% (670,734,403 for, 7,012,293 against).
• · The non-binding advisory vote on executive compensation had 117,731,618 against votes (17.26% of votes cast).
• · The shareholder proposal for an independent board chair received only 137,347,215 for votes versus 537,634,392 against.
• · Broker non-votes totaled 89,736,263 shares across all director elections and the compensation vote.

05-06-2026

EWSB Bancorp, Inc. held its Annual Meeting of Stockholders on June 4, 2026, where shareholders elected directors Kay M. Dorow and Steven Haen each for three-year terms, with approximately 366,000 votes for and 20,000 withheld, plus 157,254 broker non-votes. The appointment of Plante Moran, PLLC as the independent registered public accounting firm for the year ending December 31, 2026 was ratified unanimously with 543,558 votes in favor, no against or abstain votes, and no broker non-votes.

• · The company is an emerging growth company as defined in Rule 405 of the Securities Act of 1933.
• · No extended transition period for complying with new financial accounting standards was elected.
• · The meeting was held on June 4, 2026, and the 8-K was filed on June 5, 2026.
• · Directors were elected for three-year terms or until successors are qualified.
• · The auditor ratification received unanimous support with zero votes against or abstaining.

05-06-2026

Ribbon Communications Inc. held its annual meeting on June 3, 2026, with approximately 93% of outstanding shares represented. All nine director nominees were elected, and the ratification of Deloitte & Touche as auditor was approved. However, the non-binding advisory vote on executive compensation passed with only 69.4% support, indicating significant shareholder dissent (30.6% against).

• · Beatriz V. Infante received the lowest support among director nominees with 140,967,587 votes for (6,167,837 against).
• · Ratification of Deloitte & Touche passed overwhelmingly with 162,346,373 votes for (99.8% of votes cast).
• · The advisory vote on executive compensation had 5,634,880 abstentions, indicating some shareholder uncertainty.
• · Broker non-votes totaled 16,363,552 on Items 1 and 3, but not on Item 2 (auditor ratification).

05-06-2026

AIRO Group Holdings, Inc. held its annual meeting on June 4, 2026, with a quorum of 66.25% of outstanding shares present. Stockholders elected three Class I directors—Gregory Winfree, Brian Nelson, and Sherrie McCandless—to serve until 2029, and ratified BPM LLP as the independent auditor for fiscal year 2026. All proposals passed, though the director vote saw notable withhold votes for Winfree (1,659,653) and McCandless (1,623,261).

• · Record date for voting was April 7, 2026.
• · Broker non-votes totaled 6,149,542 shares for each director nominee.
• · Ratification of BPM LLP passed with 20,491,151 for, 254,767 against, and 81,234 abstentions.

05-06-2026

Omega Healthcare Investors held its 2026 Annual Meeting on June 5, 2026, with 85.93% of outstanding shares represented. All eight director nominees were elected, Ernst & Young LLP was ratified as independent auditor for FY2026, and executive compensation was approved on an advisory basis. The company also disclosed updated beneficial ownership, showing BlackRock as the largest 5% holder at 10.7% of common stock, while Vanguard entities collectively hold 14.4% on a disaggregated basis.

• · Stephen D. Plavin received the lowest 'For' votes among director nominees (198,442,058) with 15,286,082 against.
• · The ratification of Ernst & Young LLP received 240,521,117 'For' votes, 14,949,017 'Against', and 456,156 abstentions.
• · The advisory vote on executive compensation had 202,883,780 'For', 10,248,851 'Against', and 966,672 abstentions.
• · BlackRock reported sole voting power over 30,899,385 shares and sole dispositive power over 31,867,200 shares.
• · Vanguard Portfolio Management reported sole voting power over only 37,207 shares but sole dispositive power over 27,160,324 shares.
• · Vanguard Capital Management reported sole voting power over 2,455,494 shares and sole dispositive power over 15,689,615 shares.

05-06-2026

Arrive AI Inc. (ARAI) received a Nasdaq deficiency notice on June 2, 2026, for failing to maintain the minimum $1.00 bid price per share for 30 consecutive business days, triggering a 180-day compliance period ending November 30, 2026. The company's listing remains fully effective for now, and management is evaluating options to regain compliance, but there is no assurance of success, and failure could lead to delisting.

• · The company is an emerging growth company as defined under SEC rules.
• · If not compliant by November 30, 2026, the company may qualify for a second 180-day compliance period if it meets all other initial listing standards except the bid price requirement.
• · If delisted, the company would have the right to appeal to a Nasdaq hearings panel.

05-06-2026

On May 31, 2026, VSee Health, Inc. sold its wholly-owned subsidiary VSee Lab, Inc. to co-CEO and Chairman Milton Chen in exchange for 2,870,069 shares of VSee Health common stock owned by Chen, who also resigned as co-CEO and Chairman. The pro forma financials show that after the divestiture, VSee Health's total revenues for the year ended December 31, 2025 would have been cut by half to $7.3M (from $14.6M), while net loss would have improved to $10.0M (from $14.7M). However, the company retains significant liabilities from VSee Lab's pre-closing period, and the transaction eliminates a major revenue stream.

• · The transaction closed on May 31, 2026, with Milton Chen resigning as co-CEO and Chairman effective that date.
• · VSee Health retains all pre-closing liabilities of VSee Lab, including taxes, except sales/use taxes accrued at company level.
• · Pro forma adjustments eliminate all VSee Lab revenues and cost of revenues, including those of its subsidiary This American Doc, Inc.
• · Pro forma balance sheet as of Mar 31, 2026 shows total assets of $18.4M and total liabilities of $8.7M after divestiture.
• · Pro forma net loss per share improves from $(0.73) to $(0.58) for FY2025 and from $(0.05) to $(0.03) for Q1 2026.
• · The company retains $749,800 in long-term investments and $8.2M in intangible assets after the transaction.
• · Deferred revenue of $1.45M is fully eliminated in the pro forma adjustments.

05-06-2026

FrontView REIT, Inc. filed an amendment (8-K/A) to its original 8-K filing to disclose that on June 1, 2026, the Board approved an equity grant to newly elected director Timothy McHugh. Mr. McHugh received 5,311 LTIP Units in the company's operating partnership, vesting on the earlier of the first anniversary or the day before the next annual meeting, subject to continued service. The filing provides additional details on the compensatory arrangement for the director.

• · The equity grant was approved on June 1, 2026, with a grant date value substantially equivalent to annual equity grants received by continuing non-employee directors on May 27, 2026.
• · The LTIP Units were granted under the Company's 2024 Omnibus Equity and Incentive Plan and the Amended and Restated Agreement of Limited Partnership of FrontView Operating Partnership LP.
• · Vesting occurs on the earlier of the first anniversary of issuance or the day before the Company's first annual stockholders' meeting held at least 50 weeks following issuance, subject to continued service.

05-06-2026

Xeris Biopharma Holdings, Inc. held its 2026 Annual Meeting on June 4, 2026, where stockholders elected two Class II directors (Dawn Halkuff and John Johnson), ratified Ernst & Young LLP as independent auditor for FY2026, and approved the non-binding advisory Say-on-Pay vote for named executive officer compensation. While director elections and auditor ratification passed, the Say-on-Pay vote received notable opposition with 4.66 million votes against and 40.78 million broker non-votes, indicating some shareholder dissent on compensation.

• · Record date for the meeting was April 14, 2026, with 172,625,762 shares outstanding.
• · Quorum was achieved with 128,268,073 shares present (74.3% of outstanding).
• · Broker non-votes totaled 40,780,330 on director elections and Say-on-Pay, representing about 31.8% of shares present.
• · Auditor ratification had no broker non-votes and passed overwhelmingly with 125,789,818 votes for.
• · Say-on-Pay received 82,230,204 votes for, 4,658,035 against, and 599,504 abstentions, with 40,780,330 broker non-votes.

05-06-2026

Viant Technology Inc. held its 2026 annual meeting on June 4, 2026, with approximately 94.55% of voting power represented. Stockholders elected Chris Vanderhook and Brett Wilson as Class II directors and ratified Deloitte & Touche LLP as the independent auditor for fiscal year 2026. All proposals passed with strong support, though Chris Vanderhook received a notable 2.5 million votes withheld.

• · Record date for the annual meeting was April 9, 2026.
• · Class A and Class B common stock voted together as a single class with one vote per share.
• · Chris Vanderhook received 51,583,984 votes for and 2,522,872 votes withheld, with 6,242,135 broker non-votes.
• · Brett Wilson received 53,364,114 votes for and 742,742 votes withheld, with 6,242,135 broker non-votes.
• · Ratification of Deloitte & Touche LLP passed with 59,901,367 votes for, 445,419 against, and 2,205 abstentions (no broker non-votes on this proposal).
• · The Definitive Proxy Statement was filed on April 23, 2026.

05-06-2026

Solventum Corp resolved a stockholder class action challenging its advance notice and nomination by-laws by amending the by-laws in September 2024 and agreeing to pay $120,000 in attorneys' fees and expenses. The Delaware Court entered a closing order on June 2, 2026, without passing judgment on the fee amount. The company continues to deny all wrongdoing.

• · The original class action complaint was filed on May 10, 2024, in the Delaware Court of Chancery.
• · The by-laws amendment was adopted on September 20, 2024, modifying the challenged provisions.
• · The plaintiff filed a notice of mootness and fee application on November 13, 2024.
• · The Delaware Court entered the Stipulation and Order Closing Case on June 2, 2026.
• · The company considered the cost and time of further litigation in deciding to settle the fee application.
• · The court was not asked to review and did not pass judgment on the reasonableness of the $120,000 payment.

05-06-2026

AEVEX Corp. priced a follow-on public offering of 8,000,000 shares of Class A common stock at $27.00 per share on June 3, 2026, with the company selling 5,726,157 shares and selling stockholders selling 2,273,843 shares. The offering closed on June 5, 2026, and the underwriters have a 30-day option to purchase up to an additional 1,200,000 shares. The underwriting agreement includes customary representations, warranties, and indemnification provisions.

• · The offering was priced at $27.00 per share, which is the public offering price.
• · The underwriting agreement was entered into on June 3, 2026, and the offering closed on June 5, 2026.
• · The underwriters have a 30-day option to purchase up to an additional 858,923 shares from the company and 341,077 shares from the selling stockholders.
• · The offering was made pursuant to a registration statement on Form S-1 (File No. 333-296396).
• · The company and selling stockholders agreed to indemnify the underwriters against certain liabilities, including liabilities under the Securities Act.

05-06-2026

Driven Brands Holdings Inc. received a Nasdaq notice on June 1, 2026, for non-compliance with Listing Rule 5250(c)(1) due to delayed filing of its Q1 2026 10-Q. The company has 60 days to submit a compliance plan and up to 180 days to regain compliance. This follows a prior non-compliance notice for the 2025 10-K, which was resolved on May 19, 2026. The notice has no immediate effect on listing or trading.

• · The company previously received a non-compliance notice on April 15, 2026, for delayed 2025 10-K, which was filed on May 19, 2026, and compliance was restored on May 29, 2026.
• · The Q1 2026 10-Q delay is due to the restatement of previously issued financial statements.

05-06-2026

Tavia Acquisition Corp. (TAVIR) entered into a promissory note with Tavia Sponsor Pte. Ltd. on June 5, 2026, allowing the company to draw up to $540,000 in monthly installments of $60,000 to fund its trust account until the earlier of a business combination, liquidation, or March 5, 2027. The note is non-interest bearing and matures upon consummation of the initial business combination or winding up, with the sponsor waiving any claims against the trust account. This financing supports the company's ongoing search for a merger target.

• · The note is non-interest bearing.
• · Drawdowns begin June 5, 2026, and occur monthly on the 5th until the earliest of: business combination consummation, March 5, 2027, or liquidation of the trust account.
• · The sponsor waives any and all claims against the trust account.
• · The note is governed by New York law.
• · No fees or payments are due to the payee in connection with any drawdown.

05-06-2026

Universal Insurance Holdings, Inc. (UVE) entered into a First Supplemental Indenture on June 3, 2026, amending its 5.625% Senior Unsecured Notes due 2026 to shorten the minimum redemption notice period from 30 days to 5 days and to permit conditional redemption notices. The amendments, approved by a majority of noteholders, aim to provide the Company with greater operational flexibility in redeeming the Notes.

• · The First Supplemental Indenture amends the Base Indenture dated November 23, 2021.
• · The amendments were approved by holders of a majority in aggregate principal amount of the outstanding Notes.
• · The Company may now issue conditional redemption notices, allowing delay or withdrawal if conditions are not met or waived.

05-06-2026

Vanda Pharmaceuticals held its 2026 annual meeting on June 4, 2026, with 80.7% of shares represented. Stockholders elected three Class II directors, ratified PricewaterhouseCoopers as auditor, approved executive compensation on an advisory basis, and approved an amendment to the 2016 Equity Incentive Plan to increase authorized shares. However, director Richard W. Dugan received a significant 14.1% vote against his election, and the equity plan amendment saw 17.4% votes against, indicating notable shareholder dissent.

• · The meeting was held on June 4, 2026, and the 8-K was filed on June 5, 2026.
• · Proposal 1: Richard W. Dugan received 33,029,049 votes for, 5,417,322 against, 46,718 abstaining; Charles C. Duncan received 35,780,031 for, 2,664,889 against, 48,169 abstaining; Anne Sempowski Ward received 33,897,782 for, 4,543,488 against, 51,819 abstaining.
• · Proposal 2: Ratification of PwC passed with 48,103,698 for, 340,513 against, 65,695 abstaining.
• · Proposal 3: Advisory vote on executive compensation passed with 35,242,659 for, 3,167,243 against, 83,187 abstaining.
• · Proposal 4: 2016 Plan amendment passed with 31,729,991 for, 6,685,078 against, 78,020 abstaining.
• · All three director nominees were elected despite significant against votes, particularly for Dugan and Ward.

05-06-2026

Falcon's Beyond Global, Inc. announced on June 2, 2026, that its subsidiary, Falcon's Attractions, LLC, entered into a Master Consulting Services Agreement with VAI Amusement Park, LLC valued at approximately $10,600,000. The agreement designates Falcon's Attractions as the lead design consultant for a theme park to be constructed in Arizona, with milestone-based payments tied to project progress. No prior period comparisons or negative metrics are available in this filing.

• · The agreement was entered into on June 2, 2026, and filed on June 5, 2026.
• · Falcon's Attractions will serve as the lead design consultant for the theme park.
• · Payment terms are milestone-based and tied to progress of services over project execution periods.

05-06-2026

Honeywell International Inc. announced on June 5, 2026, that its board approved a record date of June 15, 2026, for the pro rata spin-off of its Aerospace Technologies business into an independent publicly traded company, Honeywell Aerospace Inc., with the distribution expected on June 29, 2026. Shareholders will receive one share of Honeywell Aerospace common stock for every two shares of Honeywell common stock held. Additionally, Honeywell will proceed with a 1-for-2 reverse stock split and authorized share reduction, effective after the spin-off on June 29, 2026, with trading expected to continue under the symbol 'HON'. No financial results or performance metrics were discussed in this filing, so there are no positive or negative trends to report.

• · The reverse stock split ratio is 1-for-2, and the authorized share reduction will proportionally reduce the number of authorized common shares.
• · The new CUSIP number for Honeywell common stock after the reverse split will be 438516205; the par value of $1 per share remains unchanged.
• · The spin-off distribution is conditioned on board declaration and satisfaction of conditions, including those in the Separation and Distribution Agreement filed with the SEC.
• · Shareholders will receive cash in lieu of any fractional shares of Honeywell Aerospace common stock.
• · The reverse stock split is contingent upon the completion of the spin-off.