Nasdaq 100 Stocks SEC Filings — May 29, 2026

USA NASDAQ-100

By Gunpowder Editorial ·

9 high priority 16 medium priority 25 total filings analysed

Executive Summary

The 25 filings from NASDAQ-100 constituents and related entities reveal a mixed landscape dominated by corporate governance events, strategic pivots, and significant capital allocation moves.

A key theme is the divergence between established tech giants like Meta, which faced overwhelming shareholder dissent on 10 proposals but maintained management control, and smaller, distressed entities like Faraday Future and Aditxt, which are fighting for survival amid Nasdaq non-compliance and going-concern risks. The most actionable development is CoStar Group's $800M cash acquisition of Zonda, a high-retention data analytics firm, which is expected to be accretive to adjusted EPS in its first full year. In the biotech space, Replimune's BLA resubmission for a melanoma therapy marks a positive regulatory catalyst. Meanwhile, the Mullaney, Keating & Wright 13F filings reveal a consistent, value-oriented strategy with a massive 30-35% overweight in Apple, which has grown 20% in portfolio value over the past year. Period-over-period trends from the banking sector show strong loan growth (First Community at 13.1% annualized) and expanding NIMs, offset by a shift away from non-interest bearing deposits. The SPAC space shows continued activity with Axiom's quantum tech merger, though valuation details remain opaque. Overall, the data points to a market favoring high-quality, cash-generative assets while punishing speculative stories with weak balance sheets.

Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →

Filing types in this digest: 8-K · DEF 14A · 425 · 13F

Tracking the trend? Catch up on the prior Nasdaq 100 Stocks SEC Filings digest from May 28, 2026.

Investment Signals (10)

  • Acquiring Zonda for $800M cash; Zonda has 104% net customer retention and strong subscription revenue. Deal expected to be accretive to adjusted EPS in first full year. BofA and Latham & Watkins advising.

  • BLA resubmission for RP1 + nivolumab in advanced melanoma following collaborative FDA communications. This de-risks the regulatory pathway and could lead to approval.

  • Strong organic loan growth of 13.1% annualized in Q1 2026 (ex-acquisition), 8 consecutive quarters of NIM expansion, and 97 consecutive quarters of dividends (2.11% yield).

  • Annual meeting approved 5.2M share increase for equity plan; executive compensation passed with 98.7% support (only 1.9M against out of 150M+ votes). Strong insider alignment.

  • All 10 shareholder proposals defeated despite high-profile topics (AI oversight, climate, child safety). Management retains full control; Zuckerberg's voting power remains intact. [BULLISH for status quo]

  • Delivered first Master humanoid robot to a medical institution (healthcare use case) and secured largest robot order (23 units). EAI ecosystem expanding across education, security, and companion services. [BULLISH for pivot]

  • Filed updated investor presentation with April/May 2026 operating stats. While no numbers disclosed, the filing suggests management is proactively engaging with investors at upcoming conferences. [NEUTRAL/BULLISH]

  • Advisory vote on exec comp saw 5.4% opposition (876K votes against) and 20.3% withhold for director Doyle. While not a majority, this signals growing shareholder discontent with pay practices. [BEARISH for governance]

  • Equity plan amendment passed with only 70.1% support (18.5M against), and director Zeko received 17.1% withhold votes. Indicates shareholder pushback on dilution and board composition.

  • Say-on-frequency vote resulted in a 2-year frequency (184.9M votes for 2 years vs 26.3M for 1 year). This may frustrate investors who prefer annual votes and could lead to future governance friction.

Risk Flags (10)

  • Stockholders' equity of -$35.2M vs $2.5M minimum. Also failing minimum bid price and MVPHS requirements. Hearing scheduled June 11, 2026. High risk of delisting.

  • Company acknowledges lack of sufficient share capital and potential Nasdaq delisting if stock falls to $0.10 for 10 consecutive days. Despite robot pivot, core EV business remains unproven.

  • Filed 10th amendment to charter increasing authorized shares to 487.7M (452.8M common, 34.9M preferred). Multiple prior amendments suggest aggressive capital structure manipulation.

  • Non-interest bearing deposits declined to 27% of total deposits from 29% a year earlier. This increases funding costs and compresses NIM if rate environment changes.

  • Investment portfolio yield remains low at 3.32%, while loan cash flows are at 6.02-6.09%. Mismatch could pressure earnings if rates fall and loans reprice lower.

  • Director Daniel J. Doyle received 20.3% withheld votes (3.3M shares). Such high opposition for a director nominee is unusual and may indicate governance concerns or lack of board independence.

  • Equity plan amendment passed with only 70.1% support, adding 6M shares. Potential dilution for existing shareholders, especially if stock price remains depressed.

  • Business combination agreement includes a $15M termination fee payable by SPAC CEO if SPAC terminates during diligence review. This creates a conflict of interest and could pressure the CEO to push through a bad deal.

  • Apple represents 30-35% of total portfolio value across all filings (Q2 2024: $45.4M out of $129M; Q1 2026: $54.7M out of $184.1M). Extreme single-stock concentration amplifies idiosyncratic risk.

  • Only 49.3% of eligible shares represented at annual meeting. Low engagement could lead to governance issues or make it easier for activist investors to push through proposals.

Opportunities (8)

  • Acquiring a leader in new home data with 104% net customer retention for $800M cash. Accretive to adjusted EPS in first full year. CoStar's track record of integrating acquisitions (Matterport) suggests execution capability.

  • RP1 + nivolumab for advanced melanoma is a novel oncolytic immunotherapy. FDA collaboration suggests a clear path to approval. If approved, could address a large market with limited competition.

  • 13.1% annualized organic loan growth + 8 consecutive quarters of NIM expansion + 2.11% dividend yield. Trading at $30.38 with strong fundamentals.

  • Faraday Future/Robotics Pivot (SPECULATIVE OPPORTUNITY)

    First healthcare delivery of Master humanoid robot and largest robot order (23 units). EAI ecosystem expanding across education, security, and companion services. If successful, could transform the company from EV to robotics play.

  • 98% support for auditor ratification, 98.7% for exec comp. Clean governance profile with strong shareholder alignment. Equity plan increase suggests management is investing in growth.

  • Filed investor presentation with April/May 2026 operating stats for use at upcoming conferences. Could reveal positive trends in RevPAR or occupancy that drive stock price.

  • Merger with Peach State Bancshares has legal close in Q3 2026 and conversion in Feb 2027. Clear timeline provides arbitrage opportunity if spread widens.

  • Firm has maintained 30-35% allocation to Apple across 8 quarters, increasing position from $45.4M (Q2 2024) to $54.7M (Q1 2026). This conviction bet suggests insider confidence in Apple's long-term prospects.

Sector Themes (6)

  • Governance Pushback on Executive Pay

    Multiple companies (Community West Bancshares, Entravision) saw notable opposition to executive compensation and director elections. Community West had 5.4% against say-on-pay and 20.3% withhold for a director. Entravision had 16.4% against say-on-pay. Investors are increasingly scrutinizing pay-for-performance alignment.

  • Distressed Companies Pivoting to AI/Robotics

    Faraday Future is pivoting from EVs to humanoid robots and AI ecosystems, signing its largest robot order (23 units) and entering healthcare. This reflects a broader trend of struggling companies rebranding as AI plays to access capital and revive investor interest.

  • Banking Sector: Strong Loan Growth but Deposit Mix Concerns

    First Community Corp reported 13.1% annualized organic loan growth and 8 quarters of NIM expansion. However, non-interest bearing deposits declined to 27% from 29% YoY, indicating a shift to higher-cost funding. Community West also showed stable governance but no growth metrics.

  • SPAC Activity Continues with Quantum Tech Focus

    Axiom Intelligence Acquisition Corp is merging with Terra Quantum AG, a Swiss quantum technology company. The deal includes complex earnout provisions (up to 75M shares tied to $12.50/$15.00/$17.50 thresholds over 8 years) and a $15M termination fee. SPACs remain a vehicle for emerging tech exposure.

  • Biotech Regulatory Catalysts

    Replimune's BLA resubmission for RP1 in melanoma follows collaborative FDA communications, suggesting a high likelihood of approval. This contrasts with the broader biotech sector where regulatory outcomes are binary. ACADIA's clean annual meeting also signals stability.

  • Concentrated Institutional Ownership in Mega-Cap Tech

    Mullaney, Keating & Wright's 13F filings reveal a consistent 30-35% portfolio allocation to Apple across 8 quarters (Q2 2024 to Q1 2026), growing from $45.4M to $54.7M. This suggests that even sophisticated value-oriented managers are maintaining outsized exposure to mega-cap tech, reflecting the market's concentration risk.

Watch List (8)

Filing Analyses (25)
Community West Bancshares 8-K mixed materiality 5/10

29-05-2026

Community West Bancshares held its Annual Meeting on May 27, 2026, with 72.23% of outstanding shares represented. All 13 director nominees were elected, and shareholders ratified the appointment of Baker Tilly LLP as independent auditor with overwhelming support (99.9% of votes cast). However, the non-binding advisory resolution on executive compensation received notable opposition, with 876,079 votes against (5.4% of votes cast) and 60,855 abstentions, indicating some shareholder dissent on pay practices.

  • · Daniel J. Doyle received the lowest support among director nominees with 12,913,074 votes for and 3,292,881 votes withheld (20.3% withheld).
  • · Kirk B. Stovesand also had significant withheld votes: 123,883 against 13,053,991 for (0.9% withheld).
  • · All director elections had 3,372,885 broker non-votes, representing about 17.2% of shares represented.
  • · The advisory compensation resolution had 15,269,021 votes for, 876,079 against, and 60,855 abstentions, plus 3,372,885 broker non-votes.
  • · The auditor ratification had no broker non-votes, with 19,556,109 for, 12,393 against, and 10,338 abstentions.
FARADAY FUTURE INTELLIGENT ELECTRIC INC. 8-K mixed materiality 7/10

29-05-2026

Faraday Future Intelligent Electric Inc. (FFAI) announced a strategic partnership with Sequoia Education Center, a leading K-12 education group in North America, and signed a sales contract for 23 FF EAI robots, its largest robot order to date. The company also delivered a Master humanoid robot to a medical institution in Los Angeles, marking its first healthcare use case. At the annual stockholders' meeting on May 22, 2026, all proposals received roughly 80% approval support. However, the filing also highlights ongoing risks including the company's ability to continue as a going concern, lack of sufficient share capital, and potential Nasdaq delisting if the stock price falls to $0.10 or less for 10 consecutive trading days.

  • · The company has delivered a Master humanoid robot to a medical institution in Los Angeles, its first healthcare use case.
  • · FF's collaboration with RobotShop is progressing smoothly, and several major North American e-commerce platforms have expressed interest in partnering on robotics sales.
  • · The EAI Brain and Skills ecosystem has developed dozens of Skills covering education, security, reception, guided tours, and companion services.
  • · The developer platform includes six major tools; two (BrainBlocks and EAI Soul) are already completed, with the remaining tools rolling out later in May 2026.
  • · Decentralized real-world robot data collection is expected to be completed in June 2026.
  • · The company faces risks including potential Nasdaq delisting if the stock price falls to $0.10 or less for 10 consecutive trading days, and the need for substantial additional funding to execute its FX strategy.
Meta Platforms, Inc. 8-K mixed materiality 6/10

29-05-2026

Meta Platforms, Inc. held its 2026 Annual Meeting on May 27, 2026, where shareholders elected all twelve director nominees, including Mark Zuckerberg and others, and ratified Ernst & Young LLP as independent auditor for FY 2026. However, all ten shareholder proposals—covering topics such as AI data usage oversight, executive pay, dual class capital structure, human rights, antisemitism, climate change, child safety, generative AI chatbots, and H-1B visa risks—were overwhelmingly defeated. Quorum was achieved with 92.19% of combined voting power represented.

  • · Record date for voting was April 1, 2026.
  • · Broker non-votes totaled 212,856,564 on each director election and each shareholder proposal.
  • · All director nominees received over 4 billion votes 'for'; John Elkann had the highest 'withheld' votes at 858,647,251.
  • · The shareholder proposal on H-1B visa risks received the fewest 'for' votes: only 11,628,532 (0.2% of votes cast).
Apple Hospitality REIT, Inc. 8-K neutral materiality 3/10

29-05-2026

Apple Hospitality REIT, Inc. filed an 8-K on May 29, 2026, disclosing an updated investor presentation containing operating statistics for April and May 2026. The presentation is furnished as Exhibit 99.1 and is intended for use at upcoming conferences and meetings. The filing is a Regulation FD disclosure and does not contain detailed financial results or period-over-period comparisons.

  • · The investor presentation was made available on the company's website on May 29, 2026.
  • · The presentation includes operating statistics for April and May 2026.
  • · The filing is furnished under Items 7.01 and 9.01 of Form 8-K and is not deemed filed for Exchange Act purposes.
CCC Intelligent Solutions Holdings Inc. 8-K/A neutral materiality 3/10

29-05-2026

CCC Intelligent Solutions Holdings Inc. filed an 8-K/A to disclose compensation arrangements for Rodney Christo, who was appointed Interim Chief Financial Officer following Brian Herb's resignation. Christo's base salary increases to $425,000 per year for a transition period, and he is eligible for a one-time transition cash bonus between $125,000 and $200,000, contingent on the length of the transition and successful onboarding of a successor CFO. The filing does not include any financial performance data, so no period-over-period comparisons are available.

  • · The transition period begins on May 25, 2026 and continues until a successor CFO is appointed and onboarded.
  • · The transition bonus is payable in a lump sum on the first payroll date after the earlier of the end of the transition period or December 31, 2026.
  • · The transition bonus is forfeited if Christo's employment is terminated by the company for cause or by him without good reason before the payment date.
  • · Christo will continue to serve as Chief Accounting Officer while serving as Interim CFO.
Aditxt, Inc. 8-K negative materiality 9/10

29-05-2026

Aditxt, Inc. (ADTX) received a Nasdaq Staff letter on May 27, 2026, notifying it of non-compliance with the minimum stockholders' equity requirement of $2.5 million, reporting negative equity of $(35,174,386) as of March 31, 2026. This adds to a prior delisting determination based on the minimum bid price rule, with a hearing scheduled for June 11, 2026. The company also acknowledges it is currently not in compliance with the minimum Market Value of Publicly Held Shares requirement of $1,000,000, though no formal notification has been received yet.

  • · The company's stockholders' equity was $(35,174,386) as of March 31, 2026, far below the $2.5 million minimum.
  • · The company also fails the alternative listing standards: market value of listed securities of $35 million or net income from continuing operations of $500,000 in the most recent fiscal year or two of the last three.
  • · A prior delisting determination was received on May 6, 2026, for failure to comply with the minimum bid price requirement and ineligibility for a compliance period due to reverse stock split history.
  • · The hearing before the Nasdaq Hearings Panel is scheduled for June 11, 2026.
  • · The company is also currently not in compliance with the minimum Market Value of Publicly Held Shares of $1,000,000, though no formal notification has been received yet.
  • · The Panel has broad discretion to delist the company based on factors including reverse stock split history, financial condition, going concern, capital structure, and capital-raising activities.
IMMUNIC, INC. DEF 14A neutral materiality 5/10

29-05-2026

Immunic, Inc. filed its definitive proxy statement (DEF 14A) for the 2026 annual meeting of stockholders, scheduled for June 29, 2026. The filing details the election of three Class III directors (Thorvald Nagel, Dr. Richard Rudick, and Michael Bonney) and notes that CEO Dr. Daniel Vitt resigned effective June 1, 2026, but will remain on the board to oversee scientific strategy. The board consists of ten members, eight of whom are independent, and the company has adopted a staggered board structure with three-year terms.

  • · The annual meeting is scheduled for June 29, 2026.
  • · Stockholder proposals for the 2027 annual meeting must be submitted according to deadlines described in the proxy statement.
  • · The company uses 'householding' to deliver a single copy of proxy materials to stockholders sharing an address.
  • · A list of stockholders entitled to vote will be available at the meeting and from the corporate secretary for ten days prior.
  • · Dr. Daniel Vitt resigned as CEO effective June 1, 2026, but remains on the board for scientific strategy.
  • · Dr. Duane Nash served as Chairman from April 2019 to December 2025 and as Executive Chairman from April 2020 to December 2025.
  • · Michael Bonney previously led Cubist Pharmaceuticals, which was acquired by Merck for $9.5 billion.
  • · Thorvald Nagel joined the board in February 2026 and is an analyst at BVF.
  • · Dr. Jon Congleton joined the board in 2026 as a continuing Class II director.
ENTRAVISION COMMUNICATIONS CORP 8-K mixed materiality 6/10

29-05-2026

Entravision Communications Corporation (EVC) held its 2026 annual meeting on May 28, 2026, where stockholders elected seven directors, ratified Deloitte & Touche as auditor for FY2026, approved non-binding executive compensation, and approved an amendment to the 2004 Equity Incentive Plan increasing shares authorized by 6,000,000. While the executive compensation advisory vote passed with about 83.5% of votes cast in favor, the equity plan amendment was approved by a narrower margin with only 70.1% of votes cast in favor; director Fehmi Zeko received a relatively high 17.1% withhold vote, indicating some investor dissent.

  • · The equity plan amendment was approved with 43,546,376 FOR vs 18,546,733 AGAINST (70.1% in favor of votes cast, excluding broker non-votes).
  • · Executive compensation advisory vote: 51,920,969 FOR, 10,171,084 AGAINST, 23,085 abstentions (83.6% in favor of votes cast).
  • · Ratification of Deloitte & Touche passed overwhelmingly: 71,402,716 FOR, 158,992 AGAINST, 21,396 abstentions.
  • · Director Fehmi Zeko received the highest withhold vote tally among directors: 10,654,102 withheld (17.1% of votes cast, excluding broker non-votes).
  • · All other directors received over 97% support among votes cast excluding broker non-votes.
TMC the metals Co Inc. 8-K neutral materiality 5/10

29-05-2026

TMC the metals Co Inc. held its Annual Meeting on May 28, 2026, with 49.3% of eligible shares represented. Shareholders approved setting the board at ten directors, elected all director nominees, ratified Ernst & Young as auditor for 2026, and approved say-on-pay on a non-binding basis. However, the say-on-frequency vote resulted in a two-year frequency, meaning the next advisory vote will be in 2028, which may not align with investor preferences for annual votes.

  • · The say-on-frequency vote received 184,853,982 votes for 2 years, 26,301,819 for 1 year, and 1,066,681 for 3 years, with 1,153,565 abstentions.
  • · The next advisory say-on-pay vote will be held at the 2028 annual meeting.
  • · There were no broker non-votes on any proposals.
COSTAR GROUP, INC. 8-K positive materiality 9/10

29-05-2026

CoStar Group announced a definitive agreement to acquire Zonda, a leader in new home data, analytics, and online marketplaces, for $800 million in cash. The acquisition is expected to be accretive to adjusted EPS in the first full year of ownership and close in the second half of 2026, subject to regulatory approvals. While Zonda boasts strong subscription-based revenue with 104% net customer retention and serves over 3,000 customers, the deal carries integration risks and requires regulatory clearance.

  • · Zonda's platform includes Envision visualization and digital merchandising capabilities that will be paired with Matterport's spatial technology.
  • · The acquisition is expected to close in the second half of 2026, subject to customary closing conditions and regulatory approvals.
  • · BofA Securities is serving as financial advisor and Latham & Watkins LLP as legal advisor to CoStar Group.
  • · CoStar Group's websites attracted 131 million average monthly unique visitors in Q1 2026.
Axiom Intelligence Acquisition Corp 1 8-K neutral materiality 8/10

29-05-2026

Axiom Intelligence Acquisition Corp 1 (SPAC) has entered into a definitive Business Combination Agreement dated May 25, 2026, to acquire Terra Quantum AG, a Swiss quantum technology company, through a two-step merger structure. The transaction involves the formation of a Swiss public holding company (PubCo) and a merger of SPAC with a subsidiary, followed by the acquisition merger of Swiss HoldCo into PubCo, with the combined entity expected to be publicly traded. The agreement includes sponsor and shareholder support agreements, lock-up provisions, and an earnout mechanism, but no specific financial terms (e.g., valuation, PIPE size, or trust account balance) are disclosed in this excerpt.

  • · The SPAC Board unanimously approved the transaction and deemed it in the best interests of SPAC.
  • · Sponsor Support Agreement requires Sponsor to vote in favor, not redeem shares, and not transfer SPAC securities.
  • · Shareholder Support Agreements include lock-up provisions for certain PubCo Ordinary Shares post-closing.
  • · The transaction is structured to qualify as a tax-free reorganization under Section 368(a)(1)(F) of the U.S. Internal Revenue Code.
  • · A Registration Rights Agreement will be entered into at closing among PubCo, Sponsor, SPAC, and certain Swiss HoldCo shareholders.
  • · The agreement includes a trust account waiver by the Company and its shareholders.
Axiom Intelligence Acquisition Corp 1 425 neutral materiality 9/10

29-05-2026

Axiom Intelligence Acquisition Corp 1 (SPAC) entered into a Business Combination Agreement on May 25, 2026, to merge with Terra Quantum AG, a Swiss quantum technology company. The transaction involves a multi-step merger structure through a new Swiss public company (PubCo) and includes earnout provisions of up to 75 million additional PubCo ordinary shares tied to share price thresholds of $12.50, $15.00, and $17.50 over an eight-year period. The deal is subject to shareholder approvals, Nasdaq listing, and other customary closing conditions, with a termination fee of $15 million payable by the SPAC CEO if the SPAC terminates during the diligence review period.

  • · The Business Combination Agreement was unanimously approved by the boards of directors of both SPAC and Terra Quantum AG.
  • · The SPAC Rights (AXINR) will be converted such that every 10 SPAC Rights become 1 SPAC Class A Ordinary Share immediately prior to the Initial Merger.
  • · The earnout shares are issuable in three equal tranches of 25 million shares each upon 30-day VWAP thresholds of $12.50, $15.00, and $17.50.
  • · Vesting of all outstanding Earnout Shares accelerates upon a Change of Control of PubCo where the per-share consideration meets or exceeds the applicable VWAP threshold.
  • · The SPAC reorganization is intended to qualify as a tax-free reorganization under Section 368(a)(1)(F) of the Internal Revenue Code.
  • · The Business Combination Agreement may be terminated if not consummated within one year after the initial filing of the Proxy/Registration Statement with the SEC.
  • · No post-closing indemnification for breaches of representations, warranties, or covenants is provided under the agreement.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. reported its 13F-HR filing for the period ending December 31, 2024, disclosing a total portfolio value of approximately $148.1 million across 60 equity positions. The filing shows a diversified portfolio with significant allocations to iShares ETFs (including Russell 1000, Mid-Cap, and Value ETFs), Sherwin-Williams, and Vanguard inflation-protected securities. No prior-period comparison data is available in this filing, so period-over-period changes cannot be assessed.

  • · Top holdings by value include iShares Russell 1000 ETF ($16.9M), iShares Russell Mid-Cap ETF ($8.2M), iShares Russell 2000 Value ETF ($4.7M), iShares Russell Mid-Cap Value ETF ($5.7M), and Sherwin-Williams ($5.5M).
  • · The firm holds a significant position in Vanguard Short-Term Inflation-Protected Securities Index Fund ($6.0M).
  • · Apple Inc. is the largest single-stock holding by value ($53.6M), followed by Microsoft ($1.1M) and Exxon Mobil ($0.7M).
  • · The filing includes multiple Dimensional ETF Trust funds with combined value exceeding $2.5M.
  • · No options or convertible securities are reported; all positions are common stock or ETF shares.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its quarterly 13F-HR for the period ending September 30, 2024, reporting a total of 56 equity holdings with an aggregate market value of approximately $144,070,961. The portfolio is heavily weighted toward iShares ETFs, with the largest positions in iShares Russell 1000 ETF ($17.2M), iShares Russell Mid-Cap ETF ($8.2M), and iShares Russell 2000 Value ETF ($4.9M), alongside significant individual stock holdings in Apple ($50.1M) and Sherwin-Williams ($6.1M). The filing shows a diversified mix of U.S. large-cap, mid-cap, small-cap, and international ETFs, with no disclosed short positions or options.

  • · The filing was submitted on May 29, 2026, for the period ending September 30, 2024, indicating a significant delay in reporting.
  • · Apple Inc. is the single largest holding by far, representing approximately 34.8% of total portfolio value.
  • · The portfolio includes 56 equity positions, all held with sole voting and dispositive power, except for a few positions with shared or no voting power.
  • · No put or call options, or other derivative instruments, are reported in this filing.
  • · The filing was signed by Francis C. Carpentier, Principal & Chief Compliance Officer.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its 13F-HR for the period ending June 30, 2024, reporting total holdings of approximately $129.0 million across 53 equity positions. The portfolio is heavily weighted toward iShares ETFs, with the largest positions in iShares Russell 1000 ETF ($16.0M), iShares Russell Mid-Cap ETF ($7.5M), and iShares Russell 1000 Value ETF ($6.9M). The filing does not include prior-period comparisons, so no period-over-period changes can be assessed.

  • · Top 5 holdings by value: iShares Russell 1000 ETF ($16.0M), iShares Russell Mid-Cap ETF ($7.5M), iShares Russell 1000 Value ETF ($6.9M), Vanguard Short-Term Inflation-Protected Securities Index Fund ($6.1M), and iShares Russell Mid-Cap Value ETF ($5.8M).
  • · Largest single stock position is Apple Inc. ($45.4M, 215,526 shares), representing about 35% of total portfolio value.
  • · Other notable individual stock holdings include Sherwin-Williams ($4.9M), Microsoft ($1.1M), Exxon Mobil ($0.8M), and Coca-Cola Consolidated ($1.0M).
  • · The portfolio includes 53 positions, with a mix of ETFs (primarily iShares and Vanguard) and individual equities.
  • · No period-over-period comparisons are available as the filing only reports current quarter holdings.
Replimune Group, Inc. 8-K positive materiality 8/10

29-05-2026

Replimune Group issued a press release on May 29, 2026, announcing that following collaborative communications with the FDA, it will resubmit its Biologics License Application (BLA) for RP1 (vusolimogene oderparepvec) in combination with nivolumab for advanced melanoma. The resubmission marks a regulatory step forward after prior discussions with the agency.

  • · The resubmission follows collaborative communications with the FDA.
  • · The BLA is for RP1 in combination with nivolumab for the treatment of advanced melanoma.
  • · The news release was furnished as Exhibit 99.1 to the Form 8-K.
  • · The filing is under Item 7.01 (Regulation FD Disclosure) and is not deemed filed for Section 18 purposes.
  • · The report was signed by Sushil Patel, CEO.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its 13F-HR for the quarter ended March 31, 2026, reporting total holdings valued at approximately $184.1 million across 68 positions. The portfolio is heavily weighted toward iShares ETFs, with the largest positions in iShares Trust RUS 1000 ETF ($18.5M), iShares Trust MSCI ACWI ETF ($8.5M), and iShares Trust RUS 1000 VAL ETF ($7.9M). Top individual stock holdings include Apple ($54.7M), Coca-Cola Consolidated ($1.1M), and Exxon Mobil ($1.2M). The filing shows a diversified, value-oriented strategy with significant exposure to U.S. large-cap, mid-cap, and international equity ETFs.

  • · The filing was submitted on May 29, 2026, for the period ending March 31, 2026.
  • · The filer's CIK is 0002135840, with SEC file number 028-27002.
  • · The firm is headquartered at 386 Main Street, Suite 501, Middletown, CT 06457.
  • · The principal and chief compliance officer is Francis C. Carpentier.
  • · All 68 positions are held with sole voting and dispositive power; no shared or non-dispositive holdings are reported.
  • · The largest single stock position is Apple Inc. at $54.7M (215,489 shares), representing approximately 30% of total portfolio value.
  • · The portfolio has a strong value tilt, with significant allocations to iShares and Vanguard value-oriented ETFs.
  • · Fixed income exposure is limited but includes short-duration ETFs (iShares ULTRA SHORT DUR $4.7M, JPM ULTRA SHRT ETF $3.3M, PIMCO ENHAN SHRT MA AC $4.3M) and bond index funds (Vanguard INTERMED TERM $1.3M, SHORT TRM BOND $438K).
  • · International exposure is provided through iShares MSCI ACWI ($8.5M), iShares MSCI EAFE ($5.7M), iShares EAFE SML CP ($325K), Vanguard FTSE DEV MKT ($3.7M), and Dimensional INTL SMALL CAP V ($688K).
  • · Emerging markets exposure is via iShares Inc EMNG MKTS EQT ($2.6M).
  • · The portfolio includes a small position in Tesla ($223K, 599 shares) and a larger position in Meta Platforms ($928K, 1,622 shares).
  • · No period-over-period comparisons are available as this is a single-quarter filing without prior quarter data.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its 13F-HR for the period ending December 31, 2025, reporting total holdings of approximately $189.4 million across 72 equity positions. The portfolio is heavily weighted toward iShares ETFs, with the largest positions in iShares Russell 1000 ETF ($20.0M), iShares Russell Mid-Cap ETF ($9.3M), and iShares MSCI ACWI ETF ($8.6M), while individual stock holdings include Apple ($58.5M), Sherwin-Williams ($5.0M), and Coca-Cola Consolidated ($1.0M).

  • · The filing was made on May 29, 2026, for the period ending December 31, 2025.
  • · All 72 positions are held with sole voting and dispositive power; no shared or non-dispositive holdings are reported.
  • · The largest single stock holding is Apple Inc. at $58.5M (215,233 shares), representing approximately 31% of total portfolio value.
  • · The second-largest holding is Sherwin-Williams Co. at $5.0M (15,484 shares).
  • · ETF holdings dominate the portfolio, with iShares ETFs accounting for over $60M in value across 20+ funds.
  • · Vanguard funds represent approximately $15M in value across 10+ funds.
  • · The portfolio includes a mix of large-cap, mid-cap, small-cap, value, growth, international, emerging market, and fixed-income ETFs.
  • · Notable individual stock holdings include Microsoft ($1.2M), Meta Platforms ($1.1M), NVIDIA ($627K), and Berkshire Hathaway ($454K).
  • · The firm's address is 386 Main Street, Suite 501, Middletown, CT 06457.
  • · The SEC file number is 028-27002 and the Central Index Key is 0002135840.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. reported a 13F-HR filing for the period ending September 30, 2025, disclosing 69 equity holdings with a total market value of approximately $180.1 million. The portfolio is heavily weighted toward iShares ETFs, with the largest positions in iShares Russell 1000 ETF ($19.7M), iShares MSCI ACWI ETF ($8.4M), and iShares Russell Mid Cap ETF ($9.3M). While the filing shows a diversified mix of large-cap, mid-cap, small-cap, and international ETFs, it also includes notable individual stock holdings such as Apple ($55.0M), Sherwin-Williams ($5.4M), and Microsoft ($1.3M).

  • · The filing was submitted on May 29, 2026, for the period ending September 30, 2025.
  • · All 69 holdings are listed with sole voting and dispositive power, except for a few positions where some shares are held indirectly (e.g., Apple has 1,308 shares with shared dispositive power).
  • · The largest single stock position is Apple Inc. at $54.99 million (215,943 shares), representing about 30.5% of total portfolio value.
  • · Sherwin-Williams Co. is the second-largest individual stock at $5.36 million (15,483 shares).
  • · The portfolio includes a significant allocation to fixed-income ETFs: iShares Ultra Short Duration ETF ($4.41M), Vanguard Short-Term Inflation-Protected Securities Index Fund ($6.35M), and PIMCO Enhanced Short Maturity Active ETF ($4.05M).
  • · No period-over-period comparisons are available as this is a single-period snapshot filing.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its 13F-HR for the period ending June 30, 2025, reporting total holdings of $152,705,729 across 59 positions. The portfolio is heavily weighted towards ETFs, with top holdings including iShares ETFs and Vanguard funds. The filing shows a diversified equity portfolio with a mix of large-cap, small-cap, and international exposures.

  • · Top holdings by value: iShares Tr RUS 1000 ETF ($18.1M), iShares Tr RUS MDCP VAL ETF ($5.6M), Sherwin Williams Co ($5.3M), iShares Tr RUS 2000 VAL ETF ($4.6M), iShares Tr S&P 500 VAL ETF ($4.7M).
  • · Largest single stock positions: Apple Inc ($43.9M), Microsoft Corp ($1.2M), Exxon Mobil Corp ($741K), Home Depot Inc ($650K), Nvidia Corp ($689K).
  • · Significant ETF holdings include iShares Tr CORE S&P SCP ETF ($2.8M), iShares Tr CORE S&P MCP ETF ($2.2M), Vanguard Malvern FDS STRM INFPROIDX ($6.1M), Vanguard Tax-Managed FDS VAN FTSE DEV MKT ($3.2M).
  • · The portfolio includes 59 positions with a total value of $152.7M as of June 30, 2025.
Mullaney, Keating & Wright, Inc. 13F-HR neutral materiality 5/10

29-05-2026

Mullaney, Keating & Wright, Inc. filed its 13F-HR for the quarter ended March 31, 2025, reporting total holdings of approximately $148.4 million across 59 equity positions. The portfolio is heavily weighted towards iShares ETFs, with top holdings including iShares Russell 1000 ETF ($16.5M), iShares Russell 1000 Value ETF ($7.2M), and iShares Russell Mid-Cap ETF ($7.9M). The filing shows a diversified mix of large-cap, mid-cap, small-cap, and international ETFs, as well as individual stocks such as Apple ($47.6M) and Sherwin-Williams ($5.6M).

  • · The filing includes 59 positions with a total value of $148,418,567.
  • · Apple Inc. is the largest single stock holding at $47,572,048 (214,163 shares).
  • · Sherwin-Williams Co. is the second largest individual stock at $5,614,420 (16,078 shares).
  • · The portfolio is heavily weighted towards iShares ETFs, with the iShares Russell 1000 ETF being the largest ETF holding at $16,470,909.
  • · Other significant ETF holdings include iShares Russell Mid-Cap ETF ($7,861,992) and iShares Russell 1000 Value ETF ($7,225,217).
  • · The filing was signed by Francis C. Carpentier, Principal & Chief Compliance Officer, on May 29, 2026.
UNITED COMMUNITY BANKS INC 425 neutral materiality 4/10

29-05-2026

United Community Banks Inc. (UCB) is providing a weekly update on its pending merger with Peach State Bancshares, Inc., announcing key milestone dates including a legal close in Q3 2026 (subject to regulatory approval) and a conversion scheduled for February 12–16, 2027. The filing introduces Rich Bradshaw, President & CBO, who will visit the Peach State team, and highlights United's community-focused initiatives. No financial figures or performance metrics are disclosed in this communication.

  • · Legal close of the merger is targeted for Q3 2026, subject to regulatory approval.
  • · Conversion is scheduled for February 12–16, 2027.
  • · Rich Bradshaw oversees more than 200 branches across United's six-state footprint.
  • · United filed a registration statement on Form S-4 on May 28, 2026, which includes a proxy statement for Peach State shareholders.
  • · The SEC has not yet declared the registration statement effective.
  • · United's 2026 annual meeting proxy statement was filed on April 1, 2026.
FIRST COMMUNITY CORP /SC/ 8-K mixed materiality 7/10

29-05-2026

First Community Corporation filed an 8-K on May 29, 2026, furnishing an investor presentation for the 2026 Performance Trust Capital Connect Conference on June 1-2, 2026. The presentation highlights the January 2026 acquisition of Signature Bank of Georgia, strong loan growth of 13.1% annualized in Q1 2026 (excluding the acquisition), and eight consecutive quarters of net interest margin expansion. However, non-interest bearing deposits declined to 27% of total deposits from 29% a year earlier, and the investment portfolio yield remained low at 3.32%.

  • · The company has paid dividends for 97 consecutive quarters with a current yield of 2.11% based on a May 26, 2026 closing price of $30.38.
  • · Loan principal cash flows (excluding prepayments) for Q2 2026 are $92.6 million at a weighted average rate of 6.09%; for Q2–Q4 2026 total $214.8 million at 6.02%.
  • · Investment portfolio principal cash flows for Q2–Q4 2026 are $44.4 million at a weighted average rate of 3.94%.
  • · The investment portfolio has an average life of 5.2 years and effective duration of 3.3 years.
  • · Non-interest bearing deposits remained flat at 27% of total deposits from Q4 2025 to Q1 2026, but declined from 29% in Q4 2023.
  • · Total deposits grew to $2,148.1 million at Q1 2026, including $229.8 million from the Signature Bank acquisition.
  • · The company's leverage ratio (bank) and total capital ratio (bank) are shown in the presentation but specific values are not provided in the text.
  • · Tangible book value and tangible common equity data are presented in the slides but exact figures are not included in the extracted text.
  • · The company received Preferred Lender Status from the SBA on April 10, 2026.
  • · GGL loan portfolio size: $52.6 million in loans held-for-investment and $0.6 million in loans held-for-sale.
  • · Core net income and EPS for Q1 2026 are shown in thousands on slide 48, but exact figures are not provided in the extracted text.
FARADAY FUTURE INTELLIGENT ELECTRIC INC. 8-K neutral materiality 5/10

29-05-2026

Faraday Future Intelligent Electric Inc. filed a Tenth Certificate of Amendment to its Third Amended and Restated Certificate of Incorporation on May 27, 2026, increasing the total authorized capital stock to 487,740,421 shares, comprising 452,813,887 shares of common stock (448,384,199 Class A and 4,429,688 Class B) and 34,926,534 shares of preferred stock. The amendment reflects the company's ongoing capital structure adjustments, including multiple prior amendments and designations of preferred stock series. No financial performance data is provided in this filing.

  • · The amendment is the tenth amendment to the Third Amended and Restated Certificate of Incorporation, adopted under Section 242 of the DGCL.
  • · The company has filed 24 prior amendments to the Third Amended and Restated Certificate, including multiple designations and eliminations of Series A, B, and C Preferred Stock.
  • · The par value for both common and preferred stock remains $0.0001 per share.
ACADIA PHARMACEUTICALS INC 8-K positive materiality 7/10

29-05-2026

ACADIA Pharmaceuticals held its 2026 Annual Meeting on May 29, 2026, where stockholders elected three Class I directors (James M. Daly, Edmund P. Harrigan, M.D., Adora Ndu, Pharm.D., J.D.) and approved an amendment to the 2024 Equity Incentive Plan to increase authorized shares by 5,209,670. All management proposals, including the advisory vote on executive compensation and ratification of Ernst & Young as independent auditor, were approved with strong majority support.

  • · All three Class I director nominees were elected; Edmund P. Harrigan received the lowest support (128,460,130 FOR vs 21,988,617 WITHHELD).
  • · Advisory vote on executive compensation passed with 148,265,173 FOR and only 1,911,358 AGAINST.
  • · Ernst & Young was ratified as independent auditor for FY2026 with 157,409,378 FOR (98% of votes cast excluding broker non-votes).
  • · The 2024 Equity Incentive Plan amendment was approved to increase authorized shares by 5,209,670 shares.
  • · The amendment allows issuance of shares under the Plan for equity-based compensation.

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