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US SEC Filing Intelligence

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Nasdaq 100 Stocks SEC Filings — March 20, 2026

Across 12 NASDAQ-100 related filings from March 20, 2026, proxy season dominates with 5 DEF/DEFA14A filings signaling imminent annual meetings and governance focus, while financial disclosures reveal mixed period-over-period trends: Zegna's FY2025 revenue declined 1.5% YoY to €1,917M but profit surged 20.5% YoY to €109M on 90 bps gross margin expansion; IPM reported FY2025 revenue of $23.6M with net loss down 42% YoY and Q4 Adjusted EBITDA turning positive post-transformation. Positive highlights include Gilead's robust HIV/oncology pipeline with up to 7 launches by 2033 and bulevirtide potential in 2026, AITX's new AI security order, and IPM's accretive acquisition adding 17k customers. Critical risks emerge in Faraday Future's Nasdaq delisting notice for sub-$1 bid price, granting 180 days to September 16, 2026, compliance. Portfolio-level patterns show profitability resilience amid revenue softness in luxury/shipping, SPAC liquidity/m erger progress, and limited insider details but LTIP grants signaling long-term alignment in Cogent/Gilead. Actionable implications favor monitoring pharma catalysts and avoiding delisting risks, with capital allocation tilting toward acquisitions/RSUs over dividends.

6 high priority 6 medium 12 total filings
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Dow Jones 30 Stocks SEC Filings — March 20, 2026

Across the 50 SEC filings from the USA Dow Jones 30 intelligence stream (primarily blue-chip adjacent with diverse small/mid-caps), financial performance is mixed: 14/25 annual reports (10-K/20-F) show revenue growth averaging +35% YoY (outliers like Aeva +99%, Yellowstone +52%), but 11 report declines averaging -15% YoY (e.g., Urban One -16.7%, Scorpio Tankers vessel rev -25%), with net losses narrowing in 8 cases (avg -15%) amid margin expansions in 6 (e.g., QIAGEN +1330 bps to 62.2%). M&A activity surges with 4 deals (KORE $9.25/share cash merger, Kennedy-Wilson merger, Stock Yards/Field & Main 0.655x exchange), while capital allocation features dividends (Energy Services $0.03/share), reverse splits (FuboTV 1:12), forward splits (Climb 4:1), and financing (Aptiv tender upsized to $1.371B). Corporate events dominate with 15+ AGMs/proxies in April-May 2026, signaling governance focus; insider conviction low (no buys, some holdings detailed in proxies). Sector patterns include advertising/media weakness, AI/tech momentum, shipping volatility, and bancorp stability. Actionable implications: Favor growth outliers like Aeva/AITX for alpha, monitor merger proxies/merger risks, avoid revenue decliners amid portfolio-level margin compression in cyclicals (-200 bps avg in 5 shipping/media firms).

30 high priority 20 medium 50 total filings
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US SEC Filings Daily Market Digest — March 20, 2026

Across 50 SEC filings for March 20, 2026, dominant themes include advancing SPAC mergers (CoinShares, Einride, Pelican/Greenland) with high redemptions signaling investor caution, accretive M&A in healthcare (Embecta, Prestige, PSA/NSA), and robust revenue growth in tech/aerospace (Aeva +99% YoY, Firefly +163% YoY) offset by widening losses and yield compression in BDCs/investment firms (avg yield drop to 9.1% from 10.0%). Retail (Dollar General +5.2% YoY sales, +107 bps gross margin) and biotech (Cellectis +61.7% revenue) show resilience, but REITs like Belpointe report surging losses (+68% YoY) amid debt growth (+47%). Aggregate trends: 12/20 financial reporters grew revenue >50% YoY (avg +80%), but 8/12 saw net losses widen (avg +40%), with mixed sentiments in 70% of high-materiality filings. M&A valuations appear reasonable (Prestige 11x EBITDA, Embecta £150M for £69M rev), while SPAC redemptions averaged 60%+. Implications: Opportunities in post-merger listings and accretive deals, risks in dilutive financings and operational cash burns.

38 high priority 12 medium 50 total filings
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S&P 500 Consumer Discretionary Sector SEC Filings — March 20, 2026

Across the 50 filings in the S&P 500 Consumer Discretionary stream (with broader exposure via SPACs, M&A targets, and adjacents), overarching themes include robust revenue growth in high-flyers like Firefly Aerospace (+163% YoY), FiEE (+868% YoY), and Snowflake (+29% YoY), contrasted by margin pressures and widening losses in scaling firms (e.g., AutoZone op profit -1.2% YoY, Scorpio Tankers net income -49% YoY). Retail standouts like Dollar General showed resilient +5.2% sales growth and +107 bps gross margin expansion, while capital allocation leaned toward buybacks ($250M at First Industrial, AutoZone $742M) and dividends (Energy Services $0.03/share). M&A activity surged with UniFirst-Cintas deal (H2 2026 close) and NSA-Public Storage, signaling consolidation; insider moves were muted but resignations prevalent (e.g., FIS CTO, Lifeward director). Portfolio-level trends: 12/20 revenue reporters posted >20% YoY growth (avg +150%), but 8/15 profitability metrics declined (avg net income -15%), with mixed sentiment (22 mixed, 10 positive). Forward catalysts cluster in Apr-May AGMs; watch Nasdaq compliance risks in Lifeward/FFIE. Implications: Tactical buys in growth retail/tech, caution on overlevered cyclicals amid mixed guidance.

38 high priority 12 medium 50 total filings
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S&P 500 Healthcare Sector SEC Filings — March 20, 2026

Across 29 filings in the USA S&P 500 Healthcare stream (with broader cross-sector context), dominant themes include the onset of 2026 proxy season with 15+ annual meetings clustered April-May, robust period-over-period profitability gains in select names (e.g., Eli Lilly $65.2B revenue, Spruce Biosciences net loss improved 26% YoY to $39M, Heritage Financial net income +56% YoY), and healthcare-specific catalysts like Gilead's pipeline advancements (7 HIV launches by 2033, bulevirtide 2026), Eli Lilly's superior Zepbound data (20.2% weight loss vs Wegovy 13.7%), Exact Sciences/Abbott merger closing March 23, and Artelo Biosciences' compelling Phase 2a trial (6.38% weight gain vs placebo loss). Margin trends mixed: expansions in Zegna (+90 bps gross to 67.5%) and Ameriprise (+40 bps adjusted to 26.9%) offset by compressions elsewhere (Zegna op margin -130 bps to 7.3%, Spruce G&A +16% YoY). Capital returns strong in financials (Ameriprise $3.4B +20% YoY, News Corp $1B repurchase), biotech financing mixed (Cingulate dilution risk from $25M facility, Spruce $50M loan). Healthcare outliers show pipeline conviction (Gilead, Lilly, Artelo positive sentiment 8-9/10 materiality) amid Nasdaq compliance risks (Lifeward negative 9/10). Portfolio implication: overweight pharma/biotech on catalysts, monitor governance votes and M&A closes for near-term volatility.

13 high priority 16 medium 29 total filings
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Global High-Priority Regulatory Events — March 20, 2026

Across 50 filings in the 'Global High Priority Market Events' stream, dominant themes include ongoing insolvency proceedings in Indian firms (e.g., AGS Transact, Quadrant Televentures), promoter share acquisitions signaling conviction (DCM Shriram), SPAC mergers with high redemptions (Pelican Acquisition), biotech trial successes (Artelo), and M&A/takeover activity (NSA, Embecta, CoinShares). Period-over-period trends show robust revenue growth in 12/50 filings averaging +90% YoY (e.g., Firefly +163%, Aeva +99%, Belpointe +244%), but persistent net losses widening in 8 cases (avg +50% YoY) amid margin volatility and high R&D/debt costs; gross margins expanded notably in QIAGEN (+1,330 bps to 62.2%). Insider/promoter activity is bullish in 4 Indian firms with +5-10% stake increases, while pledges/encumbrances flag leverage risks. Forward-looking catalysts cluster in Q1-Q2 2026: merger closings, CoC meetings, and trial escalations. Portfolio implications favor monitoring biotech/SPAC turnarounds and avoiding insolvency-exposed names, with alpha in revenue accelerators trading below peers.

50 high priority 50 total filings
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US IPO Pipeline SEC S-1 Filings — March 20, 2026

A surge of 5 new S-1 filings on March 20, 2026, highlights a robust IPO pipeline across crypto ETFs, biotech, consumer tech, quantum computing M&A, nuclear energy, and early-stage tech, with the 6th providing context on governance evolution. Positive sentiments dominate in biotech (Artelo) and quantum (IonQ merger), driven by superior trial outcomes (e.g., Artelo's 6.38% weight gain vs -5.42% placebo) and strategic vertical integration, while mixed/neutral tones prevail elsewhere amid volatility risks and competition. No broad revenue/margin period-over-period declines reported, but GoPro notes recent market share losses contrasting Artelo's strong Phase 2a efficacy metrics. Key developments include Artelo's dose escalation to 1,300 micrograms and IonQ's $15/share + stock merger with SkyWater, signaling sector consolidation. Portfolio-level patterns show high equity comp in pre-IPO firms (X-energy CEO $10.5M, 88% stock awards), indicating management alignment, with implications for near-term listings on Nasdaq/NYSE boosting liquidity and alpha in high-volatility names.

6 high priority 6 total filings
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US Earnings Financial Results SEC Filings — March 20, 2026

Across 50 10-K and 10-Q filings from March 20, 2026, primarily FY2025 results, a dominant mixed sentiment prevails with 70% of named companies showing revenue growth averaging 40% YoY in high-growth sectors like aerospace (Firefly +163%), tech (Snowflake +29%, Aeva +99%), and retail (Dollar General +5.2%, Victoria's Secret +5%) but persistent net losses widening in 60% of cases due to high opEx/R&D and impairments. SPACs (e.g., Pelican, Bluerock, Jackson) represent ~20% of filings, holding intact trust accounts with interest income driving modest profits amid pre-merger deficits. BDC/investment vehicles (11 filings) expanded assets/portfolios 50-80% YoY with investment income up 50-110%, though yields compressed 100bps to 9.1% on average, signaling rate sensitivity. ABS servicing compliance in 15+ unknown filings remains routine/neutral with no deficiencies, focusing on standard timeframes (2-90 days). Capital allocation leans toward financing inflows ($100M+ in Aeva, Firefly) over dividends/buybacks, with outliers like AutoZone's $742M buybacks. Portfolio-level trends highlight growth resilience but profitability challenges, implying near-term catalysts from guidance-embedded EBITDA targets (Wellgistics to 2026) and product launches (Milestone PSVT in 2026).

50 high priority 50 total filings
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US Executive Compensation Proxy SEC Filings — March 20, 2026

Across 50 DEF 14A proxy statements, a dominant theme is robust 2025 performance with 18 companies reporting YoY revenue growth averaging 10%+ (e.g., Ameriprise +6% rev/$18.2B, Goldman +9%/$58.3B, Inspire +14%/$912M, Eli Lilly $65.2B), strong EPS expansions (Goldman +27% to $51.32, Ameriprise +12% to $39.34), and margin improvements (Latham +320bps gross margins, Pentair +170bps adj ROS), though 6 showed declines like Avalon net income -76% YoY. Positive sentiment prevails in 22 filings (44%), mixed/neutral in 28, with no explicit insider selling but high ownership concentrations signaling alignment (e.g., Preformed Line 33% insiders). Capital allocation favors shareholders via dividend hikes (Ameriprise 21st consecutive +20% returns, Penske $182M buybacks/1.8% shares), buybacks, and LTIPs tied to CAGR targets. Portfolio-level trends highlight financials/healthcare outperformance vs industrials mixed results, with pay-for-performance evident (Cogent CEO 152% AWR target payout). AGMs cluster April 29-May 13, 2026 as key catalysts for comp votes, auditor ratifications, and equity plan amendments. Market implications: Buy dips in high-performers pre-vote, monitor pay scrutiny in decliners.

50 high priority 50 total filings
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US Executive Officer Management Changes SEC — March 20, 2026

Across 38 SEC filings on US executive and director changes dated March 20, 2026, the dominant theme is high C-suite and board turnover with 70% neutral sentiment, including 18 resignations/retirements (mostly voluntary, no disagreements cited except one), 12 appointments/promotions of experienced executives, and 5 salary/bonus adjustments signaling retention efforts. No widespread period-over-period financial deterioration evident, but isolated YoY EPS gains (e.g., Nu Skin) and equity grants contrast with severances totaling $810k+ across cases like Aeries ($265k), CleanCore ($500k), reAlpha ($46k). Biotech/pharma (Aquestive, AN2, Iovance) shows positive hires amid FDA catalysts, while tech (SMCI, Rigetti, Roblox) mixes promotions with legal risks and board exits. Portfolio-level pattern: 15 CFO/CIO changes suggest transition risks in growth sectors; insider conviction mixed with promotions (e.g., Kite Realty CFO) but concerns from disputes (APHP). Implications: Bullish for experienced hires in REITs/fintech, bearish for legal overhangs; watch Q2 2026 AGMs and successor searches for volatility.

38 high priority 38 total filings
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US Corporate Distress Financial Stress SEC Filings — March 20, 2026

Across 41 filings in the USA Corporate Distress & Bankruptcy stream, a dominant theme is acute small-cap distress with 13 companies (e.g., GoHealth, Quince Therapeutics, MaxCyte, NextNRG, Ernexa, Tivic, Heritage/IPST, Faraday Future, Tela Bio, Alzamend Neuro) receiving Nasdaq deficiency notices for bid price < $1.00 over 30 days, MVLS/equity shortfalls, or audit committee issues, risking delisting by Sep 2026; Zynex confirmed Ch11 reorganization with equity cancellation (no recovery for 30.8M shares). Period-over-period trends show revenue declines (Beasley Broadcast -8.7% CAGR FY23-25 to $206M, audio -11.8%), but some improvements like Spruce Biosciences net loss -26% YoY to $39M FY25 and Embecta/Prestige accretive M&A. Forward-looking catalysts cluster in H1-Q3 2026: merger closings (KORE $9.25/share, Dillard's), compliance deadlines (180 days to Sep), Zynex emergence by Mar31; financings (TG Therapeutics $750M term loan, Fortive $2B revolver) signal liquidity support amid distress. Capital allocation leans defensive (debt paydowns, no dividends/buybacks noted except Fair Isaac $1B notes for repurchases), with insider reliance (Perfect Moment $5M chairman loans extended). Portfolio-level: Biotech/healthcare outliers in delisting risks (8/13), while consumer/energy M&A bucks trend; implications include short opportunities in non-compliant microcaps, long setups in turnaround financings/M&A.

41 high priority 41 total filings
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US SEC Trading Suspension Halt Orders — March 20, 2026

A cluster of 11 small-cap companies, predominantly in biotech and healthcare (7/11), received Nasdaq deficiency notices between March 16-20, 2026, signaling acute distress in microcap listings with uniformly negative sentiment and high materiality (avg 9.3/10). Dominant theme: 9/11 failed minimum bid price requirement (<$1.00 for 30 consecutive business days), alongside MVLS shortfalls (GoHealth <$35M, Quince <$50M), low stockholders' equity (Alzamend $2.2M vs $2.5M min), and one audit committee violation (Lifeward <3 members). No enriched period-over-period financial improvements noted; implied QoQ stock price declines drove all bid failures over recent 30-day windows. Compliance periods standardize at 180 days to ~September 14-16, 2026, creating a portfolio-level delisting cliff, with 2 firms (Ernexa, Heritage) ineligible due to recent reverse splits, heightening urgency via hearings. Absent positive insider activity, capital allocation, or operational metrics, this wave underscores small-cap weakness amid potential funding droughts, risking mass OTC transfers, liquidity evaporation, and 20-50% further drawdowns.

11 high priority 11 total filings
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US Bankruptcy Chapter 11 Insolvency SEC Filings — March 20, 2026

The USA Bankruptcy & Insolvency intelligence stream highlights a single critical development: Zynex Inc.'s Chapter 11 reorganization plan confirmation on March 19, 2026, marking the culmination of proceedings initiated December 15, 2025, with emergence expected by March 31, 2026. All 30,781,021 existing common shares are cancelled with zero recovery for equity holders, transferring 100% ownership (approximately 1,000 new shares) to the Plan Sponsor and providing DIP Lenders $10M in takeback debt. No period-over-period financial trends are detailed in the filing, but the Nasdaq delisting (effective February 2, 2026) and OTC trading as ZYXIQ underscore speculative risks and total equity wipeout. Market implications include complete shareholder value destruction, heightened volatility in OTC trading, and a bearish sentiment (rated negative, materiality 10/10). Portfolio-level patterns are limited to this filing, but it exemplifies ongoing corporate insolvency pressures in the medical device sector, with no insider activity, capital allocation, or forward guidance beyond plan effectiveness noted.

1 high priority 1 total filings
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US Corporate Board Director Changes SEC Filings — March 20, 2026

Across 38 SEC 8-K filings on USA Board Room Changes from March 16-20, 2026, the dominant theme is high executive and director turnover, with 24 resignations/retirements (mostly neutral voluntary exits citing no disagreements) versus 14 appointments/promotions, signaling routine board refreshes amid stable operations but potential leadership gaps in tech, biotech, and financials. Positive hires bring deep sector expertise (e.g., ex-Coinbase CFO at Streamex, Dycom ex-CEO at Centuri), while negatives include a director resignation over financial planning disputes at American Picture House and a criminal indictment impacting Super Micro executives. No uniform period-over-period financial trends emerge as filings focus on governance, but isolated signals like Nu Skin's interim CFO crediting YoY EPS gains from cost cuts and BranchOut's retroactive salary hikes post-growth highlight pockets of operational strength. Materiality skews high (avg 6/10) for CEO/CFO shifts (12 cases), implying short-term execution risks but long-term strategic upgrades. Portfolio-level pattern: neutral sentiment in 70% of filings suggests low disruption risk, but watch clustered director retirements ahead of 2026 AGMs for governance evolution. Market implication: opportunities in experienced hire turnarounds, risks in unresolved successions.

38 high priority 38 total filings
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US Merger & Acquisition SEC Filings — March 20, 2026

The 12 filings reveal a surge in SPAC activity with 6 new IPOs or post-IPO events (SUMA, BHAV, Muzero, Fifth Era, Cayson, Pelican) and de-SPAC mergers advancing rapidly, including Pelican-Greenland closing March 24 and Nexstar's completed TEGNA acquisition on March 19, signaling robust M&A momentum in a tight window (March 12-24). Period-over-period trends show outlier strength in Merlin Labs (Inflection Point target) with 515% YoY revenue growth to $7.6M despite 35% wider net losses to $74.8M from opex and warrant surges, while B&G Foods' $110M Del Monte acquisition projects immediate EPS accretion ($0.08-0.12) at 5.5x EBITDA multiple. High redemptions (63% or 7.56M shares, $77.7M) in Pelican highlight cash drain risks in de-SPACs, contrasting full over-allotment exercises in SUMA (+2.25M units) and BHAV's $100M IPO. Media sector consolidation via Nexstar-TEGNA and TEGNA governance tweaks underscores strategic M&A, with neutral governance shifts in Horizon Quantum and Solaris financing potential Genco buy. Overall, bullish SPAC pipeline but mixed sentiment from redemptions and loss trends implies selective opportunities pre-close.

12 high priority 12 total filings
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US Pre-Market SEC Filings Roundup — March 20, 2026

Overnight SEC filings reveal robust M&A and SPAC activity, with healthcare deals like Prestige's $1.045B Breathe Right acquisition and Embecta's £150M Owen Mumford buyout signaling sector consolidation, while SPAC mergers (CoinShares, Pelican/Greenland, Einride/Legato) advance amid heavy redemptions (Pelican 63%). Revenue growth dominates period comparisons across 12/50 filings, averaging +80% YoY (e.g., Firefly +163%, Aeva +99%, Cellectis +62%), but 8/12 show widening net losses (avg +40%) due to R&D/opex surges and yield compression in BDCs (avg -0.9%). Margin expansions stand out (QIAGEN gross +1,330bps to 62.2%), contrasting compression elsewhere; activist pressure mounts on Lululemon (Wilson 8.4% stake, criticizing flat FY2026 outlook). Capital allocation leans toward buybacks (News Corp $1B program) and financing (Firefly $1.3B inflows), with forward catalysts clustered in late March (merger closings) and April (earnings, meetings). Portfolio-level: Tech/AI/space names outperform on revenue but lag on profitability; BDCs grow assets +72-83% but face yield/margin erosion. Actionable: Favor accretive M&A targets, monitor SPAC post-merger liquidity.

38 high priority 12 medium 50 total filings
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DHS Homeland Security Contracts — March 19, 2026

DHS stream reveals $473M in active contracts dominated by CBP border security hardware (60% of value) and IT sustainment, with $186M largest to Rapiscan Systems (OSI Systems sub) for multi-energy portals. All five awards signal bullish multi-year revenue for detection firms and IT providers, with 40-70% already outlayed indicating execution momentum. Potential extensions to 2033 and $183M+ in unexercised options offer substantial upside amid firm fixed price structures.

5 total filings
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VA Healthcare & Services Contracts — March 19, 2026

VA awarded $381M in contracts signaling robust demand for health IT infrastructure (Oracle, Deloitte) and recurring medical supplies (Medline), with $900M+ in total potential via options. Medline's back-to-back Jan/Feb 2026 awards ($138M total) highlight predictable prime vendor revenue, while IT/cyber deals offer multi-year upside to 2029. All firm-fixed-price structures favor incumbents but expose to cost risks; monitor outlays for execution momentum.

4 total filings
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NASA & Space Contracts Intelligence — March 19, 2026

NASA's $85.4M obligated delivery order to Caltech (nonprofit) for JPL's PO.DAAC-2 operations reflects steady, non-competed funding for space science R&D, with $72.4M (85%) already outlayed from an $89.6M ceiling. Neutral signal limits direct equity upside, but $4.2M unexercised options and 2026 expiry offer monitoring points for continuity. Single-contract period shows concentration in JPL FFRDC support amid potential NASA priority shifts.

1 total filings
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Federal IT & Cybersecurity Contracts — March 19, 2026

Federal IT & Cybersecurity obligations totaled $1.66B across 7 contracts, with Leidos capturing 64% ($1.06B) from SSA for multi-year IT management, underscoring civilian agency demand. VA and DHS account for 45% of value via EHR interfaces, cyber transformation, and HR/infra support, providing revenue visibility to 2029. All signals bullish with $1.1B in potential options uplift, though firm fixed price structures pose execution risks.

7 total filings