S&P 500 Financials Sector SEC Filings — May 21, 2026

21-05-2026

Immix Biopharma announced that all four MRD-negative relapsed/refractory AL Amyloidosis patients from ASH 2025 have converted to complete response (CR), raising the CR rate in the Phase 2 NEXICART-2 trial to 95% (19/20). No relapses have been observed in patients who reached CR, and all CRs occurred within one year of follow-up. However, the filing includes risk factors cautioning that interim data may differ from final results, and no period-over-period comparisons are provided to contextualize the improvement.

• · All four MRD-negative patients from ASH 2025 converted to CR.
• · No relapses observed to date for patients who reached CR.
• · All CRs reached within one year of follow-up post-dosing.
• · MRD-negativity 10-5 achieved within 30 days for all MRD-negative patients.
• · As of May 14, 2025, 17 of 20 patients showed rapid normalization of diseased light chains with median time to initial response of 7 days.
• · Safety data through May 14, 2026 generally consistent with previous data.
• · Next NEXICART-2 update expected in late September 2026.
• · Phase 3 trial of NXC-201 in newly diagnosed AL Amyloidosis planned to start in first half of 2027.
• · Risk factors caution that interim data may materially differ from final results.

21-05-2026

Barinthus Biotherapeutics plc held a Court Meeting and General Meeting on May 20, 2026, where shareholders overwhelmingly approved the Scheme of Arrangement and the Scheme Implementation Proposal. At the Court Meeting, 99.98% of Scheme Shares voted in favor, and at the General Meeting, 99.98% of votes cast supported the special resolutions. The results are final, and the company is proceeding with the scheme transaction.

• · The Court Meeting had 0 broker non-votes and 0 abstentions.
• · The General Meeting had 10 abstentions and 0 broker non-votes.
• · The Scheme Implementation Proposal is described in detail in the proxy statement filed on April 22, 2026.

21-05-2026

Rocket Pharmaceuticals held its 2026 Annual Meeting on May 20, 2026, with 74.02% of outstanding shares represented. Stockholders elected seven directors, ratified EisnerAmper LLP as auditor, approved executive compensation on an advisory basis, and approved a stock option exchange program. However, director David P. Southwell received only 43,172,112 votes for (68.2% of votes cast), with 20,112,032 votes withheld, indicating significant shareholder dissent, and the stock option exchange program passed with a relatively narrow margin (45,582,445 for vs. 17,615,213 against).

• · Broker non-votes totaled 17,490,515 shares on all director elections and on Proposals Three and Four.
• · Proposal Two (ratification of auditor) had no broker non-votes; votes for: 79,195,009, against: 1,002,656, abstentions: 576,994.
• · Proposal Three (advisory say-on-pay) received 61,389,376 votes for, 1,671,016 against, and 223,752 abstentions.
• · Proposal Four (stock option exchange) passed with 45,582,445 for, 17,615,213 against, and 86,486 abstentions.
• · All director nominees received over 59.5 million votes for except David P. Southwell, who received 43.2 million for and 20.1 million withheld.

21-05-2026

VIDA Global Inc. announced the listing of its tokenized equity on xStocks via a press release on May 21, 2026. The filing is a Regulation FD disclosure and does not contain financial results or quantitative data.

• · The press release is furnished as Exhibit 99.1 and incorporated by reference.
• · The information is furnished, not filed, under the Exchange Act.

21-05-2026

Medallion Financial Corp. filed a definitive proxy statement for its 2026 Annual Meeting, urging shareholders to read all relevant documents. The company highlights a successful transformation from taxi medallion lending to consumer finance, with record earnings, loan growth, and shareholder returns. However, it faces a proxy fight from debt holder ZimCal, which the board claims lacks understanding of the business.

• · Net income during the last 5 years exceeds the combined net income for first 25 years as a public company.
• · Independent analysts have a BUY rating on Medallion stock.
• · Latest $75M capital raise was rated A- by Egan-Jones (investment grade).
• · Board has added three independent directors in the last 6 years and five in the last nine years.
• · ZimCal is a debt holder vowing to wage proxy fights if not granted board seats or a profitable resolution to his debt position.
• · ZimCal's nominees do not possess skills additive to the board according to the company.

21-05-2026

NanoViricides, Inc. disclosed that its President and Executive Chairman, Dr. Anil R. Diwan, participated in the AGP Healthcare Companies Showcase on May 20, 2026, where he stated that the company's two drug candidates—NV-387 and NV-387 encapsulating Remdesivir—are expected to be effective against the current Ebola virus Bundibugyo strain in the DRC. The company has a clinical site in DRC for Mpox treatment, but no specific clinical data or timeline for Ebola was provided, and the efficacy of remdesivir against Ebola in prior human trials was not established.

• · NV-387 is a broad-spectrum antiviral entering Phase II clinical trial against Mpox in DRC.
• · NV-387 encapsulating Remdesivir is an oral formulation that protects remdesivir against bodily metabolism, as published in a peer-reviewed PLOS ONE paper.
• · Remdesivir's efficacy against Ebola was not established in prior human clinical trials, but safety and tolerability were confirmed.
• · The company has a clinical site in DRC for Mpox treatment.

21-05-2026

Sun Communities, Inc. (SUI) has entered into a definitive agreement to sell its UK assets (Park Holidays) to Aermont Capital for an enterprise value of £768M (~$1.03B) in an all-cash transaction expected to close in H2 2026. Post-transaction, North American MH and RV NOI is expected to represent ~95% of total NOI, reinforcing the company's focus on its core North American platform and improving financial flexibility. The sale is subject to UK FCA approval and customary closing conditions, and the company faces execution risks including potential delays or failure to close.

• · The sale is structured as an all-cash transaction with locked box adjustments including cash profits up to closing.
• · Advisors: Lazard Frères & Co. LLC (financial), Jones Day and Taft Stettinius & Hollister LLP (legal) to Sun; Rothschild & Co (financial) and Macfarlanes (legal) to Aermont.
• · Regulatory approval required from the UK Financial Conduct Authority.
• · The company aims to return capital to shareholders as part of its capital allocation strategy.
• · As of March 31, 2026, Sun owned/operated 515 properties with ~179,300 developed sites across the US, Canada, and UK.

21-05-2026

Deere & Company reported Q2 2026 net income of $1.773 billion ($6.55 EPS), down 2% from $1.804 billion ($6.64 EPS) in Q2 2025, while total net sales and revenues rose 5% to $13.369 billion. The Production & Precision Agriculture segment saw a sharp 39% decline in operating profit to $706 million, but this was offset by strong growth in Small Agriculture & Turf (+25% to $719 million) and Construction & Forestry (+48% to $561 million). The company maintained its full-year net income guidance of $4.5-5.0 billion, reflecting confidence despite ongoing market challenges.

• · Production & Precision Agriculture operating margin fell to 15.7% from 22.0% a year ago.
• · Small Agriculture & Turf operating margin improved to 20.6% from 19.2%.
• · Construction & Forestry operating margin rose to 14.8% from 12.9%.
• · Financial Services net income outlook for fiscal 2026 is approximately $860 million.
• · Industry outlook for U.S. & Canada Large Ag is down 15-20% for fiscal 2026.
• · Industry outlook for U.S. & Canada Construction Equipment is up ~5%.
• · The company recorded a $272 million recovery for IEEPA tariff refund claims.
• · Dividends declared remained flat at $1.62 per share in both Q2 2026 and Q2 2025.
• · Research and development expenses increased to $583 million in Q2 2026 from $549 million in Q2 2025.
• · Interest expense decreased to $712 million in Q2 2026 from $784 million in Q2 2025.

21-05-2026

Barnwell Industries reported a net loss attributable to the company of $1.15M for Q2 FY2026 (three months ended March 31, 2026), narrowing from a $1.207M loss in the prior-year quarter. Revenue fell 29% to $2.535M, driven by a $1.06M decline in oil and natural gas sales. However, operating costs decreased 19% to $3.983M, and the company recorded a $338,000 equity in income of affiliates, partially offsetting the revenue drop. For the six-month period, the net loss attributable to Barnwell improved to $2.576M from $3.124M a year ago, though cash used in operations increased to $2.422M from $854M.

• · The company issued 926,403 shares of common stock, net of costs, during the six months ended March 31, 2026, raising $3.365M.
• · Cash used in operating activities from continuing operations increased to $2.422M in H1 FY2026 from $0.854M in H1 FY2025, a 184% increase.
• · Capital expenditures for oil and natural gas dropped sharply to $0.25M in H1 FY2026 from $2.641M in H1 FY2025.
• · The company recorded a $338,000 equity in income of affiliates in Q2 FY2026, compared to $0 in the prior-year quarter.
• · Accumulated deficit widened to $9.084M at March 31, 2026 from $6.508M at September 30, 2025.
• · Total liabilities decreased to $13.388M from $13.790M over the same period.
• · The company had no discontinued operations in FY2026; the prior-year period included a contract drilling segment that was sold.

21-05-2026

Babcock & Wilcox Enterprises, Inc. filed an S-3 shelf registration statement to register securities for future offerings. The prospectus highlights a strong pipeline growth of 84% QoQ to over $14.0B (from $7.6B), 88% of LTM Q1 2026 revenue from aftermarket activity, and optimistic industry tailwinds from rising natural gas prices and supportive U.S. executive orders. However, the filing prominently warns of high investment risk, including potential volatility in the common stock price, reliance on a pipeline that may not convert to revenue, and exposure to customer capital expenditure cycles.

• · Global electricity demand expected to grow from 27,290 TWh (2024) to 37,819 TWh (2035) and 50,667 TWh (2050) per IEA.
• · U.S. federal government issued two executive orders supporting coal energy in 2025 and 2026.
• · The company targets BrightLoop small-scale deployment in 2027, medium-scale in 2029, and large-scale in 2032.
• · Pipeline may not generate margins equal to historical operating results and may fail to convert to revenue.
• · Common stock is listed on NYSE under symbol BW and is subject to significant price and volume fluctuations.

21-05-2026

PHX Minerals Inc. reported a significant turnaround in Q1 2025, with net income of $4.38M compared to a net loss of $0.18M in Q1 2024, driven by a 47% increase in total natural gas, oil, and NGL sales to $10.43M. However, the company's effective tax rate swung from a 30% benefit to a 23% provision due to higher income, and oil revenue growth was modest at 5.5% YoY, while natural gas revenue surged 86.5%.

• · The company has a $100M credit facility with a $50M borrowing base, maturing September 1, 2028, with $19.75M drawn and $30.25M available as of March 31, 2025.
• · The effective interest rate on the credit facility was 7.54% at March 31, 2025.
• · The company recorded a change in estimate for new wells of $204,141 in Q1 2025 related to prior periods.
• · Basic EPS improved from -$0.01 in Q1 2024 to $0.12 in Q1 2025.
• · The company excluded 849,439 restricted shares from diluted EPS in Q1 2025 as they were antidilutive.
• · The valuation allowance for deferred tax assets remained unchanged at $9,056 from December 31, 2024.

21-05-2026

Starfighters Space, Inc. (FJET) reported Q1 2026 results with $Nil revenue and a 61% increase in net loss to $4.27M. While operating expenses rose 116% to $4.05M driven by post-listing costs, the company saw a 72% reduction in other expenses and reported improved basic loss per share of $0.10 vs $0.13. Cash and restricted cash fell to $2.14M from $4.01M at year-end, and the company expanded restricted cash holdings while completing key STARLAUNCH 1 wind tunnel testing.

• · The company filed its first quarterly report following its NYSE American listing in December 2025 under symbol FJET.
• · The 10-Q includes disclosures regarding liquidity, going concern, litigation, bank restrictions, related-party matters, and remediation of material weaknesses.
• · Wind tunnel testing of STARLAUNCH 1 evaluated separation behavior at Mach 0.85 and Mach 1.3 with no adverse aerodynamic interactions observed across ten test runs.
• · Rick Svetkoff resigned as CEO, President and Chairman on February 22, 2026, and Tim Franta was appointed CEO. Jose Arias was appointed VP, Space Operations effective May 11, 2026.
• · Starfighters had interest income of $0.15M in Q1 2026 vs $0.04M in Q1 2025, and incurred no interest expense in Q1 2026.
• · Short-term investments - restricted of $0.71M were newly reported as of March 31, 2026 (zero at year-end 2025).

21-05-2026

Twenty One Capital, Inc. filed a Second Amended and Restated Certificate of Formation with the State of Texas on May 21, 2026, amending its charter to remove references to Stellar Beacon LLC and the Governance Agreement. The amendment also updates capital stock provisions, including authorized shares of 5.501 billion total, with Class A Common Stock having no voting rights while Class B Common Stock has one vote per share. The filing reflects governance changes post-merger and sale agreement with Tether Investments.

• · Original Certificate of Formation filed March 7, 2025; First Amended and Restated effective December 8, 2025.
• · Registered office: 1999 Bryan Street, Suite 900, Dallas, Texas 75201; registered agent: C T Corporation System.
• · Class A Common Stock has no voting rights unless no Class B Common Stock remains outstanding.
• · Class B Common Stock may only be transferred in accordance with Bylaws; forfeitable for no value.
• · Preferred stock may be issued in series with rights determined by Board of Directors.

21-05-2026

Snail, Inc. filed an 8-K on May 20, 2026, announcing an increase in its at-the-market (ATM) offering program capacity to $3,660,000 of Class A Common Stock, up from the prior capacity after $4,367,863 in shares had already been sold under the program. The company is under no obligation to issue any shares, and the expanded facility is intended to enhance financial flexibility. However, the filing does not disclose any new revenue, earnings, or operational metrics, and the ATM expansion may signal ongoing capital needs or dilution risk for existing shareholders.

• · The ATM program is conducted pursuant to an offering agreement dated August 7, 2025 with H.C. Wainwright & Co. LLC as Sales Agent.
• · 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.
• · There is no assurance that the Sales Agent will be able to complete future placements, even if instructed.

21-05-2026

Critical Metals Corp. filed an amendment to its 20-F annual report, disclosing key assumptions for mineral resource estimation at its rare earth element (REE) project, including a cut-off grade of 0.30% TREO, metallurgical recovery of 50–65%, and a processing rate of 500,000 tpa. The report also details drilling results from 2024–2025, with TREO grades ranging from 0.39% to 0.54% in the Lower Fjord and 0.42% to 0.51% in the Upper Fjord, and a consistent HREO proportion of 27%. However, the report notes that downhole widths are reported rather than true widths, and the estimated true width is unclear due to early-stage drilling and geological complexity.

• · Cut-off grade of 0.30% TREO used for mineral resource estimation.
• · Metallurgical recovery range of 50–65% based on test work.
• · Payability factor of 70–85% based on typical market terms for REE concentrates.
• · Bulk density of 2.80 t/m³ from 258 measurements on fresh kakortokite core.
• · Mining method is conceptual open pit.
• · Processing rate of 500,000 tpa per existing exploitation license.
• · Sales royalty for REE is 5% of value, with potential offsets from corporate income tax and dividend tax.
• · Downhole widths reported; true widths unclear due to early drilling and geological complexity.
• · 2024 drilling in Lower Fjord: 13 holes, 1,149.5 m, TREO 0.39–0.54%, HREO 27% of TREO.
• · 2025 drilling in Upper Fjord: 20 holes, 3,430.0 m, TREO 0.42–0.51%, HREO 27% of TREO.

21-05-2026

JDM Financial Group LLC filed its 13F-HR for the quarter ended March 31, 2026, reporting total holdings of approximately $259.35 million across 318 positions. The portfolio is heavily weighted toward ETFs, with top holdings including the Schwab U.S. Large-Cap ETF ($7,759 shares), Vanguard S&P 500 ETF ($300,823 shares), and iShares 0-3 Month Treasury Bond ETF ($283,950 shares), indicating a diversified, income-oriented strategy. However, the filing shows no period-over-period comparisons, so performance trends cannot be assessed.

• · The portfolio includes 318 positions with a total market value of $259,352,536 as of March 31, 2026.
• · Top holdings by share count include Schwab U.S. Large-Cap ETF (7,759 shares), Vanguard S&P 500 ETF (300,823 shares), iShares 0-3 Month Treasury Bond ETF (283,950 shares), and Vanguard Small-Cap ETF (94,414 shares).
• · The filing does not provide prior period data, so no quarter-over-quarter or year-over-year comparisons are available.
• · The portfolio contains a mix of U.S. and international equities, fixed-income ETFs, sector SPDRs, and alternative investments such as iShares Bitcoin Trust and Grayscale Bitcoin Mini Trust.
• · Notable individual stock holdings include Amazon.com (2,608 shares), Microsoft (635 shares), NVIDIA (8,425 shares), and Meta Platforms (241 shares).

21-05-2026

Ivanhoe Electric Inc. disclosed that its majority-owned subsidiary Cordoba Minerals Corp. entered into a consulting agreement with Quentin Markin as interim CEO, effective May 20, 2026. Mr. Markin will receive a monthly fee of $7,500 plus expense reimbursement. The agreement terminates upon appointment of a new CEO or by notice. Mr. Markin continues as EVP of Business Development and Strategy Execution at Ivanhoe Electric and as a Cordoba Minerals director.

• · The consulting agreement was entered into on May 20, 2026, retroactively covering services since Mr. Markin's appointment as interim CEO on March 6, 2026.
• · The agreement can be terminated for cause by Cordoba Minerals or without cause by either party with one month's written notice.
• · Mr. Markin also serves as a director of Cordoba Minerals.

21-05-2026

Multiple Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at NAV, though any merger requires final Board approval, regulatory clearances, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement is made under Rule 425 and involves 14 separate closed-end funds.
• · The funds are registered under the Investment Company Act of 1940 and are unlisted closed-end funds.
• · If a merger proceeds, the surviving open-end fund will file a registration statement on Form N-14 with the SEC.
• · Shareholder approval is required for any merger to proceed.
• · If shareholder approval is not obtained, the Board will examine other strategic alternatives to provide liquidity at or as close as possible to NAV.
• · The announcement includes forward-looking statements regarding risks such as market declines, economic downturns, and regulatory changes.

21-05-2026

Tax Free Fund II for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies. The Boards are evaluating mergers, which would require shareholder approval and regulatory filings. If mergers are not approved, the Boards will consider other alternatives to enhance liquidity.

• · The Funds are Puerto Rico unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger with an open-end fund would allow shareholders to redeem shares at NAV daily.
• · The merger process requires Board approval, shareholder approval, and SEC registration.
• · If shareholder approval is not obtained, the Board will examine other strategic alternatives.
• · Contact: Patricia Duque at (787) 522-6776.

21-05-2026

Fourteen Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies. The boards are evaluating mergers that would allow daily redemptions at NAV, subject to shareholder approval and regulatory filings. If mergers are not approved, the boards will explore other alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger would require shareholder approval and a registration statement on Form N-14.
• · If a merger is not approved, the board will examine other strategic alternatives to provide liquidity at or close to NAV.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

Multiple Puerto Rico closed-end funds are evaluating a strategic shift to an open-end fund structure via mergers, aiming to provide shareholders daily liquidity at NAV. The Board of each fund is conducting a thorough analysis of such mergers, which would require shareholder approval and SEC filings. However, the outcome remains uncertain—if shareholder approval is not obtained, the Board will explore other strategic alternatives to enhance liquidity.

• · The announement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The evaluation is being conducted by the Board of Directors of each Fund.
• · A merger would require a final analysis by the Board covering portfolio composition, liquidity, regulatory requirements, tax implications, regulatory approvals, and long-term viability of the surviving open-end fund.
• · If a merger is approved, the surviving open-end fund would file an SEC registration statement on Form N-14 including a proxy statement/prospectus.
• · If shareholder approval is not obtained, the Board intends to examine other strategic alternatives to provide enhanced liquidity at or as close to NAV as possible.
• · Contact information: Patricia Duque, telephone (787) 522-6776.

21-05-2026

The Funds, a group of 14 Puerto Rico unlisted closed-end funds, announced a strategic review to pursue mergers with open-end funds to provide daily liquidity and operational efficiencies for shareholders. The Board of each Fund is evaluating the mergers, which would require shareholder approval, regulatory clearance, and final Board analysis. If shareholder approval is not obtained for a merger, the respective Board will examine other alternatives to enhance liquidity at or close to net asset value.

• · The merger evaluation is in an early stage — no registration statement has been filed yet; a surviving open-end fund would file Form N-14 subsequently.
• · If a merger is approved, shareholders of each target closed-end Fund would receive shares of the surviving open-end fund.
• · The announcement covers 14 separate Funds, each with its own Board conducting the evaluation.
• · The Funds currently have no direct path to liquidity for shareholders at NAV due to the closed-end structure.
• · Contact person: Patricia Duque at (787) 522-6776 for further information.

21-05-2026

Tax-Free Fixed Income Fund V for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide daily liquidity and operational efficiencies. The Boards are evaluating mergers subject to final analysis, regulatory approvals, and shareholder votes; if shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity at or near net asset value.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The merger would require shareholder approval; if not obtained, the Board will examine other strategic alternatives to provide enhanced liquidity at or as close as possible to net asset value.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of relevant documents on the SEC's website at www.sec.gov.

21-05-2026

Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc., along with 13 other Puerto Rico closed-end funds, announced a strategic review to pursue a merger with an open-end fund, seeking to provide better liquidity, value, and operational efficiencies for shareholders. This structural change would allow daily redemptions at net asset value, a significant improvement over the current closed-end structure. However, the merger is subject to Board approval, regulatory requirements, tax implications, and shareholder approval; if approval is not obtained, the Board will explore other alternatives. The announcement is forward-looking and carries risks including market declines, regulatory changes, and inability to implement the strategy.

• · The merger would require a surviving open-end fund to file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · If shareholder approval for a merger is not obtained, the Board intends to examine other strategic alternatives to provide enhanced liquidity at or close to net asset value.
• · The Funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · Forward-looking statements caution that risks include market declines, economic downturns, competition, regulatory changes, and inability to retain key employees or implement the investment strategy.

21-05-2026

The Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue a merger with an open-end fund structure, aiming to provide daily liquidity at net asset value for shareholders. The boards are evaluating regulatory, tax, and portfolio implications, and any merger would require shareholder approval. If shareholder approval is not obtained, the boards will explore other strategic alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger with an open-end fund would require final board analysis, regulatory approvals, and shareholder approval.
• · If a merger is not approved, the board intends to examine other strategic alternatives to provide enhanced liquidity at or close to net asset value.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of related documents on the SEC's website at www.sec.gov.

21-05-2026

Multiple Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and shareholder value. The Boards are evaluating mergers that would allow daily redemptions at net asset value, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other alternatives to enhance liquidity.

• · The announcement is preliminary; no definitive merger agreements have been reached.
• · Any merger would require shareholder approval and SEC registration on Form N-14.
• · If a merger is not approved, the Board will explore other strategic alternatives to provide liquidity at or near net asset value.
• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · The surviving open-end fund would issue shares to closed-end fund shareholders upon merger approval.

21-05-2026

Fifteen Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, but any merger is subject to final Board analysis, regulatory approvals, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of relevant documents on the SEC's website at www.sec.gov.
• · The statement is not an offer to buy or sell any securities or a solicitation of any vote or approval.

21-05-2026

A group of 14 Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies for shareholders. The boards are evaluating this alternative, which would allow daily redemptions at NAV, but any merger requires shareholder approval and regulatory filings. If shareholder approval is not obtained, the boards will explore other strategic alternatives to enhance liquidity.

• · The funds are registered under the Investment Company Act of 1940 as Puerto Rico unlisted closed-end funds.
• · A merger would require shareholder approval, regulatory approvals, and a registration statement on Form N-14.
• · If shareholder approval is not obtained, the boards will examine other strategic alternatives to provide liquidity at or close to NAV.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

The Board of Directors of 14 Puerto Rico closed-end funds, including Puerto Rico Residents Tax-Free Fund V, Inc., is evaluating a merger with an open-end fund to provide shareholders with daily liquidity at net asset value (NAV). Any merger would require shareholder approval, regulatory filings, and Board finalization; if a merger is not approved, the Board will examine other alternatives to enhance liquidity. The funds are currently pursuing this alternative to address the existing closed-end structure's lack of a direct redemption path.

• · The Board is conducting a thorough evaluation of a merger with an open-end fund, which would provide a direct path to liquidity via daily redemptions at NAV, unlike the current closed-end structure.
• · If a Fund cannot obtain required shareholder approval for a merger, its Board intends to examine other strategic alternatives to provide enhanced liquidity at or as close to NAV as possible.
• · The surviving open-end fund would file a registration statement on Form N-14 (including a proxy statement/prospectus) with the SEC; no securities offering will be made except by means of a prospectus meeting Section 10 of the Securities Act of 1933.
• · Investors are urged to read the joint proxy statement/prospectus and other documents when available, free of charge on the SEC’s website at www.sec.gov.

21-05-2026

Puerto Rico Residents Tax-Free Fund III, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, but any merger requires final Board analysis, regulatory approvals, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger would require the surviving open-end fund to file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Shareholder approval is required for any merger to proceed.
• · If a merger is not approved, the Board will examine other strategic alternatives to provide liquidity at or close to net asset value.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

Puerto Rico Residents Tax-Free Fund II, Inc. and 14 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at NAV, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · A merger would require final Board analysis including portfolio composition, liquidity, regulatory requirements, tax implications, and long-term viability of the surviving open-end fund.
• · After Board approval, the surviving open-end fund would file a registration statement on Form N-14 with the SEC, which would include a proxy statement for shareholder vote.
• · If a merger is not approved, the Board intends to examine other strategic alternatives to provide liquidity at or as close as possible to NAV.
• · No specific timeline or financial terms were disclosed.

21-05-2026

Puerto Rico Residents Bond Fund I and 14 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The merger would require shareholder approval and a registration statement (Form N-14) to be filed with the SEC.
• · If a merger is not approved, the Board intends to examine other strategic alternatives to provide liquidity at or as close as possible to net asset value.
• · Contact for further information: Patricia Duque, telephone (787) 522-6776.

21-05-2026

Allogene Therapeutics issued a supplement to its definitive proxy statement for the 2026 Annual Meeting of Stockholders to correct errors in the Summary Compensation Table. The corrections adjust the Total column for CEO David Chang (2024), CMO Zachary Roberts (2025), and CFO Geoffrey Parker (2025) to reflect the correct sum of all compensation components. There is no change to the advisory vote on executive compensation (Proposal 2) or any other proposal.

• · The Annual Meeting will be held on June 18, 2026 at 8:00 a.m. Pacific Time via live webcast at www.virtualshareholdermeeting.com/ALLO2026.
• · The correction does not affect any voting proposals; only the Summary Compensation Table totals are corrected.
• · For 2025, CEO David Chang received $0 Bonus, RSU awards of $1,071,218, PSU awards of $1,338,319, option awards of $2,588,329, non-equity incentive plan compensation of $400,010, and all other compensation of $14,217.
• · For 2025, CMO Zachary Roberts received $0 Bonus, RSU awards of $337,391, PSU awards of $421,740, option awards of $815,222, non-equity incentive plan compensation of $202,804, and all other compensation of $17,750.
• · For 2025, CFO Geoffrey Parker received $0 Bonus, RSU awards of $337,391, PSU awards of $421,740, option awards of $815,222, non-equity incentive plan compensation of $191,250, and all other compensation of $15,750.
• · Payouts of PSUs are reported at maximum possible payout of 150% of target.

21-05-2026

Z Squared Inc. (formerly Coeptis Therapeutics Holdings, Inc.) announced a Phase 1 plan to reach 100 MW of AI-ready infrastructure capacity for inference workloads over the next 18 months. The company signed a binding letter of intent to acquire Skycore Digital, which operates approximately 24 MW of energized capacity in North Carolina with a potential expansion path to 42 MW. However, the company is operating from a 'virtually debt-free balance sheet' following its April 2026 Nasdaq listing, and there is no assurance that additional acquisition targets will be completed on acceptable terms or at all.

• · The company's common stock trades under the symbol ZSQR on the Nasdaq Global Market.
• · The company was formerly known as Coeptis Therapeutics Holdings, Inc. (name changed October 31, 2022) and before that Bull Horn Holdings Corp. (name changed November 15, 2018).
• · The company's current operations include crypto mining, which provides a foundation for newer verticals in power generation, data center development, and high-performance compute hosting.
• · The company manages a fleet of specialized computing hardware with in-house repair and lifecycle management programs.
• · The company's power strategy includes responding to curtailment schedules and seasonal electricity rate fluctuations to lower cost per kilowatt-hour.
• · The intended customers for Z Squared's AI-ready capacity are NeoCloud operators and AI infrastructure operators deploying production inference workloads.
• · Under the customer model, the customer brings compute hardware while Z Squared delivers power, cooling, density, fiber, security, and operations.
• · The company's distributed, facility-agnostic infrastructure spans North Carolina, South Carolina, and Iowa.
• · The filing is a Regulation FD Disclosure (Item 7.01) and the press release is furnished, not filed, for SEC purposes.

21-05-2026

DALRADA TECHNOLOGY GROUP (DHTI) reported a net loss of $4.3M for the quarter ended March 31, 2026, roughly flat vs. a $4.2M loss in the same quarter last year, while total revenue declined 44% YoY to $2.6M. For the nine-month period, revenue fell 28% YoY to $9.9M, and the net loss improved 17% to $14.8M. The company continues to operate with negative stockholders' equity of -$20.9M and total current liabilities of $29.9M far exceed current assets of $8.0M, signaling acute liquidity risk.

• · Cash and cash equivalents fell 52% from $172.8K at June 30, 2025 to $82.6K at March 31, 2026.
• · Total liabilities increased 54% from $25.0M to $38.5M, driven by a surge in accounts payable and accrued liabilities – related parties (from $3.4M to $10.5M) and notes payable, current portion (from $3.9M to $9.1M).
• · Stockholders' deficit worsened from -$6.7M to -$20.8M, more than tripling.
• · Net cash used in operating activities for the nine months was $6.1M, roughly flat compared to $6.1M in the prior year period.
• · Interest expense for the nine months increased 9.8% to $2.6M from $2.4M, while interest income dropped 91.2% to $5.1K.
• · The company issued 14,206 shares of Series I preferred stock during Q1 FY2026 upon conversion of related party notes.
• · Approximately $11.9M of preferred stock to be issued was reclassified to additional paid-in capital during the second quarter.
• · Loss per share improved from -$0.19 to -$0.14 (basic and diluted) for the nine-month period.

21-05-2026

ThredUp Inc. held its 2026 Annual Meeting of Stockholders on May 20, 2026, with a majority quorum present. Stockholders elected three Class II directors (James Reinhart, Dan Nova, Kelly Bodnar Battles) and ratified Deloitte & Touche LLP as independent auditor for FY 2026. All proposals passed with strong support; however, James Reinhart and Dan Nova each received over 13 million votes withheld, while Kelly Bodnar Battles received only 538,500 withheld, indicating a notable split in director support.

• · Record date for voting was March 27, 2026.
• · Holders of Class A common stock had 1 vote per share; holders of Class B common stock had 10 votes per share.
• · Class A and Class B common stock voted together as a single class on all matters.
• · Quorum was established based on a majority of voting power of all issued and outstanding shares.
• · All three Class II director nominees were elected to serve until the 2029 annual meeting.
• · Broker non-votes on director elections totaled 23,553,486 shares for each nominee.
• · Deloitte & Touche LLP ratification received 296,770,804 votes for, 142,987 against, and 159,721 abstentions.

21-05-2026

Independent Bank Corp (IBCP) filed an S-4/A registration statement for its merger with HCB Financial Corp, dated March 18, 2026. The merger is expected to close in 2026, with HCB shareholders receiving Independent common stock. The filing includes detailed merger terms, representations, and covenants, but no specific financial figures or performance metrics are provided.

• · The merger agreement was dated March 18, 2026.
• · HCB does not anticipate holding an annual meeting in 2026 other than the one held on April 15, 2026.
• · Shareholder proposals for Independent must be submitted 60-90 days before the annual meeting anniversary.
• · Documents incorporated by reference include Independent's 2025 10-K, 2026 proxy, and several 8-Ks.
• · Request for documents must be made by June 10, 2026 to receive them before the special meeting.

21-05-2026

Blackstone Real Estate Income Trust (BREIT) reported a +2.0% net return for Class I in Q1 2026, building on an +8.1% net return in 2025, with positive performance every month during the quarter. Subscriptions increased +44% YoY in Q1 2026 with three consecutive months of positive net flows, but multifamily continues to face near-term headwinds from elevated supply in the Sunbelt, and real estate values remain 15% below their peak despite a recovery underway.

• · Since inception (2017), BREIT Class I annualized net return is +9.3%, outperforming broader private real estate by ~3x on an annualized basis.
• · 100% of BREIT's 2025 distribution was classified as return of capital; tax-equivalent distribution rate is 7.4% (federal) and ~9-10% in high-tax states like NY/CA.
• · BREIT's portfolio is ~90% concentrated in rental housing, industrial, and data centers; data centers grew from 1% (2020) to 23% (Q1 2026).
• · QTS' leasing pipeline more than doubled year-over-year.
• · Multifamily supply in Sunbelt is elevated, creating near-term headwinds; occupancy is ~95% with average ~3% annual rent growth.
• · S&P 500 moved >1% on nearly half of trading days in Q1 2026, falling >9% peak-to-trough before rebounding.
• · Bonds and gold delivered negative performance nearly 75% of the time the S&P 500 was down over the last several years.
• · U.S. building fewer homes today than in the 1960s despite population nearly doubling.
• · All-in borrowing costs down ~40% from 2023 high.

21-05-2026

Charlie's Holdings, Inc. raised $1.27 million through the sale of 6,350,000 shares of common stock at $0.20 per share on May 20, 2026. The offering consisted of $270,000 in cash and $1.0 million in debt forgiveness, with proceeds earmarked for working capital. The transaction was conducted as an unregistered sale under Section 4(a)(2) of the Securities Act.

• · The offering was completed on May 20, 2026.
• · The shares have a par value of $0.001 per share.
• · The subscription agreement is filed as Exhibit 10.1 to the 8-K.
• · The company is not an emerging growth company as defined under the Securities Act.

21-05-2026

News Corp filed an 8-K on May 21, 2026, disclosing its ongoing stock repurchase program authorized for up to $1 billion in aggregate of Class A and Class B common stock. The filing includes daily transaction disclosures provided to the Australian Securities Exchange (ASX) as required by ASX rules. The company reaffirms its intent to repurchase shares from time to time, subject to market conditions and other factors.

• · The repurchase program covers both Class A (NWSA) and Class B (NWS) common stock, each with a par value of $0.01 per share.
• · The company is required to provide daily transaction disclosures to the ASX under ASX rules.
• · The filing includes forward-looking statements regarding the company's intent to repurchase shares, subject to market price changes, general market conditions, securities laws, and alternative investment opportunities.
• · The report was signed by Michael L. Bunder, Senior Vice President, Deputy General Counsel and Corporate Secretary.

21-05-2026

All In FutureTech Alliance, Inc. (formerly Allied Gaming & Entertainment Inc.) filed a definitive proxy statement (DEF 14A) for a special meeting of stockholders to be held virtually on June 1, 2026. The sole proposal is to approve a reverse stock split of common stock at a ratio ranging from 1-for-2 to 1-for-25, with the exact ratio and timing to be determined by the board of directors. As of the record date (May 14, 2026), there were 37,016,657 shares outstanding. The board recommends voting FOR the proposal.

• · Special meeting will be held virtually on June 1, 2026 at 10 a.m. Eastern Time at www.virtualshareholdermeeting.com/AGAE2026SM2.
• · Stockholders of record as of May 14, 2026 are entitled to vote.
• · Online check-in begins at 9:30 a.m. Eastern Time on meeting date.
• · Reverse split ratio range: 1-for-2 to 1-for-25, with board discretion on exact ratio and timing.
• · Proxy materials first mailed on or about May 21, 2026.
• · Brokers will lack discretionary authority to vote on this non-routine proposal if instructions are not received.
• · If no specific choices are made on a proxy, shares will be voted as recommended by the board (FOR).
• · No other matters are expected to be brought before the meeting.

21-05-2026

e.l.f. Beauty, Inc. reported a strong 24.6% YoY net sales increase to $1,636.5M for fiscal year 2026, with solid cash flow from operations of $212.5M. However, net income declined sharply by 76.5% to $26.3M due to a $57.6M non-cash charge from the change in fair value of contingent consideration, significant SG&A expense growth, and higher interest expense, resulting in a net profit margin compression from 9% to 2%.

• · Gross profit margin remained stable at 71% for all three fiscal years (2024-2026).
• · Interest expense more than doubled to $35.3M in fiscal 2026 from $13.8M in fiscal 2025.
• · Total assets nearly doubled to $2.39B from $1.25B, driven by goodwill ($853.5M) and intangible assets ($553.1M) from acquisitions.
• · Long-term debt increased to $809.3M from $256.7M, reflecting acquisition financing.
• · Total stockholders' equity rose to $1.13B from $760.9M, while accumulated deficit improved to $(155.9M) from $(182.2M).
• · Cash and cash equivalents increased to $289.7M from $148.7M.
• · Basic weighted average shares outstanding increased to 58.3M from 56.2M (3.7% dilution).
• · A $57.6M non-cash charge was recorded due to change in fair value of contingent consideration; this was not present in prior periods.

21-05-2026

Brainstorm Cell Therapeutics Inc. filed an S-1 registration statement on May 21, 2026, for a proposed public offering of securities to be sold by selling stockholders on a delayed or continuous basis. The company, a clinical-stage biotechnology firm focused on cellular therapies, reported a net loss of $22.589 million for the year ended December 31, 2025, compared to a net loss of $22.589 million in 2024, indicating flat performance. The filing also details significant financing activities, including convertible notes and short-term loans, and highlights the company's need for additional capital to fund operations.

• · The company is a smaller reporting company and a non-accelerated filer.
• · The registration statement is subject to completion and dated May 2, 2026.
• · The offering involves selling stockholders and may be conducted on a delayed or continuous basis under Rule 415.
• · The filing includes details of convertible promissory notes issued in October and November 2025, and subsequent events in January and May 2026.
• · The company has a history of net losses and expects to continue incurring losses.

21-05-2026

John Deere Capital Corporation reported Q2 FY2026 net income of $151M, up 22% YoY from $124M, driven by favorable financing spreads and lower credit provisions. However, revenue declined 2% to $1,167M and the ending portfolio balance fell 3% to $56,082M, reflecting a lower average portfolio.

• · Net income improvement was driven by favorable financing spreads, a lower provision for credit losses, and favorable derivative valuation adjustments.
• · The revenue decline was partially offset by the impact of a lower average portfolio.
• · The filing also includes a press release and earnings presentation from parent company Deere & Company (Exhibits 99.1 and 99.2).

21-05-2026

Shoe Carnival reported mixed Q1 2026 results with net sales declining 2.5% YoY to $270.7M (from $277.7M) and GAAP net loss of $(5.6)M or $(0.21) per diluted share, driven by $13.6M in pretax charges for CEO transition and strategic review. However, adjusted EPS of $0.23 met consensus expectations, cash and marketable securities rose 39% to $129.3M, and the company remains debt-free. Both banners saw sales declines — Shoe Carnival down 2.2% (comparable sales -1.7%) and Shoe Station down 3.1% (comparable sales -2.9%) — though the Shoe Carnival banner's decline improved meaningfully from mid-to-high single-digit drops in Fiscal 2025.

• · Pretax charges totaled $13.6M ($5.3M CEO Transition + $8.3M strategic review including impairment of store locations and write-offs of rebanner-related and corporate fixed assets).
• · GAAP effective tax rate was (11.2)% vs 28.1% in prior year, impacted by $1.6M in nondeductible CEO severance payments.
• · Adjusted SG&A (non-GAAP) decreased $1.3M YoY after excluding the $13.6M non-recurring charges.
• · Cash flow from operations increased $32.7M and capital expenditures declined $2.9M in Q1 2026 vs Q1 2025.
• · Company expects inventory declines of $50M to $65M by end of Fiscal 2026 vs end of Fiscal 2025.
• · Fiscal 2026 guidance: Net sales $1.125B-$1.147B (flat YoY), Adjusted EPS $1.40-$1.60, gross profit margin ~34% (260 bps compression), adjusted SG&A reductions of $12M-$14M, adjusted tax rate ~26%.
• · Company ended Q1 2026 debt-free, marking 21st consecutive fiscal year with no debt.
• · Annual Shareholder Meeting scheduled for June 10, 2026 at 11:00 a.m. Eastern Time.
• · The Company's board completed a strategic review concluding to operate both Shoe Carnival and Shoe Station banners as permanent, independent portfolio components rather than rebannering all locations.

21-05-2026

AvalonBay Communities, Inc. and Equity Residential announced a definitive merger agreement dated May 20, 2026, under which AvalonBay will combine with Equity Residential in a stock-for-stock transaction. The combined company is expected to create a leading multifamily REIT with significant scale and operational synergies. However, the transaction is subject to stockholder approvals, regulatory clearances, and other customary closing conditions, and there is no guarantee that the merger will be completed on the proposed timeline or at all.

• · The merger agreement was signed on May 20, 2026, and the joint press release and investor presentation were issued on May 21, 2026.
• · Equity Residential will file a registration statement on Form S-4 containing a joint proxy statement/prospectus for stockholder votes.
• · The transaction is subject to risks including failure to obtain required stockholder approvals, integration difficulties, and potential litigation.
• · AvalonBay and Equity Residential have each filed their 2025 Annual Reports on Form 10-K and 2026 proxy statements, which contain information about directors and executive officers who may be participants in the solicitation.

21-05-2026

On May 15, 2026, Cognizant Technology Solutions Corp. borrowed $1 billion under its revolving credit facility, with funding on May 20, 2026. The borrowing was made under the Credit Agreement dated October 6, 2022, as amended, with JPMorgan Chase Bank as administrative agent. No prior-period comparison or performance metrics are provided in this filing.

• · The borrowing was funded on May 20, 2026.
• · The Credit Agreement was originally dated October 6, 2022 and amended on April 18, 2024.
• · The filing does not disclose the purpose of the borrowing or any repayment terms.