S&P 500 Financials Sector SEC Filings — July 15, 2026

15-07-2026

Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. filed its quarterly 13F-HR for the period ending June 30, 2026, disclosing a portfolio of 158 equity holdings with a total market value of approximately $32.7 billion. The filing shows a diversified portfolio heavily weighted toward mega-cap U.S. technology and financial stocks, with top holdings including NVIDIA Corporation ($7.14M shares), Apple Inc. ($11.08M shares), and Microsoft Corporation ($2.57M shares). The filing does not provide period-over-period comparisons, so no growth or decline metrics are available.

• · The filing was signed by Hidetoshi Fuwa, Chief Manager of Corporate Planning Division, on July 14, 2026.
• · The portfolio includes 158 equity positions with a total market value of $32,709,549,000 (in thousands).
• · Top holdings by share count include NVIDIA Corporation (7,140,000 shares), Apple Inc. (11,082,583 shares), Microsoft Corporation (2,567,000 shares), Amazon.com Inc. (2,345,000 shares), and Alphabet Inc. (2,160,300 shares).
• · The filing also includes holdings in SPDR Gold Trust (2,260,000 shares) and Invesco QQQ Trust (1,590,000 shares).
• · No period-over-period comparisons are available as this is a snapshot filing.

15-07-2026

T. Rowe Price Active Crypto ETF (TKNZ) disclosed the entry into two material agreements to facilitate spot crypto trading. The Sponsor entered a Digital Asset Trading Agreement with StoneX Digital LLC and a Liquidity Provider Agreement with Virtu Financial Singapore Pte. Ltd., both dated June 12, 2026 and May 15, 2026 respectively. The filings detail standard liability limitations and indemnification provisions but contain no financial figures, performance metrics, or period-over-period comparisons.

• · The Fund's eligible crypto assets include BTC, ETH, SOL, XRP, ADA, AVAX, LTC, DOT, DOGE, HBAR, BCH, LINK, XLM, SHIB, SUI, HYPE, and BNB.
• · The Digital Asset Trading Agreement with StoneX was dated June 12, 2026; the Liquidity Provider Agreement with Virtu Financial Singapore was dated May 15, 2026.
• · Both agreements allow spot purchase/sale transactions on a principal-to-principal basis and continue until terminated in writing by either party.
• · Under the StoneX agreement, StoneX has no liability for third-party acts/omissions, system failures, or consequential damages except those caused by its gross negligence or willful misconduct.
• · Under the Virtu agreement, VFS has no liability for third-party acts/omissions or system failures not maintained by VFS.
• · Each agreement contains mutual indemnification provisions covering breaches, legal violations, and reliance on instructions, which survive termination.
• · The Fund is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.

15-07-2026

BlackRock reported strong Q2 2026 results, with diluted EPS of $12.19 ($13.91 as adjusted) on record AUM of $15.3 trillion, driven by $192 billion in net inflows and 31% YoY revenue growth. However, net income declined sequentially from Q1 2026 ($2,212M vs $1,914M) and nonoperating income fell sharply YoY ($258M vs $521M), partially offsetting the strong operating performance.

• · iShares crossed $6 trillion in AUM, roughly doubling over three years.
• · Active franchise saw $53 billion net inflows; systematic strategies drove equity net inflows and a record $7 billion into liquid alternatives.
• · Operating margin (GAAP) improved to 34.7% from 31.9% YoY, but dropped sequentially from 42.0% in Q1 2026.
• · Adjusted operating margin was 45.9% — highest in almost five years — compared to 43.3% in Q2 2025 and 44.5% in Q1 2026.
• · Cash dividends declared and paid per share increased to $5.73 from $5.21 YoY.
• · Diluted share count rose 5.3% YoY to 164.6 million (from 156.3 million), partly due to Subco Units from the HPS Transaction.
• · APAC long-term net outflows of $8 billion, similar to Q2 2025.
• · Institutional long-term net inflows were only $2.3 billion in Q2 2026 compared to $199.1 billion total long-term net inflows, reflecting heavy ETF-driven flows.

15-07-2026

PNC reported record revenue of $6.9B in Q2 2026, up 12% QoQ and 21% YoY, driven by strong net interest income and fee income growth. Net income rose to $2.1B ($4.81 diluted EPS, or $4.85 adjusted), compared to $1.8B in Q1 2026 and $1.6B in Q2 2025. However, noninterest expense increased 9% QoQ to $4.1B, including $261M of integration costs and significant items, and the CET1 capital ratio declined to 9.9% from 10.1% in Q1 2026.

• · Record revenue, net interest income, and fee income in Q2 2026.
• · Average commercial loans increased $13.0B (5% QoQ), while average consumer loans declined $0.7B (1% QoQ).
• · Net loan charge-offs decreased to $226M from $253M in Q1 2026.
• · Delinquencies fell 8% QoQ to $1.4B; nonperforming loans fell 10% QoQ to $2.0B.
• · Allowance for credit losses to total loans improved to 1.48% from 1.52%.
• · Average LCR was 106%, exceeding regulatory minimum.
• · Share repurchases in Q3 2026 expected to approximate Q2 2026 levels.
• · Effective tax rate increased to 20.5% from 19.0% in Q1 2026.
• · Visa Class B-3 derivative fair value adjustments resulted in a negative $85M impact.
• · FirstBank conversion completed on June 22, 2026, with full quarter benefit in Q2 2026.

15-07-2026

American Express disclosed preliminary delinquency and write-off statistics for its U.S. Consumer and U.S. Small Business card portfolios for the months ended June 30, May 31, and April 30, 2026, and the three months ended June 30, 2026. Total card balances held for investment were $159.7 billion as of June 30, 2026, down slightly from $160.5 billion in May. Net write-off rates improved month-over-month in June for both segments, but the improvement was partly due to a one-time sale of previously written-off balances to a third party, which reduced the U.S. Consumer net write-off rate by 0.3% and the U.S. Small Business rate by 0.1%.

• · The net write-off rate improvement in June 2026 was partly due to a sale of previously written-off balances to a third party, which reduced the U.S. Consumer rate by 0.3% and the U.S. Small Business rate by 0.1%.
• · U.S. Consumer 30+ days past due as a % of total remained flat at 1.1% in June and May, down from 1.2% in April.
• · U.S. Small Business 30+ days past due as a % of total remained flat at 1.4% in June and May, down from 1.5% in April.
• · Lending Trust defaulted amount was $0.04 billion ($40 million) for each of the three months ended June 30, 2026.
• · Lending Trust total 30+ days delinquent was $0.2 billion ($200 million) for each of the three months.

15-07-2026

President and CEO Griffith Susan Patricia gifted 6,043 Common. Griffith Susan Patricia holds 485,437.547 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · President and CEO Griffith Susan Patricia gifted 6,043 Common

15-07-2026

Visa Inc. filed an 8-K on July 15, 2026, announcing amendments to its Amended and Restated Bylaws, effective July 14, 2026. The amendments primarily update procedural rules for stockholder meetings, including notice periods, special meeting requisition thresholds (requiring 15% voting power of Class A Common Stock held continuously for at least one year), and nomination procedures. The changes are routine governance updates with no immediate financial impact.

• · The amended bylaws require stockholders seeking to call a special meeting to own at least 15% of the voting power of Class A Common Stock continuously for at least one year.
• · Notice of stockholder meetings must be given between 10 and 60 calendar days before the meeting.
• · Special meeting requests are invalid if a similar item was presented within the prior 12 months or if the request is made within 120 days before the first anniversary of the prior annual meeting.
• · The amendments also update procedures for stockholder nominations and business proposals at annual meetings.

15-07-2026

On July 14, 2026, Warren Buffett converted 8,000 Class A shares into 12 million Class B shares and donated 9 million Class B shares to the Susan Thompson Buffett Foundation and 1 million Class B shares each to the Sherwood Foundation, the Howard G. Buffett Foundation, and the NoVo Foundation. Following these transactions, Buffett retains 188,290 Class A shares (38.2% of Class A outstanding) and 1,162 Class B shares, representing 29.7% of aggregate voting power and 13.2% of economic interest. The donations reduce his economic stake but maintain significant voting control.

• · The conversion and donations occurred on July 14, 2026.
• · Buffett's Class A holdings decreased from 196,290 shares (pre-conversion) to 188,290 shares.
• · The Susan Thompson Buffett Foundation received the largest donation: 9 million Class B shares.
• · Each of the Sherwood Foundation, Howard G. Buffett Foundation, and NoVo Foundation received 1 million Class B shares.
• · Buffett retains sole voting and dispositive power over all his remaining shares.

15-07-2026

President & CTO, MA Tech McLaughlin Edward Grunde exercised/converted 19,800 Class A Common Stock at $227.25 (~$4.5M). 10 transactions reported in total. McLaughlin Edward Grunde holds 38,739.396 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · President & CTO, MA Tech McLaughlin Edward Grunde exercised/converted 19,800 Class A Common Stock at $227.25 (~$4.5M)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 1,903 Class A Common Stock at $529.45 (~$1.01M)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 1,108 Class A Common Stock at $530.67 (~$588K)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 160 Class A Common Stock at $531.63 (~$85.1K)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 3,440 Class A Common Stock at $533.75 (~$1.84M)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 6,159 Class A Common Stock at $534.66 (~$3.29M)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 2,510 Class A Common Stock at $536.95 (~$1.35M)
• · President & CTO, MA Tech McLaughlin Edward Grunde sold 3,431 Class A Common Stock at $538.09 (~$1.85M)

15-07-2026

Morgan Stanley reported record net revenues of $21.3 billion for Q2 2026, up 27% from $16.8 billion a year ago, and EPS of $3.46, up 62% from $2.13. The firm delivered a record ROTCE of 26.6% and a pre-tax margin of 30.5% in Wealth Management. However, the Standardized CET1 capital ratio declined slightly to 14.8% from 15.0% a year ago, and the Tier 1 leverage ratio fell to 6.0% from 6.8%.

• · Wealth Management pre-tax margin was 30.5%.
• · Institutional Securities reported record net revenues of $11.0 billion.
• · Equity net revenues were a record, up 69% YoY.
• · Fixed Income net revenues increased 13% YoY.
• · Investment Banking net revenues up 58% YoY, driven by advisory (+57%), equity underwriting (+70%), and fixed income underwriting (+48%).
• · Wealth Management net new assets were $148.1 billion, more than double the $59.2 billion a year ago.
• · Investment Management long-term net flows declined to $7.5 billion from $12.2 billion a year ago.
• · Wealth Management fee-based asset flows declined to $39.1 billion from $42.8 billion a year ago.
• · Standardized CET1 capital ratio decreased to 14.8% from 15.0%.
• · Tier 1 leverage ratio decreased to 6.0% from 6.8%.
• · SLR decreased to 4.9% from 5.5%.
• · Effective tax rate increased to 23.1% from 22.7%.
• · The Board declared a quarterly dividend of $1.15 per share, an increase of 15 cents.
• · The firm repurchased $1.5 billion of common stock during the quarter.