S&P 500 Healthcare Sector SEC Filings — May 11, 2026

11-05-2026

11-05-2026

Moderna, Inc. filed an 8-K on May 11, 2026, disclosing Amendment No. 1 to its Second Amended and Restated By-laws, effective May 6, 2026. The amendment designates the Delaware Court of Chancery as the sole and exclusive forum for specific state law claims (e.g., derivative actions, fiduciary duty breaches, DGCL claims, internal affairs doctrine) and federal district courts for Securities Act of 1933 claims, unless the Corporation consents otherwise in writing. This governance update applies to Article VI, Section 8, with stockholders deemed to have notice and consent upon acquiring shares.

11-05-2026

Mitsubishi UFJ Financial Group, Inc. (MUFG) filed a 13F-HR on May 11, 2026, reporting institutional holdings as of March 31, 2026, on behalf of itself and subsidiaries like Mitsubishi UFJ Trust and Banking Corporation. Key disclosure includes sole ownership of 377,085,167 shares of Morgan Stanley common stock valued at $62,056,905,933. No changes in holdings or prior period comparisons were detailed in the filing.

• · Filing covers multiple MUFG operating subsidiaries as institutional investment managers under Section 13(f).
• · MUFG itself does not directly exercise investment discretion except as included in this form.

11-05-2026

Circle reported Q1 2026 total revenue and reserve income of $694 million, up 20% YoY, driven by 28% growth in USDC circulation to $77.0 billion and 263% surge in onchain transaction volume to $21.5 trillion, alongside Adjusted EBITDA of $151 million (+24%). However, net income from continuing operations declined 15% to $55 million due to 76% higher operating expenses from stock-based compensation, while stablecoin market share slipped 62bps to 28%. The company also completed a $222 million ARC Token presale at a $3 billion fully diluted valuation from top investors.

• · Reserve Income $653M (+17% YoY), Other Revenue $42M (+$21M YoY)
• · Operating Expenses $242M (+76% YoY), Adjusted Operating Expenses $136M (+32% YoY)
• · USDC average circulation $75.2B (+39% YoY), USDC on Platform average 17.2% (+1,149bps YoY)
• · FY 2026 guidance: Other Revenue $150-$170M, RLDC Margin 38-40%, Adjusted OpEx $570-$585M, USDC multi-year 40% CAGR
• · USDC on Platform end of period $13.7B (+254% YoY)

11-05-2026

News Corporation disclosed updates to the Australian Securities Exchange (ASX) regarding its ongoing $1 billion stock repurchase program for Class A and Class B common stock, as required under ASX rules, with details provided in Exhibits 99.1 and 99.2. The filing reiterates the program's authorization without specifying recent transaction volumes. Forward-looking statements note potential repurchases subject to market conditions and other factors.

• · Filing reports events from May 8, 2026.
• · Securities: Class A Common Stock (NWSA, par value $0.01), Class B Common Stock (NWS, par value $0.01).

11-05-2026

ACRES Commercial Realty Corp. has issued a proxy statement for its annual stockholder meeting on June 22, 2026, seeking approval to elect nine directors, approve a non-binding say-on-pay resolution, ratify PricewaterhouseCoopers LLP as auditors for FY 2026, issue approximately 7,487,219 shares of common stock (significant dilution relative to 7,131,101 shares outstanding as of April 8, 2026 record date) for the internalization merger with ACRES Capital Corp. per the April 29, 2026 Merger Agreement, and adopt the 2026 Omnibus Equity Incentive Plan. The internalization aims to bring management in-house, potentially aligning interests, but involves substantial share issuance that dilutes existing shareholders. An adjournment proposal allows additional proxy solicitation if needed.

• · Annual meeting to be held virtually at www.virtualshareholdermeeting.com/ACRES2026 on June 22, 2026 at 11:00 a.m. Eastern Time
• · Record date: April 8, 2026
• · Merger Agreement dated April 29, 2026
• · Proxy materials notice mailed on or about May 11, 2026

11-05-2026

Sally Beauty Holdings reported Q2 FY2026 consolidated net sales of $903 million, up 2.3% YoY, driven by 1.3% comparable sales growth and 13% increase in global e-commerce to $108 million; however, Beauty Systems Group net sales declined 0.1% YoY with comparable sales down 0.3%. GAAP diluted EPS rose 13% to $0.43 (adjusted +5% to $0.44), supported by 70 bps gross margin expansion to 52.7% and $73 million cash flow from operations, while Sally Beauty operating margin contracted 40 bps to 15.0%. The company tightened FY2026 net sales guidance to $3.725-3.750 billion and expects Q3 comparable sales approximately flat.

• · Net debt leverage ratio of 1.5x as of Q2 FY2026 end.
• · Six months FY2026 consolidated net sales $1,847 million, up 1.4% YoY.
• · Q3 FY2026 guidance: net sales $932-942 million, adjusted operating earnings $83-89 million, adjusted diluted EPS $0.52-0.56.
• · FY2026 capital expenditures approximately $100 million, free cash flow approximately $200 million.

11-05-2026

MBX Biosciences announced initial Phase 1 data for MBX 4291 showing dose-proportional PK supportive of once-monthly dosing, with preliminary mean weight loss of 7% (range 0-16%) at eight weeks and good tolerability. The company nominated MBX 5765 as its lead amycretin prodrug candidate with IND-enabling studies starting Q2 2026, and plans to nominate a triple-agonist candidate in Q3 2026. While achieving POC in PBH with imapextide (glucose nadir increases up to 34%, insulin peak decreases up to 45%), MBX will not advance it further to focus on its obesity pipeline and hypoparathyroidism candidate canvuparatide.

• · Phase 1 SAD Part A: doses 15 mg to 180 mg; four cohorts completed, 120 mg ongoing; Tmax ~13-14 days.
• · MAD Part B Cohort 1: 30 mg qw x4 + 120 mg; T1/2Cmax ~26 days.
• · 12-week MAD Part C data on track for Q4 2026.
• · IND-enabling studies for MBX 5765 to begin Q2 2026; triple-agonist nomination Q3 2026.
• · Obesity Day event held May 11, 2026 at 10:30 a.m. ET.

11-05-2026

Thermo Fisher Scientific Inc. issued supplemental proxy materials supporting Proposal 2, an advisory vote on executive compensation, highlighting 2025 pay outcomes below target—including a PRSU cycle payout at 0% for the CEO and most NEOs—due to performance shortfalls against original targets amid macroeconomic challenges. The materials defend a 2025 one-time CEO retention grant tied to relative TSR vs. S&P 500 with long-term vesting and absolute TSR protections, alongside 2026 program enhancements like shifting PRSUs to 50% of LTI and S&P 500 benchmarking. These changes respond to shareholder feedback following the 2025 say-on-pay vote.

• · 2025 annual incentive plan and 2025 PRSU program paid out below target.
• · 2024 TSR options have delivered no value as performance conditions not achieved.
• · CEO retention grant approved May 2025: cliff vests after 5 years, shares delivered in three tranches 2033-2035, payout contingent on relative TSR vs. S&P 500, capped at target if absolute TSR negative.
• · Annual shareholder meeting scheduled for May 20, 2026; original proxy filed April 7, 2026.

11-05-2026

Ellington Financial Inc. announced on May 7, 2026, that its Board of Directors declared a monthly dividend of $0.13 per share on its common stock. The dividend is payable on June 30, 2026, to stockholders of record as of May 29, 2026. No other financial metrics or comparisons were provided in the filing.

• · Securities registered: Common Stock (EFC), 6.250% Series B Preferred Stock (EFC PR B), 8.625% Series C Preferred Stock (EFC PR C), 7.00% Series D Preferred Stock (EFC PRD), all on NYSE
• · Filing submitted on May 11, 2026, with Exhibit 99.1 (press release)

11-05-2026

Cincinnati Financial Corp filed its 13F-HR on May 11, 2026, reporting equity holdings as of March 31, 2026, across 55 positions totaling $4,963,602,014 with sole investment discretion and voting authority. Top holdings include Apple ($709,854,691 for 2,797,016 shares), Broadcom ($446,826,897 for 1,443,659 shares), CME Group ($295,940,700 for 1,002,000 shares), Cisco Systems ($197,582,935 for 2,546,500 shares), and Microsoft ($181,808,996 for 491,150 shares). The portfolio features no shared discretion positions or performance comparisons to prior periods.

• · All 55 positions held with sole investment discretion (SH SOLE) and sole voting authority.
• · No put/call options, shared discretion, or other manager holdings reported.
• · Signed by Steven A. Soloria on May 6, 2026, from Fairfield, OH.

11-05-2026

Mattson Financial Services, LLC filed its 13F-HR on May 11, 2026, disclosing 232 equity positions held solely as of March 31, 2026, with a total market value of $418,778,680. Top holdings include NVIDIA Corporation at $12,048,512, Microsoft Corp at $10,578,644, Amazon.com Inc at $11,802,036, Alphabet Inc (Class C) at $10,360,860, and Broadcom Inc at $5,219,267. No changes from prior periods or performance metrics are detailed in the filing.

• · All 232 positions held with sole voting and investment discretion.
• · Filer CIK: 0002034595, based in Kentwood, MI.
• · No other investment authority categories (shared, none) reported.

11-05-2026

Cincinnati Insurance Co filed its 13F-HR on May 11, 2026, reporting equity holdings as of March 31, 2026, totaling 6617566557 USD across 63 positions. The portfolio features top holdings in JPMorgan Chase (444825516 USD), Microsoft (438280169 USD), and Lam Research (434748958 USD), with additional significant stakes in Cummins (312643422 USD) and AbbVie (305616948 USD). No changes or performance metrics were disclosed in this routine quarterly snapshot.

• · Report filed by Cincinnati Insurance Co, EIN 310542366, based in Fairfield, OH
• · Investment discretion: sole (01) for all listed positions
• · No put/call options reported

11-05-2026

Cincinnati Specialty Underwriters Insurance CO filed its 13F-HR on May 11, 2026, disclosing institutional holdings totaling $411648678 across 46 positions as of March 31, 2026. Top positions include Apple ($64229173, 253080 shares), Broadcom ($56413769, 182268 shares), and Enbridge ($24019969, 443664 shares), with no indications of changes in share counts or voting authority from the reported format. The portfolio remains diversified across sectors including technology, energy, and financials.

• · Filing covers period ending 03-31-2026 with all positions reported under sole investment discretion (01) and matching sole voting authority.
• · Additional notable holdings: Microchip Technology (115000 shares, $7430150), Regions Financial (153033 shares, $3997222), Mondelēz International (104700 shares, $6034908)

11-05-2026

Cincinnati Indemnity Co filed a 13F-HR report disclosing its equity holdings as of March 31, 2026, totaling $40,253,781 across 11 positions. The portfolio features no reported changes from prior periods in this filing, with top holdings including Automatic Data Processing ($9,772,958 for 48,100 shares), Johnson & Johnson ($6,111,000 for 25,000 shares), and Dover ($6,045,050 for 29,000 shares). The report was signed by Steven A. Soloria, Chief Investment Officer, on May 6, 2026.

• · Filing submitted on May 11, 2026, for period ending March 31, 2026
• · Company address: 6200 South Gilmore Road, Fairfield, OH 45014
• · All positions reported as 'SH OTR' with no indicated changes (put/call = 0, buy/sell = 0)

11-05-2026

Cincinnati Casualty Co filed its 13F-HR on May 11, 2026, disclosing institutional equity holdings as of March 31, 2026, across 24 positions with a total market value of $191,468,202. Largest holdings by value include Microsoft ($29,613,600 for 80,000 shares), Cummins ($24,748,920 for 46,000 shares), and Dover ($18,760,500 for 90,000 shares). The portfolio features diversified exposure to sectors like technology, industrials, energy, and financials, with no prior period data provided for comparisons.

• · Report period end date: 03-31-2026
• · Filing date: 05-11-2026
• · Filer CIK: 0001279888
• · Filer address: 6200 South Gilmore Road, Fairfield, OH 45014
• · Filer phone: 513-870-2000
• · SEC file number: 028-10755

11-05-2026

BioScience Health Innovations, Inc. (BHIC) reported Q1 2026 revenues of $750,946, down 38.8% YoY from $1,227,070, leading to a gross profit decline of 45.8% to $485,596 and a net loss of $(229,907) versus net income of $426,798 in Q1 2025, driven by sharply higher operating expenses of $715,503 (up 52.5% YoY). However, cash and cash equivalents rose 73.0% QoQ to $1,145,005 from $661,925, bolstered by $1,035,187 in financing inflows including $437,067 from common stock sales, while total assets increased 36.6% QoQ to $2,330,239 and stockholders' equity grew 13.9% to $1,684,490. Operating cash flow swung to a use of $552,107 from prior-year provision of $328,309 amid inventory buildup.

• · Accounts receivable decreased 80.4% QoQ to $78,278 from $399,257.
• · Inventory increased 160.0% QoQ to $874,340 from $336,348.
• · Weighted average common shares basic decreased to 11,376,802 from 43,916,221 YoY.

11-05-2026

Revelation Biosciences, Inc. will hold its 2026 Annual Meeting of Stockholders virtually on June 24, 2026 at 12:00 p.m. ET, with a record date of April 30, 2026, for shareholders of record holding 3,908,420 shares of common stock, requiring a quorum of 1,302,807 shares. The meeting includes votes to elect one Class A director for a term until the 2029 annual meeting, authorize the board to implement reverse stock splits at ratios from 1-for-2 to 1-for-250 within one year, and ratify Baker Tilly US, LLP as independent auditor for the fiscal year ending December 31, 2026. No financial performance metrics or period-over-period comparisons are provided in the filing.

• · Annual Meeting accessible via Zoom link https://bit.ly/493ANOw or phone (305) 224-1968 with Meeting ID 818 8892 9912 and Passcode 107511.
• · Proxy materials available at https://revbproxy.com/2026-annual-meeting.
• · Board recommends voting FOR all three proposals.

11-05-2026

CIGNA INVESTMENTS INC /NEW filed its 13F-HR on May 11, 2026, disclosing equity holdings as of March 31, 2026, totaling $649.661 million across 457 positions with all voting authority shared. Top holdings include Apple Inc. (137,777 shares valued at $34.966 million), Amazon.com Inc. (91,482 shares at $19.053 million), and Alphabet Inc. Class C (55,380 shares at $15.925 million), reflecting a technology-heavy portfolio. Other notable positions feature Berkshire Hathaway Inc. ($8.107 million), Eli Lilly & Co. ($7.028 million), and Exxon Mobil Corp. ($6.830 million), with no changes or performance metrics reported.

• · Report period end date: March 31, 2026
• · Filing date: May 11, 2026
• · All positions report shared voting authority (sole: 0, none: 0)
• · Investment discretion: DFND with codes 1,4 across holdings

11-05-2026

Citigroup Inc filed its Form 13F-HR on May 11, 2026, reporting institutional holdings as of March 31, 2026, managed across 10 subsidiaries including Citibank, N.A. and Citigroup Global Markets Inc. The portfolio encompasses diverse securities such as common stocks, ETFs, calls, and puts in sectors like healthcare, technology, and telecom, with no indicated changes (all positions reported as DFND with 0 0 deltas). Notable large positions include AbbVie Inc valued at $270.02B, Abbott Laboratories at $123.14B, and AT&T Inc at $121.16B, reflecting a stable snapshot of managed assets.

• · All reported positions designated DFND with 0 0 indicating no changes from prior quarter
• · Includes derivative positions such as SH Call and SH Put in Abbott Laboratories, AbbVie, AT&T Inc, and others
• · Filer CIK: 0000831001, SEC file number: 028-02427

11-05-2026

Fiduciary Group, LLC, an investment manager, filed its 13F-HR reporting total holdings valued at $1,170,973,864 across 297 positions as of March 31, 2026. Top holdings include Apple Inc. ($55,995,523, 220,637 shares), Alphabet Inc. Cap Stk Cl C ($46,249,580, 161,227 shares), Microsoft Corp. ($33,350,355, 90,095 shares), JPMorgan Chase & Co. ($25,785,183, 87,657 shares), and Amazon.com Inc. ($22,275,668, 106,956 shares). The portfolio is heavily weighted toward technology stocks and various ETFs, with no prior period comparison available in this filing.

• · Filing date: May 11, 2026
• · Report period end: March 31, 2026
• · SEC file number: 028-16953
• · Filer CIK: 0001645890
• · Business address: PO Box 13688, Savannah, GA 31416

11-05-2026

Plutus Financial Group Ltd's total revenues for the year ended December 31, 2025 were HK$10,439 thousand (US$1,341 thousand), marking a 7% YoY increase from HK$9,748 thousand in 2024 but a sharp 55% decline from HK$21,939 thousand in 2023 following the loss of underwriting fees. Net loss expanded significantly to HK$39,353 thousand (US$5,059 thousand) in 2025 from HK$5,523 thousand in 2024, driven by soaring expenses including legal and professional fees of HK$16,352 thousand, while total assets grew 66% to HK$119,252 thousand. Operating cash flow deteriorated to a use of HK$80,146 thousand in 2025 amid flat to declining core brokerage revenues.

• · Securities brokerage commission flat at HK$2,117 thousand in 2025 vs HK$2,145 thousand in 2024 (down 40% from 2023).
• · Underwriting and placing services fee dropped to zero in 2024 and 2025 from HK$8,237 thousand in 2023.
• · Net cash used in operating activities worsened to HK$80,146 thousand in 2025 from HK$8,088 thousand in 2024.
• · Impairment on investment under equity method of HK$3,900 thousand in 2025.
• · Loans to customers increased to HK$56,250 thousand as of Dec 31, 2025 from HK$15,901 thousand in 2024.

11-05-2026

Convergence Financial, LLC filed its 13F-HR on May 11, 2026, reporting 276 equity positions totaling $943133613 as of March 31, 2026, with all holdings under sole voting power. The portfolio is heavily weighted toward ETFs, including multiple SPDR State Street funds with values exceeding $25M each (e.g., $45461904, $36061250), and technology stocks such as Microsoft Corp ($13695604), Meta Platforms Inc ($12511258), and Apple Inc ($9995734). No prior period data or changes are disclosed in this snapshot filing.

• · Filing period end date: March 31, 2026
• · All 276 positions reported with sole voting power, no shared power, puts, or calls
• · Business address: 3919 S Providence Rd, Columbia, MO 65203
• · Central Index Key: 0002034001

11-05-2026

Valpey Financial Services, LLC filed its 13F-HR report on May 11, 2026, for the quarter ended March 31, 2026, disclosing 75 holdings with a total portfolio value of $153719310. The portfolio is diversified across ETFs, with top positions including Vanguard Index Fds Value ETF at $8510704 (43377 shares), Vanguard Index Fds Growth ETF at $7496069 (17161 shares), and Schwab Strategic Tr US Lcap Gr ETF at $7015768 (240843 shares). Holdings also include individual stocks such as Microsoft Corp ($909217, 2456 shares) and Apple Inc ($839080, 3306 shares), all reported as sole discretionary positions.

• · All positions reported as SH SOLE with 0 shared voting authority, 0 shared shared discretion, and 0 other.
• · Filer CIK: 0002077991; SEC file number: 028-25663.
• · Business address: 100 N Main St #500, Concord, NH 03301.

11-05-2026

ICICI Prudential Asset Management Co Ltd disclosed 155 equity positions totaling $832558071 in its 13F-HR filing as of March 31, 2026. Top holdings by market value include NVIDIA Corporation ($25440251), Microsoft Corp ($24976480), Amazon.com Inc ($23668219), and Apple Inc ($22366766), with all positions held under sole voting power. No prior period data is available for comparison.

• · Filing submitted on May 11, 2026, for period ending March 31, 2026
• · All disclosed positions held with sole voting power (SH SOLE); no shared voting power reported

11-05-2026

Esquire Financial Holdings, Inc. reported Q1 2026 net income of $12,211 thousand, up 7.0% YoY from $11,407 thousand, supported by net interest income growth of 23.2% to $34,004 thousand and noninterest income up 5.0% to $6,455 thousand. Total assets increased 2.4% QoQ to $2,421,155 thousand, with loans net of allowance up 3.3% to $1,791,550 thousand and deposits up 2.0% to $2,102,568 thousand. However, noninterest expenses rose 23.3% YoY to $20,657 thousand due to $1,272 thousand in merger expenses and higher employee compensation, provision for credit losses doubled to $2,700 thousand, cash equivalents declined 5.8% QoQ to $222,221 thousand, and other comprehensive loss of $960 thousand led to comprehensive income of $11,251 thousand down from $14,011 thousand YoY.

• · Diluted EPS $1.40 in Q1 2026, up from $1.33 YoY.
• · Basic EPS $1.48 in Q1 2026, up from $1.43 YoY.
• · Cash dividends declared $0.20 per share in Q1 2026 vs $0.175 in Q1 2025.
• · Stockholders’ equity $301,267 thousand as of March 31, 2026, up 4.0% QoQ.

11-05-2026

Shepherd Financial Partners LLC filed its 13F-HR report disclosing 240 equity positions totaling exactly $1,054,156,048 as of March 31, 2026, with all holdings reported under sole discretionary voting power. Top holdings include Apple Inc. ($33,407,787; 131,636 shares), NVIDIA Corporation ($16,723,407; 95,891 shares), and Microsoft Corp. ($14,942,198; 40,366 shares), reflecting heavy exposure to technology stocks and various ETFs. No prior period data is provided in the filing for direct comparisons.

• · Filing date: May 11, 2026
• · Report period end: March 31, 2026
• · Firm address: 1004 Main Street, Winchester, MA 01890
• · All positions reported as SH SOLE (sole shared investment discretion)
• · Portfolio includes significant ETF allocations, such as 712,981 shares of SPDR S&P 500 ETF Trust ($40,340,472)

11-05-2026

Newport Capital Group, LLC disclosed 73 equity holdings totaling $164,098,207 as of March 31, 2026, in its 13F-HR filing submitted on May 11, 2026. The portfolio emphasizes diversified ETFs from iShares and Vanguard, with top positions including iShares Russell 1000 Growth ETF ($15,335,675), Vanguard Intermediate-Term Treasury ETF ($12,935,353), and Gallagher Arthur J & Co ($11,111,854). No changes in holdings or performance metrics were reported compared to prior periods.

• · Filing period end date: March 31, 2026
• · All holdings reported with sole voting power (SH SOLE)
• · Business address: 12 Broad Street, 5th Floor, Red Bank, NJ 07701
• · No put/call options or shared voting power reported

11-05-2026

New Age Alpha Advisors, LLC filed its 13F-HR on May 11, 2026, reporting $2,146,542,693 in holdings as of March 31, 2026, across 766 positions with no prior period comparisons provided in the filing. Top holdings are concentrated in technology, including Apple Inc. COM at $68,848,659 (271,282 shares), Amazon.com Inc. COM at $43,495,107 (208,840 shares), Broadcom Inc. COM at $43,319,948 (139,963 shares), Alphabet Inc. CAP STK CL A at $25,575,011 (88,938 shares), and Alphabet Inc. CAP STK CL C at $22,428,149 (78,185 shares). The disclosure provides a static snapshot of discretionary equity positions without performance metrics or changes highlighted.

• · Filer CIK: 0001764807
• · SEC file number: 028-23740
• · Business address: 555 Theodore Fremd Ave, Suite A-101, Rye, NY 10580
• · Fiscal year end: 1231
• · Report period end: 2026-03-31

11-05-2026

C&F Financial Corporation reported net income attributable to common shareholders of $6,747 thousand for Q1 2026, up 26% YoY from $5,368 thousand, with EPS of $2.08 versus $1.66; net interest income rose 11% YoY to $27,709 thousand while noninterest income increased 13% to $8,550 thousand. Total assets grew 1.6% QoQ to $2,813,748 thousand, driven by 2.3% higher deposits at $2,399,456 thousand and 1.0% loan growth to $2,035,387 thousand net. However, comprehensive income attributable fell to $5,336 thousand from $9,681 thousand due to a $1,411 thousand other comprehensive loss, provision for credit losses rose 20% YoY to $3,600 thousand, and operating cash flow used $7,572 thousand versus provided $3,211 thousand YoY.

• · Fair value measurements: Total securities AFS $470,619 thousand all Level 2; Rabbi trust assets $17,109 thousand Level 1.
• · Accumulated other comprehensive loss increased to $(12,577) thousand from $(11,166) thousand QoQ.
• · Shares repurchased: $614 thousand in Q1 2026 vs $426 thousand in Q1 2025.
• · Cash dividends declared: $0.48 per share ($1,560 thousand) in Q1 2026 vs $0.46 ($1,488 thousand) in Q1 2025.

11-05-2026

International City Management Association Retirement Corp filed its 13F-HR for the period ending March 31, 2026, disclosing total holdings of $195,210,254 across 6 ETFs, all held as sole ownership. Top positions include iShares Russell Mid-Cap ETF (702,067 shares, $68,261,974), iShares Core S&P 500 ETF (79,711 shares, $52,068,022), and Vanguard Short-Term Bond ETF (599,500 shares, $47,006,795). No prior period data or changes are reported in the filing.

11-05-2026

Montis Financial, LLC, an investment adviser based in Waltham, MA, filed its 13F-HR on May 11, 2026, disclosing total holdings valued at $483506877 as of March 31, 2026, across 150 positions, all with sole voting power. Top holdings include Professionally Managed Portfolios Akre Focus ETF (value $42702675), First Trust Exch Traded FD III Instl Pfd Secs (value $34519452), and Schwab Strategic TR US Dividend EQ (value $18260909). No changes or performance metrics are reported in this snapshot filing.

• · Filing period end date: March 31, 2026
• · Filer CIK: 0001844314
• · SEC file number: 028-20655
• · Business address: 230 Third Avenue, Waltham, MA 02451

11-05-2026

Partners in Financial Planning filed its 13F-HR on May 11, 2026, disclosing total equity holdings of $602944027 across 122 positions as of March 31, 2026, all under sole investment and voting discretion. The portfolio is diversified with heavy allocations to ETFs, including top holdings in Vanguard Total Bond Market ETF ($77069584), Vanguard Growth ETF ($59554422), Vanguard Total International Bond ETF ($59415941), and Vanguard FTSE Developed Markets ETF ($50589509). No prior period comparisons or changes in holdings are provided in the filing.

• · All 122 positions held with sole voting and investment discretion (SH SOLE)
• · No shared discretion or other managers reported
• · Portfolio includes significant allocations to Dimensional ETF Trust and iShares ETFs

11-05-2026

E-L Financial Corp Ltd filed its 13F-HR on May 11, 2026, reporting institutional equity holdings as of March 31, 2026, consisting of a single position. The firm holds 1266574 shares of Vanguard Index FDS S&P 500 ETF SHS (CUSIP 922908363) with sole investment discretion and voting authority, valued at $1036868284 thousand USD ($1.037 trillion total). No prior period data is provided in the filing for comparison.

• · SEC file number: 028-17898
• · 13F combination report
• · Business address: 165 University Ave, 10th Floor, Toronto A6 M5H3B8
• · Other managers referenced in filing

11-05-2026

Pacific Ridge Capital Partners, LLC filed its 13F-HR on May 11, 2026, disclosing 137 equity holdings valued at $461,835,410 as of March 31, 2026. Top positions include Northeast Bank ($14,330,996), Natural Gas Services Group Inc ($11,524,815), Metropolitan Bank Hld ($11,392,406), Heritage Insurance Hlds Inc ($10,653,825), and DHI Group ($10,197,847), primarily in financial services, insurance, and technology sectors. The firm reports sole investment discretion and predominant sole voting authority across positions, with no shared voting power.

• · Filing period end date: March 31, 2026
• · Firm address: 4900 Meadows Road, Suite 320, Lake Oswego, OR 97035
• · Sole voting authority predominant across all holdings; shared voting authority reported as 0 for all positions

11-05-2026

Treasure Coast Financial Planning, a Florida-based investment advisor, filed its 13F-HR report on May 11, 2026, for the quarter ended March 31, 2026, disclosing 48 equity holdings with a total market value of $194,272,878. The portfolio consists primarily of ETFs from providers like SPDR, First Trust, and iShares, alongside individual stocks such as Apple Inc. (4,456 shares), Exxon Mobil Corp. (9,399 shares), and Microsoft Corp. (917 shares). All positions are held solely, with no shared voting or investment discretion reported.

• · Report filed under SEC file number 028-22232 and CIK 0001911307.
• · Business address: 545 Beachland Blvd., Vero Beach, FL 32963.
• · Other notable holdings include NextEra Energy Inc. (2,200 shares), Walmart Inc. (4,800 shares), and Tesla Inc. (834 shares).

11-05-2026

Scheer, Rowlett & Associates Investment Management Ltd. filed a 13F-HR report disclosing 33 equity positions held as of March 31, 2026, with a total portfolio market value of $1390491657 USD, primarily consisting of Canadian-listed companies in financials, energy, mining, and telecom sectors. Largest holdings by value include Royal Bank of Canada ($168254448 USD), Toronto-Dominion Bank ($127639610 USD), Suncor Energy Inc ($89113491 USD), Barrick Gold Corp ($83647062 USD), and Bank of Montreal ($80785684 USD). All positions are held with sole investment discretion and voting authority.

• · All 33 holdings managed with sole investment discretion.
• · Report filed on May 11, 2026 for period ending March 31, 2026.
• · No put/call options or shared discretion reported.

11-05-2026

Grantvest Financial Group LLC filed its 13F-HR report on May 11, 2026, for the quarter ended March 31, 2026, disclosing a portfolio of 213 holdings with a total market value of $154488834. The portfolio consists primarily of ETFs from providers like BlackRock, NEOS, First Trust, and CalamOS, with notable positions including BlackRock ETF Trust II iShares Flexible at $30587199 (589008 shares sole), NEOS ETF Trust NEOS ENH INC 1-3 at $8334257 (167422 shares sole), and individual stocks such as Apple Inc at $2878645 (11343 shares sole) and Amazon.com Inc at $2392606 (11488 shares sole). No changes from prior periods are detailed in this filing.

• · Filing covers period ended 2026-03-31 with 213 positions reported as SH SOLE or SH DFND.
• · Address: 106 MAIN STREET, SUITE D, MATAWAN, NJ 07747.

11-05-2026

Garton & Associates Financial Advisors LLC filed its 13F-HR disclosing institutional holdings as of March 31, 2026, managing a portfolio valued at $122,232,919,000 USD across 149 positions, with heavy concentration in money market funds like Schwab Prime Advantage Money Investor (SWVXX) in multiple accounts totaling approximately $8B and Fidelity Capital & Income (FAGIX) at $3,735,021,000. Other significant holdings include Schwab Prime Advantage Money Ultra (SNAXX) at $1,258,832,000, Gentex Corp (GNTX) at $1,185,865,000, and various fixed income, equity mutual funds, and individual stocks. No prior period data is available in the filing for performance comparisons.

• · Filing date: May 11, 2026
• · Report period end date: March 31, 2026
• · Business address: 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222
• · Business phone: 5022123000
• · All positions reported as sole discretionary with no shared voting or disposition power

11-05-2026

Waddell & Associates, LLC reported total holdings of $1,772,614,110 across 451 positions in its 13F-HR filing for the period ended March 31, 2026. Top positions include FedEx Corp ($499,431,356 value, 1,402,188 shares), Apple Inc ($16,625,168 value, 65,508 shares), and Berkshire Hathaway Inc ($7,006,383 value, 14,621 shares). Quarter-over-quarter adjustments show minor increases in select holdings like Apple Inc (+439 shares, +0.7%) and Alphabet Inc Cl A (+84 shares, +0.6%), but significant declines such as Coherent Corp (-7,150 shares sold, -99.7% to 25 shares).

• · Filing submitted on May 11, 2026
• · Investment advisor CIK: 0001776757
• · Business address: 5188 Wheelis Drive, Memphis, TN 38117

11-05-2026

REAP Financial Group, LLC filed its Form 13F-HR on May 11, 2026, disclosing 533 equity positions held as of March 31, 2026, with a total market value of $506,700,418. All positions are reported with sole voting and investment discretion power. Notable top holdings include Apple Inc. ($6,127,950 for 24,146 shares), Exxon Mobil Corp. ($1,700,631 for 10,024 shares), and Alphabet Inc. Cap Stk Cl A ($1,153,578 for 4,012 shares).

• · Holdings period end date: March 31, 2026
• · All 533 positions held with sole voting power and no shared or none voting authority reported
• · Business address: 9414 Anderson Mill Road, Suite 100, Austin, TX 78729
• · Phone: 512-249-7300
• · SEC file number: 028-25420

11-05-2026

Inhibrx Biosciences announced positive interim Phase 2 data from the HexAgon study of INBRX-106 combined with pembrolizumab in first-line PD-L1+ (CPS ≥20) HNSCC, showing a confirmed ORR of 44.0% (11/25 evaluable patients) versus 21.4% (6/28) in the pembrolizumab control arm, including 3 complete responses versus none. The safety profile was manageable with no treatment-related deaths and predominantly low-grade adverse events. The company plans to initiate Phase 3 in Q3 2026, report PFS in Q4 2026, and expand into NSCLC settings, targeting a potential $50 billion market across checkpoint inhibitor indications.

• · Pharmacodynamic data showed up to 15-fold increase in peripheral CD8+ T-cell proliferation and up to 4-fold activation in combination arm vs up to 2.5-fold and 1.5-fold in control.
• · Most common treatment-related AEs: rash, diarrhea, fatigue, infusion-related reactions (predominantly low-grade).
• · Plans include NSCLC perioperative study later in Q2 2026 and front-line metastatic NSCLC in 2027; exploration of combinations with vaccines, T-cell engagers, CAR-Ts.

11-05-2026

First Business Financial Services, Inc. appointed David R. Seiler as President and Chief Executive Officer and a Class III Director, effective May 3, 2026, succeeding Corey A. Chambas whose retirement was announced in May 2025. The Company entered into a five-year Employment Agreement with Mr. Seiler, providing for a minimum annual base salary of $600,000 and a restricted stock unit grant with a target value of $215,000 vesting over five years starting May 16, 2026. This 8-K/A amends the original April 15, 2026 filing to correct an administrative error in the Employment Agreement exhibit.

• · Employment Agreement initial term of five years, auto-renewing annually unless 60 days' notice.
• · Restricted stock units vest 15% on each of first four anniversaries and 40% on fifth, no retirement provisions.
• · Severance upon termination without Cause or for Good Reason: 2x base salary over 24 months, prorated target bonus, 18 months health benefits.
• · Customary restrictive covenants: non-solicit, non-compete up to 24 months post-termination.

11-05-2026

CB Financial Services, Inc. disclosed a material cybersecurity incident on May 5, 2026, where its subsidiary Community Bank handled non-public customer information—including names, social security numbers, and dates of birth—using an unauthorized AI-based software application. The company promptly initiated an investigation with external advisors, notified regulators, and began required customer notifications, with no disruptions to operations, customer access, payment systems, or core IT infrastructure. As of the filing, the incident has not had, and is not expected to have, a material financial impact, though remediation efforts including enhanced controls are ongoing.

• · Investigation into scope and root cause remains ongoing.
• · Company in communication with relevant banking and financial regulators.

11-05-2026

Elicio Therapeutics reported a net loss of $11.8M for Q1 2026, wider than the $11.2M loss in Q1 2025, driven by a 30% increase in G&A expenses to $3.8M despite a 13% decline in R&D to $6.8M. Cash and equivalents fell to $14.9M from $18.6M at year-end 2025 amid $11.6M used in operations, partially offset by $8.0M from financing activities including an ATM offering; total assets decreased to $22.7M and stockholders' equity turned to a $1.4M deficit from a $1.6M surplus. Loss per share improved to ($0.65) from ($0.87) due to higher share count.

• · Warrant liabilities increased to $3,599 as of March 31, 2026 from $2,615 at December 31, 2025.
• · Long-term debt, net at $9,475 as of March 31, 2026.
• · Weighted average shares outstanding: 18,211,745 in Q1 2026 vs 12,950,574 in Q1 2025.

11-05-2026

Flushing Financial Corp reported net income of $5,833,000 for the three months ended March 31, 2026, swinging to profitability from a $9,796,000 loss in the prior-year period, bolstered by a 4.1% YoY increase in net interest income to $55,194,000 and sharply lower non-interest expenses ($46,775,000 vs. $59,676,000, excluding prior goodwill impairment). However, total interest and dividend income declined 3.1% YoY to $113,010,000, non-interest income fell 64.8% to $1,785,000, and net loans decreased 1.5% QoQ to $6,517,080,000 amid net repayments. Total assets grew 1.9% QoQ to $8,862,849,000 on deposit inflows, though stockholders' equity dipped 1.5% to $697,408,000.

• · Basic and diluted EPS of $0.17 for Q1 2026, improved from $(0.29) in Q1 2025.
• · Provision for credit losses of $2,011,000 in Q1 2026, down from $4,318,000 YoY.
• · Common stock dividend of $0.44 per share declared in Q1 2026, up from $0.22 in Q1 2025.
• · Net cash used in operating activities of $8,905,000 in Q1 2026 vs. provided $6,852,000 YoY.
• · Allowance for credit losses $44,450,000 as of March 31, 2026, up from $42,802,000 QoQ.

11-05-2026

Brogan Financial, Inc. filed its 13F-HR report on May 11, 2026, disclosing 56 equity holdings as of March 31, 2026, with a total portfolio market value of $227,363,297. The portfolio is concentrated in ETFs, including the largest position in ETF Ser Solutions Aptus Collrd Inv (CUSIP 26922A222) at $81,652,608 and ETF Ser Solutions Aptus Defined (CUSIP 26922A388) at $27,510,198, alongside individual stocks such as Apple Inc. COM at $3,935,478 and Microsoft Corp COM at $1,178,103. No period-over-period changes are provided in the filing.

• · All 56 holdings reported with sole investment discretion and voting authority
• · Report filed as non-amended (indicator: 0)
• · Investment advisor CIK: 0001889918, SEC file number: 028-23085

11-05-2026

Fairway Financial, LLC filed Form 13F-HR on May 11, 2026, disclosing its institutional investment holdings as of March 31, 2026, across 23 positions primarily in ETFs with no prior period data for comparison. Largest holdings include Vanguard Total Stock Market ETF at $18,176M, Schwab US Dividend Equity ETF at $11,564M, and iShares Core Dividend Growth ETF at $11,231M, reflecting a diversified equity and fixed income strategy. All positions are held with sole investment discretion and no reported put/call options.

• · All holdings reported with sole voting authority and investment discretion
• · No shared discretion, other managers, or put/call positions reported
• · SCHWAB STRATEGIC TR US AGGREGATE B holding: 269663 shares valued at $6,262M
• · VANGUARD WORLD FD INF TECH ETF holding: 8618 shares valued at $6,013M