S&P 500 Healthcare Sector SEC Filings — May 13, 2026

13-05-2026

Parkside Financial Bank & Trust filed its 13F-HR report on May 13, 2026, disclosing holdings in 4123 securities with a total market value of $1,305,112,266 as of March 31, 2026. The portfolio features significant positions in large-cap technology stocks including Amazon.com Inc at $13,287,876, Alphabet Inc Cap Stk Cl A at $12,497,077, and Alphabet Inc Cap Stk Cl C at $6,946,774, alongside diversified exposure to healthcare, financials, and ETFs. No period-over-period changes are detailed in the filing.

• · Report period end date: March 31, 2026
• · Filing CIK: 0001455267
• · Business address: 8112 Maryland Ave Suite 101, Saint Louis, MO 63105

13-05-2026

First Citizens Bank & Trust Co filed its 13F-HR on May 13, 2026, disclosing approximately 925 equity positions held as of March 31, 2026. The portfolio is dominated by large-cap technology and consumer stocks, with top holdings including Apple Inc. valued at $153658678000 (605456 shares), Amazon.com Inc. at $62582635000 (300488 shares), Alphabet Inc. Cap Stk Cl C at $52411903000 (182709 shares), and Broadcom Inc. at $45700699000 (147655 shares). No period-over-period changes are detailed in the filing.

• · Filing CIK: 0001092203
• · Period end date: 2026-03-31
• · Filer address: PO BOX 29522 DAC61, Raleigh NC 27626
• · Business phone: 9197167505

13-05-2026

Bogota Financial Corp. reported net income of $705,946 for Q1 2026, down 3.4% YoY from $730,947, despite net interest income rising 23.2% YoY to $4,426,491 driven by lower interest expense. Total assets declined 3.0% QoQ to $877.2M, with deposits dropping 7.9% QoQ to $600.9M and loans net decreasing 1.4% QoQ to $639.4M, while stockholders' equity increased 0.8% QoQ to $142.1M. Non-interest income fell sharply 63.9% YoY to $321K, primarily due to lower bank-owned life insurance gains.

• · Provision for credit losses of $50,000 in Q1 2026 vs recovery of $80,000 in Q1 2025.
• · EPS basic and diluted remained flat at $0.06 YoY.
• · Short-term FHLB advances increased to $58.5M from $20M QoQ.

13-05-2026

CI Investments Inc. filed its 13F-HR on May 13, 2026, reporting institutional holdings as of March 31, 2026, with a total portfolio market value of $20,646,390,587 across 646 positions. Top holdings include Amazon.com Inc. ($947,961,107, 4,551,597 shares), Broadcom Inc. ($545,076,204, 1,761,094 shares), Alphabet Inc. Cap Stk Cl C ($663,797,195, 2,314,011 shares), Apple Inc. ($586,484,326, 2,310,904 shares), and Alphabet Inc. Cap Stk Cl A ($315,730,528, 1,097,964 shares). The filing is a combination report including sub-advisers such as Altrinsic Global Advisors LLC and River Road Asset Management, LLC, with no disclosed changes or performance metrics.

• · Filing period end date: March 31, 2026
• · Business address: 15 York Street, 2nd Floor, Toronto, Ontario M5J 0A3, Canada
• · 13F combination report including multiple investment advisers

13-05-2026

Principal Credit Real Estate Income Trust reported net income of $1,889 thousand for Q1 2026, a turnaround from a $971 thousand net loss in Q1 2025, driven by total revenue growth of 59% YoY to $6,734 thousand and lower expenses. However, investments in loans receivable declined 6% QoQ to $353,158 thousand from $377,308 thousand, leading to total assets decreasing 4% QoQ to $383,964 thousand. Shareholders' equity improved significantly, rising 120% QoQ to $6,682 thousand, while loans payable fell 7% QoQ to $258,646 thousand.

• · Operating cash flow improved to $2,676 thousand in Q1 2026 from $(305) thousand used in Q1 2025.
• · Net cash from investing activities $23,759 thousand in Q1 2026 (driven by $25,000 thousand loan repayments) vs $(75,512) thousand used in Q1 2025.
• · Goldman Repurchase Agreement: $142,927 thousand outstanding, fair value $142,979 thousand, available capacity $107,073 thousand.
• · Citi Repurchase Agreement: $115,575 thousand outstanding, fair value $115,667 thousand, available capacity $134,425 thousand.
• · Cash and cash equivalents increased to $20,700 thousand as of Mar 31, 2026 from $10,547 thousand as of Dec 31, 2025.

13-05-2026

Petra Financial Advisors Inc. filed its 13F-HR on May 13, 2026, disclosing 117 equity securities holdings totaling $161604705 as of March 31, 2026, all with sole voting and disposition power. The portfolio is diversified across ETFs (e.g., J P Morgan Exchange Traded F US Qualty Fctr ETF at $12081743, SPDR Gold TR at $10475194) and individual stocks (e.g., SCHWAB STRATEGIC TR US LCAP VA ETF at $5872308). No prior period data is provided for comparison, resulting in a static snapshot of positions with no indicated growth, declines, or changes.

• · All 117 holdings reported with sole voting power (SH SOLE) and no shared power
• · Portfolio includes significant exposure to gold/miners ETFs, municipal bond funds, and energy/tech stocks
• · Filed under SEC file number 028-23175

13-05-2026

NewEdge Wealth, LLC filed its quarterly 13F-HR on May 13, 2026, for the period ended March 31, 2026, disclosing a diversified portfolio of 1,128 securities with a total market value of $8,394,638,671. Major holdings include Alphabet Inc. CAP STK CL A (value $233,832,298), Amazon.com Inc. (value $140,047,336), and Broadcom Inc. (value $158,682,064), spanning equities, ETFs, and options across various sectors. No period-over-period changes are provided in the filing.

• · Filing as of date: May 13, 2026
• · Conformed period of report: March 31, 2026
• · Investment discretion: Sole voting authority on reported holdings
• · Business address: 2200 Atlantic Street, Stamford, CT 06902

13-05-2026

For the three months ended March 31, 2026, New Mountain Guardian IV Income Fund reported total investment income of $11,427 thousand, up 14% YoY from $10,032 thousand, driven by higher interest income, with net investment income increasing 23% YoY to $8,925 thousand. However, net unrealized depreciation of $7,363 thousand (vs $843 thousand YoY) and realized losses of $264 thousand resulted in a net operations increase of only $1,298 thousand, down 80% YoY from $6,389 thousand, leading to members' capital declining to $501,846 thousand (down 1.5% QoQ) and NAV per unit falling to $9.79 from $9.94 QoQ. Distributions declared totaled $8,865 thousand, up from $7,394 thousand YoY.

• · Cash and cash equivalents declined to $24,395 thousand from $35,000 thousand QoQ.
• · Total liabilities increased to $14,080 thousand from $11,287 thousand QoQ.
• · Net cash used in operating activities improved to $1,210 thousand used from $9,765 thousand used YoY.
• · First Lien investments showed net unrealized depreciation of $4,041 thousand in Q1 2026.
• · Investment purchases totaled $25,682 thousand in Q1 2026, with proceeds from sales/paydowns at $16,452 thousand.

13-05-2026

Kennedy Lewis Capital Co's Q1 2026 10-Q shows total investment income of $30,682,777, up 33% YoY from $23,097,252, with net investment income rising 39% YoY to $17,080,995, contributing to a net increase in net assets from operations of $16,871,658, up 84% YoY. However, total investments at fair value declined 1.2% QoQ to $1,096,362,224 from $1,109,977,047 amid net unrealized depreciation of $457,982, and NAV per Class I share edged down to $20.00 from $20.04 QoQ. Total net assets grew 5.4% QoQ to $744,822,375, supported by share issuances and reinvestments.

• · Secured Credit Facility remained flat at $412,500,000 QoQ.
• · Cash and cash equivalents decreased to $5,496,329 from $60,216,576 QoQ; restricted cash increased to $44,269,851 from $32,440,987.
• · Net cash used in operating activities was $40,902,980 for Q1 2026.
• · Common shares outstanding increased to 37,246,308 from 35,262,120 QoQ.

13-05-2026

Alpha Financial Partners LLC filed its 13F-HR disclosing $168,925,796 in total holdings across 103 positions as of March 31, 2026. The portfolio is heavily weighted toward ETFs including iShares Core U.S. Aggregate Bond ETF at $17,339,515 and iShares National Muni Bond ETF at $5,922,491, with notable equity positions in Apple Inc ($1,966,154), JPMorgan Chase & Co ($3,633,275), and iShares Core S&P 500 ETF ($45,048,196). No prior period comparisons or performance changes are provided in this routine quarterly snapshot.

• · Filing date: May 13, 2026
• · Report period end: March 31, 2026
• · All positions held with sole voting power
• · Heavy allocation to fixed income and broad market ETFs

13-05-2026

CareView Communications Inc reported Q1 2026 total revenues of $2,191,342, down 2% YoY from $2,239,347, driven by a 17% decline in sales-based software bundle revenue to $935,654 despite growth in subscription-based revenue (+3% to $1,017,483) and equipment packages (+97% to $238,205). Operating income improved to $30,843 from a $134,710 loss YoY due to 9% lower operating expenses, resulting in a smaller net loss of $756,200; however, cash flows from operations turned negative at $126,166 from $267,881 YoY, reducing cash to $1,411,435.

• · Accrued interest payable increased to $23,698,264 as of Mar 31, 2026 from $22,896,139 at Dec 31, 2025.
• · Stock-based compensation expense of $150,302 in Q1 2026.
• · Contract liabilities balance decreased to $2,618,960 end Q1 2026 from $3,158,474 end Q1 2025.

13-05-2026

New England Professional Planning Group Inc. disclosed 49 equity holdings totaling $239,264,600 as of March 31, 2026, in its 13F-HR filing submitted on May 13, 2026. The portfolio emphasizes ETFs, with top positions including iShares Core S&P 500 ETF ($83,468,030; 127,781 shares), J.P. Morgan Exchange-Traded F Intrnl Res Eqt ($58,904,696; 777,722 shares), and iShares Core S&P MCP ETF ($45,263,291; 670,269 shares). Individual stocks such as Apple Inc. ($1,233,273; 4,859 shares), Exxon Mobil Corp. ($1,441,092; 8,494 shares), and Pfizer Inc. ($550,664; 19,611 shares) represent smaller allocations, all held solely with full voting authority.

• · All positions held with sole investment discretion and sole voting authority (5% level).
• · No put/call options or other managers reported.
• · Business address: 9 Granite Street, Westerly, RI 02891.

13-05-2026

Precigen reported strong Q1 2026 PAPZIMEOS net product revenue of $21.6 million, driving total revenues up $21.9 million YoY from near zero, with approximately 400 patients enrolled in the patient hub (25% from community settings). However, the company posted a net loss of $7.9 million (improved from $54.2 million YoY), SG&A expenses rose $8.7 million due to commercialization efforts, and cash, cash equivalents, and investments stood at $56.7 million as of March 31, 2026, down from prior quarter amid $25.7 million in uncollected PAPZIMEOS receivables. Business updates include upcoming ASCO durability data, RRP Awareness Day on June 11, and PRGN-2009 progress.

• · PAPZIMEOS payer coverage spans 297 million US lives (over 90% of insured lives)
• · Permanent J-code (J3404) effective April 1, 2026, expected to accelerate site activations
• · R&D expenses decreased $4.8 million YoY due to accounting change post-FDA approval
• · Total other expense, net decreased $29.6 million YoY, offset by $2.9 million higher interest expense
• · PRGN-2009 Phase 2 trials ongoing in HPV-associated cancers with NCI and in cervical cancer
• · EMA Marketing Authorization Application under review following November 2025 submission

13-05-2026

MCINTYRE FREEDMAN & FLYNN INVESTMENT ADVISERS INC, a Massachusetts-based investment adviser (CIK 0001015877), filed its 13F-HR on May 13, 2026, reporting holdings as of March 31, 2026. The portfolio consists of 81 positions with a total market value of $176385984. Top holdings by value include Applied Materials Inc ($12646214), Microsoft Corp ($11552597), and Marathon Petroleum Corp ($11696491).

• · Filing period end date: March 31, 2026
• · Business address: 4 Main Street, Orleans, MA 02653
• · Phone: 508-255-1651

13-05-2026

Mach-1 Financial Group, LLC filed its 13F-HR on May 13, 2026, reporting total holdings of $284047092 across 161 positions as of March 31, 2026, all held with sole voting authority. The portfolio features heavy ETF exposure including J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF at $29102546, FIRST TR EXCHANGE-TRADED FD GROWTH STRENGTH at $18612582, VANGUARD BD INDEX FDS INTERMED TERM at $12675349, and AMERICAN CENTY ETF TR US LARGE CAP VLU at $12666340, alongside stocks like WALMART INC at $7592487 and NVIDIA CORPORATION at $2773530. No changes, performance metrics, or other voting authority details were disclosed.

• · SEC file number: 028-20742
• · Business address: 1001 S. 52nd Street Suite 100, Rogers, AR 72758
• · Central Index Key: 0001843358
• · Period end date: 2026-03-31
• · All holdings reported as SH SOLE with no put/call activity

13-05-2026

Cisco reported record Q3 FY2026 revenue of $15.8 billion, up 12% YoY, driven by 17% product revenue growth including 25% in Networking, though services revenue declined 1%, Collaboration fell 1%, and Security was flat. GAAP EPS increased 37% to $0.85 with net income up 35% to $3.4 billion, while non-GAAP EPS rose 10% to $1.06; however, GAAP gross margin contracted to 63.6% from 65.6% and cash flow from operations decreased 7% to $3.8 billion. The company raised FY2026 AI infrastructure revenue guidance to $4 billion and overall revenue to $62.8-63.0 billion.

• · Q4 FY2026 guidance: Revenue $16.7-16.9 billion; GAAP EPS $0.80-0.85; non-GAAP EPS $1.16-1.18
• · FY2026 guidance: Revenue $62.8-63.0 billion; GAAP EPS $3.16-3.21; non-GAAP EPS $4.27-4.29
• · Quarterly dividend declared $0.42 per common share, payable July 22, 2026 to shareholders of record July 6, 2026
• · Total product orders up 35% YoY, up 19% excluding hyperscalers
• · Campus networking orders >25% YoY growth; data center switching orders >40% YoY growth
• · Remaining Performance Obligations (RPO) $43.5 billion, up 4% YoY; product RPO up 6% with long-term $11.7 billion up 6%
• · Cash and cash equivalents and investments $16.6 billion
• · Returned $2.9 billion to stockholders via buybacks and dividends in Q3

13-05-2026

Kelly Services, Inc. adopted an Amended and Restated Certificate of Incorporation, effective via 8-K filing on May 13, 2026, authorizing 110,000,000 shares at $1.00 par value, comprising 100,000,000 non-voting Class A Common Stock and 10,000,000 voting Class B Common Stock convertible 1:1 into Class A. Class B holders receive equal dividends (with protections), preemptive rights on voting stock, and equal liquidation rights; the board consists of 5-11 directors elected annually, removable with or without cause by majority vote, with no cumulative voting. Additional provisions limit director/officer liability, allow action by written consent, and restrict special stockholder meetings to Class B majority holders.

• · Registered office: 1209 Orange Street, Wilmington, New Castle County, Delaware 19801.
• · Original certificate filed August 27, 1952.
• · Class B conversion requires surrender of certificates to corporation or Transfer Agent; corporation covers issuance taxes.
• · Notice of reclassifications/mergers must be provided 30 days prior to Class A record date for Class B holders.

13-05-2026

Sagewood Asset Management LP filed its quarterly 13F-HR report as of March 31, 2026, disclosing a portfolio of 337 equity positions with a total market value of $319235858. All reported holdings are with sole voting power, featuring top positions in Apple Inc. (47579 shares valued at $12075074), NVIDIA Corporation (67661 shares valued at $11800078), and Microsoft Corp. (26804 shares valued at $9922037). No changes from prior periods or performance metrics are detailed in the filing.

• · Filing submitted on May 13, 2026, for period ending March 31, 2026
• · All holdings reported with sole voting power (SH SOLE column populated, sharing and other columns at 0)

13-05-2026

Elevance Health, Inc. held its Annual Meeting of Shareholders on May 13, 2026, with 194,441,339 shares of common stock represented, constituting a quorum. Shareholders elected directors Gail K. Boudreaux, Robert L. Dixon, Jr., and Deanna D. Strable to three-year terms expiring in 2029, approved the advisory vote on executive compensation, and ratified Ernst & Young LLP as independent auditors for the fiscal year ending December 31, 2026. A shareholder proposal requesting an independent study on prohibiting corporate contributions to partisan 527 tax-exempt political groups was rejected.

• · Director election votes - Gail K. Boudreaux: Against 1,714,229, Abstain 110,827
• · Director election votes - Robert L. Dixon, Jr.: Against 5,590,793, Abstain 114,487
• · Director election votes - Deanna D. Strable: Against 4,360,980, Abstain 110,967
• · Executive compensation advisory vote: Against 7,240,619, Abstain 199,534
• · Auditor ratification: Against 19,141,697, Abstain 116,310
• · Shareholder proposal abstain: 1,292,319

13-05-2026

Merck & Co., Inc. filed its Form 13F-HR for the quarter ended March 31, 2026, disclosing a portfolio of 14 equity holdings totaling $349,437,632 with no other investment managers reported on these positions. The largest positions are in Moderna Inc. ($117,256,052 for 2,308,190 shares), Personalis Inc. ($89,466,287 for 14,044,943 shares), and Kymera Therapeutics Inc. ($64,313,623 for 772,165 shares). Other holdings include Aktis Oncology Inc. ($17,046,379 for 952,844 shares) and Entrada Therapeutics Inc. ($21,955,872 for 1,739,768 shares), with smaller positions in companies like Carisma Therapeutics Inc. ($47,880 for 1,473,240 shares).

• · Filing submitted on May 13, 2026 for period ended March 31, 2026
• · All positions reported with sole investment discretion (no other managers listed)
• · Smaller holdings include Carisma Therapeutics Inc. (1,473,240 shares, $47,880), Eikon Therapeutics Inc. (1,666,666 shares, $17,633,326), and Evaxion Biotech A/S (1,214,126 ADS, $4,516,549)

13-05-2026

Spruce Biosciences reported a narrowed net loss of $12,266 for Q1 2026 versus $14,041 in Q1 2025, driven by a 17% reduction in total operating expenses to $11,987, primarily from a 30% cut in R&D expenses to $7,575, though G&A expenses rose 21% to $4,412. Cash and cash equivalents increased to $54,080 from $48,906 QoQ, supported by $14,146 in debt proceeds, but stockholders' equity declined to $34,648 from $42,516 amid higher liabilities including $6,464 in debt and $3,938 warrant liability. Cash burn from operations improved to $8,732 used from $12,727 YoY.

• · Weighted-average shares outstanding: 1,372,084 in Q1 2026 vs 586,142 in Q1 2025.
• · Debt, total: $6,464 as of March 31, 2026 (none as of Dec 31, 2025).
• · Net cash provided by financing activities: $13,916 in Q1 2026.

13-05-2026

HUMBL reported no revenues for Q1 2026, with operating expenses rising 27% YoY to $1.75M, resulting in an operating loss of $1.75M and a net loss of $3.0M from continuing operations, though this narrowed 26% YoY from $4.0M. Total assets grew 61% QoQ to $2.2M, driven by a $695k license fee and prepaids, but cash plummeted 95% to $6.7k amid $389k operating cash burn, while liabilities increased 20% to $5.1M and stockholders' deficit widened slightly to $2.9M. Massive share dilution occurred with common shares outstanding up 10% QoQ to 59.2B.

• · Derivative liabilities increased to $1,734,193 as of March 31, 2026 from $1,400,996.
• · Convertible notes payable current portion $1,835,901 as of March 31, 2026.
• · Net cash used in operating activities $389,384 in Q1 2026.
• · Proceeds from convertible notes payable $705,000 in Q1 2026.

13-05-2026

Envision Financial Transparency, LLC filed its 13F-HR on May 13, 2026, reporting equity holdings as of March 31, 2026, with a total market value of $102,911,000 across 56 positions. Top holdings by market value include Invesco QQQ Trust Series 1 ($25,072,000, 43,438 shares), Vanguard S&P 500 ETF ($17,829,000, 29,836 shares), iShares Russell Top 200 Growth ETF ($5,593,000, 22,476 shares), Global X Funds Defense Tech ETF ($5,447,000, 76,894 shares), and Legg Mason ETF Franklin Intl Low Vol ($4,040,000, 99,656 shares). All positions are held with sole voting authority and no other voting authority reported.

• · Report period end date: 2026-03-31
• · Filing date: 2026-05-13
• · Filer address: 4202 Obriant Place, Greensboro, NC 27410
• · No shared or other voting authority; all sole
• · Investment adviser CRD: 297713

13-05-2026

Pacira BioSciences, Inc. is engaged in a proxy contest with stockholder DOMA Perpetual Capital Management LLC ahead of its 2026 Annual Meeting of Stockholders, urging votes for board nominees Chris Christie, Samit Hirawat, and Thomas Wiggans on the BLUE proxy card while disregarding DOMA's white proxy card. The company expresses confidence in its 5x30 strategy and ongoing transformation but views DOMA's contest as misguided and disruptive. Votes are also recommended FOR the appointment of KPMG, executive compensation, amended stock plan, and ESPP.

• · Record date for voting eligibility: April 22, 2026
• · Definitive proxy statement filed: April 28, 2026
• · Annual Report on Form 10-K for year ended December 31, 2025, filed February 26, 2026

13-05-2026

Vertex Pharmaceuticals held its annual shareholder meeting on May 13, 2026, electing all ten nominated directors with strong majorities (ranging from approximately 94% to 99% support). Shareholders overwhelmingly ratified Ernst & Young LLP as auditors (96% for), approved the advisory 2025 named executive officer compensation (94% for), and adopted the 2026 Stock and Option Plan (97% for); however, the shareholder proposal on action by written consent passed narrowly with 57% support.

• · Proposal 1 director elections: Bruce Sachs received highest opposition with 13,186,265 against votes (94% for)
• · Proposal 5 (written consent): 126,892,696 for vs 95,756,148 against
• · Proxy statement for 2026 Plan details filed April 2, 2026

13-05-2026

Aegis Financial Corp filed its 13F-HR on May 13, 2026, reporting total holdings valued at $580477863 across 37 positions as of March 31, 2026, with no changes from the prior quarter. The portfolio focuses on energy, gold mining, and industrial companies, with top positions including Cenovus Energy Inc (91576811), Equinox Gold Corp (55875391), and Vermilion Energy Inc (35175129), all held solely. All 37 holdings have sole voting power and no reported shared power, puts, or calls.

• · Filing effective date: May 13, 2026
• · No changes in holdings (change indicator: 0)
• · All positions reported with sole discretionary voting power (SH SOLE) and zero shared power, zero put options, zero call options

13-05-2026

Rallybio Corp reported flat revenue of $212K for Q1 2026 versus Q1 2025, with total operating expenses decreasing 9.5% YoY to $8,945K driven by a 50% reduction in R&D spend to $2,871K, though G&A expenses rose 46% to $6,074K, resulting in a narrower net loss of $8,278K (-12.3% YoY improvement). Cash and cash equivalents increased 32% QoQ to $41,299K, bolstered by $17.9M from marketable securities maturities, but total assets declined 12% to $54,472K and stockholders' equity fell 13% to $50,277K due to the operating loss and reduced marketable securities. Net cash used in operations improved to $7,978K from $10,205K YoY.

• · EPS improved to $(1.46) from $(1.69) YoY.
• · Net cash used in operating activities improved 22% YoY to $7,978K.
• · Proceeds from maturities of marketable securities: $17,900K in Q1 2026.

13-05-2026

Milestone Scientific Inc. reported Q1 2026 product sales of $2,162,033, down 3.2% YoY from $2,232,420, with gross profit declining 5.1% to $1,564,024; however, SG&A expenses fell 27.1% to $2,372,653 and R&D expenses dropped to $0 from $369,120, resulting in a narrower operating loss of $828,083 (improved 58.5% YoY) and net loss of $839,853 versus $1,994,586. Cash from operations improved dramatically to positive $86,842 from a $1,008,089 outflow YoY, boosting cash to $1,194,424. Balance sheet showed total assets up slightly to $7,962,954 but liabilities rose 13.6% to $5,678,022, driven by higher accounts payable, while stockholders' equity declined to $2,284,932.

• · Accounts payable increased to $2,269,296 from $1,430,250 QoQ.
• · Accounts payable, related party decreased to $992,874 from $1,359,698 QoQ.
• · Stock-based compensation expense of $256,683 in Q1 2026.
• · Common stock issued to board of directors for services valued at $55,479.
• · Allowance for credit losses $10,000 as of March 31, 2026.
• · Convertible notes payable, related parties steady at $800,000.

13-05-2026

Calton & Associates, Inc. disclosed in its 13F-HR filing holdings across 438 positions totaling $695,926,314 as of March 31, 2026, with all positions held under sole voting and investment discretion. Notable top holdings include Invesco QQQ Trust Series 1 ($32,570,476 for 56,430 shares), Fidelity Covington Trust High Dividend ETF ($16,691,622 for 302,166 shares), and Apple Inc. ($16,439,831 for 64,777 shares). No changes from prior periods or performance metrics are detailed in the filing.

• · Filing submitted on May 13, 2026 for period ending March 31, 2026
• · All holdings reported with sole voting power (SH SOLE) and no shared discretion

13-05-2026

Crosspoint Financial, LLC filed a 13F-HR on May 13, 2026, disclosing its holdings as of March 31, 2026, with a total market value of $39,795,336 across 35 positions held on a sole basis. The portfolio is heavily weighted toward ETFs, including various Innovator ETFs, First Trust ETFs, and iShares products, alongside individual stocks such as Apple Inc., Berkshire Hathaway Inc. Cl B, Meta Platforms Inc. Cl A, and Microsoft Corp. No prior period comparisons or performance metrics are provided in the filing.

• · All holdings reported as SOLE voting authority with 0 shared or other authority.
• · Largest position: INNOVATOR ETFS TRUST US EQUITY ACCELE (336908 shares, $13,187,776).
• · Portfolio includes warrants: MICROVAST HOLDINGS INC *W EXP 04/01/202 (10000 shares, $160).

13-05-2026

American Financial Advisors, LLC filed its 13F-HR report on May 13, 2026, disclosing 159 equity positions held as of March 31, 2026, with a total market value of $749504078. The portfolio is heavily weighted toward ETFs, including top holdings like Schwab Strategic Tr US Dividend Eq ETF at $42189733, Berkshire Hathaway Inc Del Cl B New at $37868812, and Vanguard Scottsdale Fds Int-Term Corp at $34390960, alongside individual stocks such as Apple Inc at $7493733 and Amazon Com Inc at $5210186. No changes, additions, reductions, or shared voting authority beyond sole voting power are indicated in the filing.

• · All positions held with sole voting authority (SH SOLE); no shared voting power, put/call options, or other manager rights reported.
• · Portfolio includes significant ETF exposure across providers like Schwab Strategic Tr, Vanguard, iShares Tr, First Tr Exchange-Traded Fd, Dimensional Etf Trust.

13-05-2026

KEYNOTE FINANCIAL SERVICES LLC filed its 13F-HR on May 13, 2026, disclosing $188,036,457 in equity holdings across 174 positions as of March 31, 2026, all with sole voting authority. Top holdings include Apple Inc. ($9,523,522), Vanguard BD Index Fnds Vanguard Ultra ($8,840,920), and AbbVie Inc. ($8,540,083). No prior period data or changes are provided in the filing.

• · All positions reported with sole voting authority and no put/call options.
• · Business address: 7 Keynote Drive, Suite D, Vernon, CT 06066.
• · State of incorporation: CT.

13-05-2026

Newmont Corporation held its 2026 Annual Meeting of Stockholders on May 12, 2026, where all 13 directors were elected with 97.41% to 99.68% votes for, the advisory resolution on executive compensation was approved with 92.52% support (7.23% against), and ratification of Ernst & Young LLP as independent auditors passed with 98.25% votes for (1.68% against). While all proposals received strong majority approval, executive compensation faced notable opposition at 7.23% against, and directors like Bruce R. Brook and Julio M. Quintana saw higher withheld votes at 3.96% and 2.59%, respectively.

• · Abstentions excluded from director election tabulations but included in other proposals.
• · Total votes cast on executive compensation: 819,810,158 shares.
• · Total votes at auditor ratification: 879,772,792 shares.

13-05-2026

Praxis Precision Medicines reported strong clinical progress with FDA acceptance of NDAs for ulixacaltamide (PDUFA January 29, 2027) and relutrigine (priority review, PDUFA September 27, 2026), alongside EMBRAVE Part A results showing 77% placebo-adjusted seizure reduction for elsunersen. Cash and investments reached $1.4B as of March 31, 2026, up from $926.1M at year-end 2025, funding operations into 2028. However, Q1 2026 financials showed increased R&D expenses of $78.0M (up 28% YoY), G&A of $27.9M (up 101% YoY), and a net loss of $92.6M (wider than $69.3M YoY).

• · Topline results from POWER1 study of vormatrigine in focal onset seizures expected Q2 2026.
• · Recruitment completed for relutrigine EMERALD study in broad DEEs, topline results expected Q4 2026.
• · 71% of elsunersen-treated patients achieved >50% seizure reduction; 57% had at least 28-day seizure freedom.
• · Cash runway extends into 2028.

13-05-2026

Tri-County Financial Group reported net income of $4.472 million for the three months ended March 31, 2026, up 75% YoY from $2.554 million, fueled by net interest income growth of 18% to $13.684 million and noninterest income increase to $4.112 million, alongside credit loss recoveries. However, total assets declined 0.9% QoQ to $1.582 billion from $1.596 billion, with net loans down 1.6% to $1.279 billion and noninterest expenses up 6% YoY to $11.997 million. Earnings per share improved to $1.88 basic from $1.07 YoY.

• · Basic EPS $1.88 in Q1 2026 vs $1.07 in Q1 2025.
• · Provision for credit losses was a recovery of $96 on loans vs expense of $231 YoY.
• · Cash dividends declared at $0.28 per share in Q1 2026 vs $0.25 in Q1 2025.
• · Net cash used in operating activities improved to $(1,611) from $(4,734) YoY.
• · Other comprehensive loss of $58 in Q1 2026 vs income of $1,165 in Q1 2025.

13-05-2026

For the three months ended March 31, 2026, Precision Optics Corporation reported revenues of $8,708,631, more than doubling YoY from $4,185,968 (+108%), with gross profit surging to $2,056,534 from $417,975; however, the company still posted a net loss of $108,283, though significantly improved from $2,096,761. Over nine months, revenues rose 76% YoY to $22,757,291, gross profit increased to $3,207,552, and net loss narrowed to $3,526,104 from $4,377,689, bolstered by a public offering raising $10,630,678 that drove cash to $10,680,046 and total assets to $33,686,207.

• · Accounts receivable increased to $6,577,866 at March 31, 2026 from $4,336,730 at June 30, 2025.
• · Accounts payable rose to $6,239,450 at March 31, 2026 from $2,909,100 at June 30, 2025.
• · Net cash used in operating activities improved to $(901,110) for nine months ended March 31, 2026 from $(2,978,165) in prior year.
• · Operating lease right-to-use asset increased to $2,371,091 at March 31, 2026 from $141,825 at June 30, 2025.

13-05-2026

Texas Precious Metals Trust filed an S-1/A registration statement on May 13, 2026, for an IPO of shares (symbol YSAG) backed entirely by physical silver held in U.S. vaults in Shiner, Texas, and Hempstead, New York, aiming to track the LBMA Silver Price minus a 0.39% annualized Sponsor’s Fee. Baskets consist of 10,000 shares created or redeemed with 10,000 Troy Ounces of physical silver by Authorized Participants only. The filing highlights operational details including roles of the Trustee, Administrator, Transfer Agent (USBGFS), Marketing Agent (PINE Distributors LLC), and Custodian, while noting risks such as silver price volatility, lack of active management, and potential central bank sales impacting value.

• · Custodian vaults: TPMD Shiner (primary, Texas) and TPMD Hempstead (satellite, New York); silver segregated and not co-mingled.
• · Fund is an emerging growth company under JOBS Act, opting out of extended accounting transition period.
• · Net asset value calculated daily using LBMA Silver Price as of 4:00 PM EST.
• · Minimum creation/redemption order: one Basket (10,000 Shares), subject to Sponsor discretion up to four Baskets.

13-05-2026

Newell Brands Inc. held its Annual Meeting of Stockholders on May 7, 2026, where all eight director nominees were elected with majority support ranging from 87% (Patrick D. Campbell) to 98% (Gerardo I. Lopez, Christopher H. Peterson, Anthony Terry). Stockholders ratified PricewaterhouseCoopers LLP as auditors (99% support), approved Say-On-Pay (78% support despite 22% opposition), and approved the 2026 Incentive Plan (93% support). Of 424,927,772 shares outstanding as of the March 12, 2026 record date, 368,135,426 shares were voted, with 41,561,938 broker non-votes.

• · Director votes - Bridget Ryan Berman: 310,789,046 For, 15,433,058 Against, 351,384 Abstain
• · Director votes - Patrick D. Campbell: 283,377,489 For, 42,822,754 Against, 373,245 Abstain
• · Director votes - James P. Keane: 302,088,999 For, 24,084,176 Against, 400,313 Abstain
• · Director votes - Gerardo I. Lopez: 320,436,005 For, 5,707,674 Against, 429,809 Abstain
• · Director votes - Christopher H. Peterson: 321,807,657 For, 4,437,197 Against, 328,634 Abstain
• · Director votes - Gary H. Pilnick: 302,428,045 For, 23,717,278 Against, 428,165 Abstain
• · Director votes - Stephanie P. Stahl: 299,906,682 For, 26,222,825 Against, 443,981 Abstain
• · Director votes - Anthony Terry: 321,216,034 For, 4,883,089 Against, 474,365 Abstain
• · Auditor ratification: 363,199,115 For, 4,359,352 Against, 576,959 Abstain
• · Say-On-Pay: 254,464,829 For, 71,068,404 Against, 1,040,255 Abstain
• · 2026 Incentive Plan: 305,206,680 For, 20,662,767 Against, 704,041 Abstain
• · Proxy Statement filed March 26, 2026

13-05-2026

Humacyte reported Q1 2026 total revenue of $495, down 4% YoY from $517, with product revenue surging 235% to $493 but contract revenue plummeting 99% to $2; operating expenses rose 24% to $29,430, leading to a net loss of $17,619 versus a $39,139 profit in Q1 2025. Cash and equivalents fell 4% QoQ to $48,539 from $50,497, though cash burn from operations improved 12% to $25,104 used; stockholders' equity strengthened 274% to $11,624 from $3,109, bolstered by $23,321 in financing proceeds including stock issuances. Total assets declined to $110,557 from $116,366 QoQ.

• · Inventory reserve of $1,626 recorded in Q1 2026.
• · Common stock warrant liabilities decreased to $10,836 from $19,392 QoQ.
• · Weighted-average shares outstanding basic: 197,846,786 for Q1 2026.

13-05-2026

New Peoples Bankshares Inc reported net income of $3,062 thousand for Q1 2026, up 60.5% YoY from $1,908 thousand, with net interest income rising 15.9% to $8,817 thousand and EPS increasing to $0.13 from $0.08. Total assets expanded 3.3% QoQ to $939,569 thousand, driven by 20.2% growth in cash equivalents to $92,893 thousand, 2.0% net loan growth to $715,189 thousand, and 3.7% deposit growth to $827,654 thousand. However, total comprehensive income fell 36.0% YoY to $2,423 thousand due to $639 thousand other comprehensive loss from unrealized investment securities losses, service charges declined 4.6% YoY to $837 thousand, and accumulated other comprehensive loss worsened to $(8,506) thousand.

• · Provision for credit losses decreased 7.3% YoY to $240 thousand.
• · Noninterest-bearing deposits grew 9.8% QoQ to $242,598 thousand.
• · Cash dividends declared at $0.09 per share, up from $0.08 per share YoY.
• · 11 thousand common shares repurchased in Q1 2026.
• · Other real estate owned increased to $184 thousand from $89 thousand QoQ.

13-05-2026

FB Financial Corporation filed an 8-K on May 13, 2026, disclosing under Regulation FD that its management team will present at the Wells Fargo financial services investor conference on May 14, 2026. The slide presentation is furnished as Exhibit 99.1 and available on the company's investor website at https://investors.firstbankonline.com/event.

13-05-2026

Dickmeyer Boyce Financial Management, Inc. disclosed holdings of 125 securities totaling $169,940,757 as of March 31, 2026, in its 13F-HR filing submitted on May 13, 2026. The portfolio features significant allocations to ETFs and blue-chip stocks, with top positions in Fidelity Merrimack Str Tr Total Bd ETF ($11,012,490), Apple Inc. ($7,956,415), and Schwab Strategic Tr US Dividend Eq ($6,957,280). No changes from prior periods, voting authority details beyond sole discretion, or other metrics are provided.

• · All positions reported with sole investment discretion.
• · No shared discretion, none, put, or call positions disclosed.
• · Report period end: March 31, 2026; Filing date: May 13, 2026.
• · Business address: 6506 Constitution Drive, Fort Wayne, IN 46804.

13-05-2026

Johnson & Johnson filed its 13F-HR on May 13, 2026, for the period ending March 31, 2026, disclosing 16 equity holdings totaling $652,355,946, primarily in biotech and life sciences companies. Largest positions include Protagonist Therapeutics ($258,143,888 for 2,449,183 shares), Nanobiotix S.A. ($173,607,200 for 5,623,816 shares), and MeiraGTx Holdings plc ($57,511,614 for 6,641,064 shares), with all positions reported under DFND except Standard BioTools marked N/A. No prior period data is provided for comparisons.

• · Filing CIK: 0000200406
• · SEC File Number: 028-20072
• · Holdings as of: March 31, 2026
• · Standard BioTools position marked with N/A in DFND column

13-05-2026

CEL-SCI Corporation announced the pricing of a best-efforts public offering of 6,000,000 shares of common stock at $1.20 per share, expecting gross proceeds of approximately $7.2 million before fees and expenses. The proceeds will fund continued development of Multikine, general corporate purposes, and working capital, with closing expected on May 13, 2026. ThinkEquity is the sole placement agent.

• · Registration statement on Form S-1 (File No. 333-295168) effective May 11, 2026.
• · Multikine received Orphan Drug designation from FDA for neoadjuvant therapy in head and neck squamous cell carcinoma.
• · Company operations in Vienna, Virginia, and near/in Baltimore, Maryland.

13-05-2026

Carter Financial, LLC filed a 13F-HR report disclosing its equity holdings as of March 31, 2026, across 28 positions with a total portfolio value of $114993374. Top holdings include Vanguard Index FDS Growth ETF at $28205216, Vanguard Index FDS Total Stk Mkt at $24667111, and Capital Group Dividend Value SHS Creation Uni at $16869052. No prior period comparisons, performance metrics, or changes in holdings were detailed in the filing.

• · Filing date: May 13, 2026
• · Report period end: March 31, 2026
• · All holdings reported as sole voting and sharing authority
• · Business address: 4225 Executive Square Suite 1030, La Jolla, CA 92037

13-05-2026

SYSTEMATIC FINANCIAL MANAGEMENT LP filed its 13F-HR on May 13, 2026, reporting holdings as of March 31, 2026, with a total portfolio market value of $4,361,487,396 across 408 positions. The portfolio features diverse investments in sectors including healthcare, retail, technology, and real estate, with notable positions such as Adeia Inc. (value $63,237,252), Abercrombie & Fitch Co. CL A DFND (value $30,712,655), and AngioDynamics Inc. DFND (value $27,452,422). This routine quarterly disclosure provides a snapshot of equity holdings without performance metrics or explicit period-over-period changes.

• · Filing CIK: 0001085936
• · SEC File Number: 028-05015
• · Period end date: 2026-03-31
• · Business address: C/O Glenpointe East 7th Floor, 300 Frank W. Burr Blvd, Teaneck, NJ 07666
• · Investment adviser ID: 801-48908

13-05-2026

TCW Specialty Lending LLC, a newly formed entity with inception on March 2, 2026, reported flat financial position in its inaugural 10-Q as of March 31, 2026 (unaudited), with total assets, cash, and members' capital unchanged at $1,000. The company issued 10 units at $100 each, maintaining a net asset value per unit of $100.00 with no investment activity, changes, or operations during the period.

13-05-2026

At the May 12, 2026 annual meeting of stockholders, with 83.77% quorum of 31,945,516 outstanding shares, Alto Neuroscience, Inc. stockholders elected Raymond Sanchez, M.D. and Gwill York as Class II directors until 2029 and ratified Deloitte & Touche LLP as independent auditors for the fiscal year ending December 31, 2026. However, the amendment to the 2024 Equity Incentive Plan failed with more votes against (12,205,864) than for (10,838,509), while the amendment to the 2024 Employee Stock Purchase Plan passed narrowly (11,946,818 for vs. 11,097,535 against).

• · Proposal 1 votes - Raymond Sanchez, M.D.: 23,133,161 For, 31,432 Withheld; Gwill York: 12,385,501 For, 10,779,092 Withheld.
• · Proposal 2 votes: 26,727,215 For, 23,440 Against, 12,154 Abstentions.
• · Proposal 3 votes: 10,838,509 For, 12,205,864 Against, 120,220 Abstentions.
• · Proposal 4 votes: 11,946,818 For, 11,097,535 Against, 120,240 Abstentions.
• · Board adopted A&R 2024 ESPP on March 16, 2026; Proxy Statement filed March 26, 2026.

13-05-2026

South Plains Financial, Inc. filed its 13F-HR report on May 13, 2026, disclosing a total investment portfolio value of $171,958,334 across 311 equity positions as of March 31, 2026. Top holdings include Apple Inc. ($6,854,585, 27,009 shares), Microsoft Corp. ($5,380,615, 14,536 shares), NVIDIA Corp. ($5,293,200, 30,351 shares), Amazon.com Inc. ($4,025,411, 19,328 shares), and Alphabet Inc. (Class A: $643,977 / 2,245 shares; Class C: $5,577,300 / 19,396 shares). The filing provides a snapshot of holdings with voting authority details but no aggregate portfolio performance metrics or clear net changes across the portfolio.

• · Filing date: May 13, 2026
• · Report period end: March 31, 2026
• · Business address: 5219 City Bank Parkway, Lubbock, TX 79407-3544
• · Fiscal year end: December 31
• · State of incorporation: TX