S&P 500 Healthcare Sector SEC Filings — June 02, 2026

02-06-2026

OceanFirst Financial Corp. filed an S-3 registration statement with the SEC on June 1, 2026, registering up to 22,773,278 shares of common stock for resale by selling securityholders. The company will not receive any proceeds from the sale, and as of May 26, 2026, there were 57,600,069 shares outstanding. The filing includes standard risk factors and forward-looking statements, with no new financial results or operational updates.

• · The company's authorized capital stock consists of 150,000,000 shares of common stock and 5,000,000 shares of preferred stock, each with $0.01 par value.
• · As of May 26, 2026, there were 63,329,377 shares issued and 5,729,308 shares held in treasury.
• · Outstanding stock options total 1,160,665 shares; additional 644,539 stock awards and 1,611,347 stock options are reserved for issuance.
• · Common stock is listed on NASDAQ Global Select Market under symbol OCFC.
• · Holders of more than 10% of outstanding common stock are not entitled to vote shares in excess of that limit.
• · Certain matters require an 80% stockholder vote, calculated after applying the 10% voting cap.
• · Stockholders are not permitted to act by written consent.
• · The company will bear all costs of registration except underwriting discounts and commissions.

02-06-2026

Medallion Financial Corp. issued a letter to shareholders on June 1, 2026, disputing Glass Lewis's recommendation to vote against two board nominees. The company highlights that net income before tax from 2021 to 2025 exceeded $378 million, more than the first 25 years combined, and total shareholder return since January 31, 2017 is 452%. However, Glass Lewis's negative stance is based on unproven SEC allegations from a since-settled lawsuit, and the company argues that Glass Lewis has inconsistently applied its standards, ignoring serious allegations against dissident nominee Eric Kelly.

• · Glass Lewis recommended against two board nominees, a shift from its prior four consecutive years of supporting all nominees.
• · The SEC lawsuit was settled in May 2025 without admissions of wrongdoing and without material restrictions on the business.
• · Glass Lewis revised its report after Medallion pointed out mischaracterizations, but Medallion says the revised report remains misleading.
• · Eric Kelly, a dissident nominee supported by Glass Lewis, is a defendant in a wrongful termination lawsuit alleging GAAP violations, tax avoidance, and improper financial practices; trial set for December 14, 2026.
• · Medallion's board elevated Andrew Murstein to CEO, citing his 30 years as President and role in the company's growth.

02-06-2026

News Corp filed an 8-K on June 2, 2026, disclosing its ongoing stock repurchase program, under which it is authorized to buy back up to $1 billion in aggregate of its Class A and Class B common stock. The filing includes daily transaction disclosures provided to the Australian Securities Exchange (ASX) as required by ASX rules. The company also included forward-looking statements regarding its intent to repurchase shares from time to time.

• · The repurchase program covers both Class A common stock (ticker NWSA) and Class B common stock (ticker NWS), both listed on the Nasdaq Global Select Market.
• · The company is required to provide daily transaction disclosures to the ASX under ASX rules.
• · The filing includes forward-looking statements subject to risks such as changes in market price, general market conditions, securities laws, and alternative investment opportunities.

02-06-2026

This 8-K filing reports a Seventh Addendum to the Sixth Amended and Restated Service Agreement between Comenity Bank and Comenity Servicing LLC, effective June 1, 2026. The addendum modifies certain services and performance standards related to issues management, including amended service descriptions and new performance metrics (e.g., closing 90% of issues within 250 days, completing 90% of Level 3 consumer containment/remediation within 210 days), while deleting previous containment standards. No financial amounts or quantitative financial data are disclosed in the filing.

• · The addendum amends Appendix A (Services) and Appendix B (Performance Standards) of the existing Sixth Amended and Restated Service Agreement dated January 1, 2025.
• · Previous performance standards for containing non-technical and technology/system-dependent issues impacting customers were deleted.
• · The agreement continues in full force and effect except as amended by this addendum.

02-06-2026

Signet Jewelers reported Q1 FY27 sales of $1.55B (+1.8% same-store sales) and adjusted diluted EPS of $1.56, up from $1.18 a year ago, driven by cost reductions and share repurchases. However, GAAP operating income fell to $36.9M from $48.1M due to $41.7M in restructuring charges related to the James Allen transition, and gross margin declined $42M to 35.8%. The company raised its full-year adjusted EPS guidance to $9.20–$11.00 and announced a $50M accelerated share repurchase.

• · Merchandise AUR increased approximately 5% YoY, with growth in both Bridal and Fashion.
• · Gross margin declined $42M YoY to $556.5M (35.8% of sales), including inventory write-downs from the James Allen transition.
• · Adjusted gross margin was $589.2M (37.9% of sales), in line with expectations.
• · SG&A decreased to $509.6M (32.8% of sales) from $526.0M (34.1% of sales) due to cost reductions from the FY26 reorganization.
• · GAAP operating income fell 23.3% to $36.9M, including $41.7M in restructuring charges (largely non-cash) related to James Allen.
• · Cash used in operating activities improved to $144.7M from $175.3M a year ago.
• · Total liquidity was approximately $1.7B, up more than $300M YoY.
• · Inventory was approximately $2.0B, flat YoY.
• · Board declared a quarterly dividend of $0.35 per share, payable August 21, 2026 to holders of record July 24, 2026.
• · FY27 guidance raised: total sales $6.7–$6.9B (previously $6.6–$6.9B), adjusted EPS $9.20–$11.00 (previously $8.80–$10.74).
• · Q2 FY27 guidance: total sales $1.50–$1.53B, same-store sales +0.5% to +2.5%, adjusted operating income $79–$93M.
• · FY27 guidance assumes $60–$80M net revenue reduction from James Allen transition, with minimal impact on adjusted operating income.
• · Planned capital expenditures of approximately $150–$180M for FY27.
• · Annual tax rate expected to be 23%–25%.
• · Company named a Great Place to Work-Certified for sixth consecutive year and recognized on Ethisphere’s 2026 World’s Most Ethical Companies list.

02-06-2026

Citi Trends reported strong Q1 FY2026 results with total sales up 14.4% to $230.9M and comparable store sales growth of 13.9%, driven by increased traffic and basket size. Net income surged to $7.8M from $0.9M in the prior year, and adjusted EBITDA more than doubled to $13.9M. However, gross margin expansion was limited to 40 bps due to higher freight costs from fuel surcharges, and the company faces ongoing headwinds from fuel costs that tempered its gross margin outlook.

• · Q1 2026 adjusted net income was $9.2M vs $2.4M in Q1 2025.
• · Adjusted SG&A was $78.3M, or 33.9% of sales, leveraging 250 bps YoY.
• · The company opened 2 stores, closed 1, and remodeled 25 stores in Q1.
• · Cash at quarter-end was $81.1M with no debt and no borrowings under a $75M credit facility.
• · Fiscal 2026 capital expenditures expected to be $35M to $40M.
• · Quarter-to-date Q2 comparable store sales growth trending in high-single digits, upper teens on a two-year basis.
• · The company updated its definition of adjusted metrics to include addback of equity-based compensation.
• · Gross margin outlook was lowered due to expected continued headwinds from fuel surcharges.
• · Adjusted SG&A leverage outlook was raised to 130-160 bps from 70-100 bps.

02-06-2026

On May 27, 2026, Philippe Busque, Ph.D., the Senior Vice President, Global Sales and Services of Cytek Biosciences, Inc., resigned effective June 5, 2026 to pursue another career opportunity. The resignation is not due to any disagreement with the Company's operations, policies, or practices. This senior leadership departure introduces a period of transition for the global sales organization.

• · Resignation effective date: June 5, 2026
• · Reason for departure: to pursue another career opportunity
• · No disagreement with Company's operations, policies or practices
• · Filed under Item 5.02 (Departure of Directors or Certain Officers)

02-06-2026

Forte Biosciences, Inc. filed an S-3 registration statement to offer up to $500,000,000 in securities, including common stock, preferred stock, depositary shares, debt securities, warrants, subscription rights, purchase contracts, and units. The company highlighted positive Phase 1b data for its lead candidate FB102 in celiac disease, showing a statistically significant benefit on the composite histological VCIEL endpoint. However, the company is a clinical-stage biopharmaceutical with no approved products, no dividend payments, and risks inherent in drug development and commercial viability.

• · The celiac Phase 1b study had no dropouts.
• · Treatment emergent adverse events in the celiac Phase 1b were primarily mild (grade 1) with no grade 3 or higher SAEs reported in the FB102 arm.
• · FB102 mechanistic in-vitro studies showed 4-5x inhibition in T cell proliferation and 6-8 fold inhibition in NK cell proliferation.
• · No dose limiting toxicities were observed in Phase 1 healthy volunteer cohorts.
• · FB102 demonstrated significant reductions in NK cell pharmacodynamic marker (greater than 70%) in Phase 1 healthy volunteer cohorts.
• · The company has not paid dividends and has no current plans to pay dividends.
• · Forte is a smaller reporting company with a non-affiliate public float not exceeding $250 million and annual revenues not exceeding $100 million.
• · The global alopecia treatment market is forecast to reach up to $6 billion by 2032-2034.
• · Celiac disease affects an estimated 2.5 million people in the U.S., but up to 80% are undiagnosed.
• · There are no approved treatment options for celiac disease.

02-06-2026

First Western Financial, Inc. filed an 8-K on June 2, 2026, to furnish presentation materials for its annual meeting of shareholders scheduled for June 3, 2026. The filing includes a presentation as Exhibit 99.1, which is provided under Regulation FD and not deemed filed for Exchange Act purposes.

• · The presentation will be used at the annual meeting of shareholders on June 3, 2026.
• · The information in Exhibit 99.1 is furnished, not filed, and is not subject to Section 18 liabilities.

02-06-2026

Milestone Scientific Inc. filed an S-3 registration statement on June 2, 2026, to register the resale of shares and warrants issued in a private placement that closed on April 20, 2026. The private placement raised gross proceeds of $2,150,000 (including $351,000 from conversion of insider bridge notes) through the sale of 7,962,963 units at $0.27 per unit, with warrants exercisable at $0.3375 per share. The company is transitioning from R&D to a commercial focus, but remains a smaller reporting company with reduced disclosure obligations, and the filing highlights ongoing risks including reliance on forward-looking statements and the need for additional capital.

• · The registration statement is filed to register the resale of 7,962,963 shares of common stock and up to 7,962,963 warrant shares.
• · Warrants have a term of three years from closing and are exercisable only for cash, beginning six months after closing.
• · The company agreed to a 30-day lock-up on further equity issuances after the registration statement is declared effective.
• · Directors and officers entered into 12-month lock-up agreements restricting transfers of company securities.
• · The Convertible Bridge Notes issued in April 2025 had an original conversion floor of $0.50, which was amended to $0.27 for the portion converted in the private placement.
• · The company is a smaller reporting company and may present only two years of audited financial statements in its Form 10-K.
• · The company holds approximately 305 issued U.S. and foreign patents.

02-06-2026

Chemung Financial Corporation held its Annual Meeting on June 2, 2026, where shareholders voted on three proposals. All four director nominees were elected, the say-on-pay proposal was approved, and the ratification of Crowe LLP as independent auditor for 2026 was passed. No negative or flat metrics were present in the filing.

• · Proposal 1: Director elections – Richard E. Forrestel Jr. received 3,222,817 votes for and 68,126 withheld; Stephen M. Lounsberry III received 2,918,389 for and 372,554 withheld; Anders M. Tomson received 3,266,034 for and 24,909 withheld; G. Thomas Tranter Jr. received 3,195,518 for and 95,425 withheld. Broker non-votes were 1,205,465 for each.
• · Proposal 2: Say-on-Pay – 3,150,781 votes for, 122,780 against, 17,382 abstained, with 1,205,465 broker non-votes.
• · Proposal 3: Ratification of Crowe LLP – 4,452,309 votes for, 42,148 against, 1,951 abstain.

02-06-2026

McEwen Inc. filed an 8-K on June 2, 2026, announcing details of its 2026 Annual Meeting of Shareholders and a Q&A session with management. The filing includes a press release furnished as Exhibit 99.1, which contains forward-looking statements subject to risks and uncertainties. No financial results or material operational updates were disclosed.

• · The filing is a Regulation FD Disclosure under Item 7.01.
• · The press release is dated June 1, 2026.
• · The company's common stock trades on the NYSE under the symbol MUX.
• · The filing includes a cautionary statement regarding forward-looking statements and risks.

02-06-2026

Scilex Holding Co. filed an S-3 registration statement on June 2, 2026, covering up to 2,083,067 shares of common stock issuable upon exercise of various warrants and conversion of the Tranche B Note. The company has three commercial products (ZTlido, ELYXYB, GLOPERBA) and a pipeline including SEMDEXA (Phase 3), SP-103 (Phase 2), SP-104 (preclinical), and a licensed KDS2010 program (Phase 2). However, the filing does not disclose current financial results, and the company remains an emerging growth company with no revenue growth or profitability data provided.

• · Exercise prices range from $22.72 to $402.50 per share across different warrant series.
• · The Tranche B Note conversion price is $36.40 per share.
• · Scilex has exclusive worldwide rights to Oishi's lidocaine patch technology except for Japan.
• · The company has a direct distribution network to national and regional wholesalers and pharmacies in the U.S.
• · Scilex is an emerging growth company and has irrevocably opted out of the extended transition period for new accounting standards.

02-06-2026

ACI Worldwide, Inc. held its 2026 Annual Meeting of Stockholders on June 2, 2026, where all nine director nominees were elected, the appointment of Deloitte & Touche LLP as independent auditor was ratified, and executive compensation was approved on an advisory basis. While the auditor ratification passed overwhelmingly with 95.3 million votes for, the advisory vote on executive compensation showed notable opposition with 3.1 million votes against and 73,588 abstentions, representing approximately 3.3% of votes cast against.

• · All nine director nominees received strong support, with votes for ranging from 90.3 million (Mary P. Harman) to 92.2 million (Kimberly deBeers).
• · Broker non-votes totaled 4,015,407.47 on all director elections and the executive compensation proposal.
• · The ratification of Deloitte & Touche LLP as independent auditor had no broker non-votes and passed with 95,338,552 votes for, 1,322,740 against, and 30,031 abstentions.
• · The advisory vote on executive compensation had 89,531,017.32 votes for, 3,071,310.45 against, and 73,588.21 abstentions.

02-06-2026

Voya Investment Management announced proposed mergers of Voya Asia Pacific High Dividend Equity Income Fund (IAE) and Voya Emerging Markets High Dividend Equity Fund (IHD) into the open-end Voya Multi-Manager Emerging Markets Equity Fund (IEMLX). The Boards of Trustees of both funds have approved the mergers, and a large institutional investor in each fund has agreed to support the transactions and remain a passive investor for a period. Special shareholder meetings will be held to seek approval, with proxy materials to be filed in the coming weeks.

• · Voya IM manages approximately $353 billion in assets as of March 31, 2026.
• · A large institutional investor in each fund has agreed to support the mergers and remain a passive investor for a period.
• · The press release is not a solicitation; definitive proxy materials will be filed with the SEC later.

02-06-2026

CIMG Inc. filed an S-1/A registration statement for its IPO, reporting revenue of $1,123,000 for the six months ended March 31, 2026, compared to $1,040,000 in the same prior-year period, a 7.9% increase. However, the company recorded a net loss of $2,348,000 for the six months ended March 31, 2026, versus a net loss of $1,567,000 in the prior-year period, representing a 49.8% widening of losses. The filing also details multiple acquisitions and a convertible note financing.

• · The filing includes a convertible promissory note and warrant purchase agreement dated February 11, 2026, with an initial tranche funded on February 13, 2026 and a second tranche on March 21, 2026.
• · Customer concentration: For the six months ended March 31, 2026, Customer ZNF accounted for a significant portion of revenue and accounts receivable.
• · Supplier concentration: For the six months ended March 31, 2026, suppliers YKZS, TTY, and ACJN were key suppliers.
• · The company has multiple office and warehouse leases in Wuxi, China; Boca Raton, Florida; and Henan, China, with a contractual lease term through January 20 and March 31, 2028.
• · Acquisitions completed include Braincon Limited and its subsidiaries (September 23, 2025) and Shenzhen Zhimeng Qiyang Technology Co., Ltd. (March 11, 2026).

02-06-2026

Pacific Oak Strategic Opportunity REIT, Inc. disclosed via Form 8-K that its wholly-owned subsidiary, Pacific Oak SOR (BVI) Holdings, Ltd., filed IFRS consolidated and separate interim financial statements and an interim report with the Israel Securities Authority and Tel Aviv Stock Exchange for the three months ended March 31, 2026. The English translations of these unaudited reports were furnished as exhibits to the SEC on May 31, 2026. No specific financial figures or performance metrics were provided in the filing, so no positive or negative trends can be assessed.

• · The BVI subsidiary completed offerings of Series B and D bonds since February 2020 to Israeli investors, registered with the Israel Securities Authority and listed on the Tel Aviv Stock Exchange.
• · The interim financial statements and report are for the three months ended March 31, 2026, and are unaudited.
• · The filing is furnished under Regulation FD and is not deemed filed for SEC liability purposes.

02-06-2026

Cingulate Inc. announced on June 2, 2026, that the FDA issued a Complete Response Letter (CRL) for its New Drug Application for CTx-1301 (dexmethylphenidate HCl) to treat ADHD. The CRL identified specific Chemistry, Manufacturing and Controls (CMC) information requests but did not raise any concerns regarding clinical safety or efficacy. The company expects a prompt resubmission to address the remaining requested information.

• · The CRL did not raise any current concerns regarding clinical safety or efficacy of CTx-1301.
• · The company expects a prompt resubmission to the FDA of the remaining requested information addressing issues raised in the CRL.

02-06-2026

Hewlett Packard Enterprise reported a strong turnaround for the three months ended April 30, 2026, with net earnings attributable to common stockholders of $595M ($0.45 per share basic) compared to a net loss of $(1,079)M ($(0.82) per share basic) in the same period last year. Total net revenue surged 40% YoY to $10,678M, driven by a 51% increase in Products revenue to $7,219M and a 22% increase in Services revenue to $3,266M. However, operating cash flow for the six-month period was $2,588M, a significant improvement from $(851)M used in the prior year, while inventory increased sharply by $2,682M to $9,034M and accounts payable rose by $3,580M to $11,311M.

• · Research and development expense increased 70.7% YoY to $922M for the three months ended April 30, 2026.
• · Selling, general and administrative expense increased 41.0% YoY to $1,830M for the three months ended April 30, 2026.
• · Amortization of intangible assets increased from $37M to $323M for the three-month period, reflecting recent acquisitions.
• · No impairment charges were recorded in the current period, compared to $1,361M in the prior year three-month period.
• · The company repurchased 13.584 million shares of common stock for $313M during the six months ended April 30, 2026.
• · Cash dividends of $0.2850 per common share were declared during the six-month period.
• · Total assets increased to $79,512M as of April 30, 2026 from $75,906M as of October 31, 2025.
• · Long-term debt increased to $18,237M from $17,756M over the same period.

02-06-2026

SELLAS Life Sciences Group, Inc. reported $107.1M cash as of March 31, 2026, and received $28.7M from warrant exercises in April/May 2026. As of June 2, 2026, the company had 196,632,574 shares outstanding.

• · Cash position as of March 31, 2026 was $107.1M.
• · Warrant exercises in April and May 2026 generated $28.7M in proceeds.
• · Outstanding shares as of June 2, 2026: 196,632,574.

02-06-2026

Gladstone Commercial Corporation announced the election of George 'Chip' Stelljes, III as a director effective June 1, 2026, expanding the board from seven to eight members. Mr. Stelljes brings over 25 years of investment experience and will serve on the Compensation, Ethics/Nominating/Governance, and Valuation Committees. The company's real estate portfolio as of March 31, 2026, consisted of 151 properties across 27 states totaling approximately 17.7 million square feet.

• · Mr. Stelljes was elected to the 2028 class of directors.
• · He currently serves as managing partner of St. John's Capital, LLC.
• · He holds an MBA from the University of Virginia and a BA in Economics from Vanderbilt University.
• · The board size increased from seven to eight directors.

02-06-2026

On May 29, 2026, Achieve Life Sciences appointed Jeff Farrow and Dr. Reid Waldman as directors. Mr. Farrow will chair the Audit Committee and serve on the Nominating and Governance Committee; Dr. Waldman will chair the Compensation Committee and serve on the Commercial Committee. Each incoming director receives a pro-rated $40,000 annual retainer and a stock option for 47,250 shares vesting monthly over three years.

• · The appointments were effective May 29, 2026.
• · Each incoming director will receive additional cash compensation for committee service beyond the annual retainer.
• · The stock options vest monthly over three years, subject to continued service.
• · Standard indemnification agreements were entered into with each incoming director.
• · No arrangements or understandings exist with other persons regarding their selection as directors.
• · No family relationships exist between the incoming directors and any director or executive officer.
• · Neither incoming director has a material interest in any transaction required to be disclosed under Item 404(a) of Regulation S-K.

02-06-2026

Futurewave Acquisition Corp filed an S-1/A registration statement for an IPO of 7,500,000 units (or 8,625,000 if the over-allotment option is exercised in full) at a price of $10.00 per unit, with gross proceeds of $75,000,000. The units consist of one ordinary share and one right, and the proceeds will be deposited into a trust account. However, the offering presents significant dilution to public shareholders, with pro forma net tangible book value per share ranging from $5.10 (at 25% redemptions) to $0.19 (at maximum redemptions) without the over-allotment, and dilution per share ranging from $2.90 to $7.81.

• · The company is a blank check company (SPAC) formed on February 16, 2026, with no operations and no specific business combination target identified.
• · The company qualifies as an 'emerging growth company' and will be subject to reduced reporting requirements.
• · The trust account will hold $10.00 per unit sold, invested only in U.S. government treasury obligations or money market funds under Rule 2a-7.
• · The offering is on a firm commitment basis with Polaris Advisory Partners as sole book-running manager.
• · Founder shares were acquired at a nominal price, leading to immediate and substantial dilution for public shareholders.
• · Dilution per share ranges from $2.90 (Scenario A, 25% redemptions) to $7.81 (Scenario D, maximum redemptions) without over-allotment, and from $2.89 to $7.81 with over-allotment.
• · The company's initial business combination must target an entity with fair market value of at least 80% of the trust account balance.
• · The company has not contacted any prospective target business or had any substantive discussions regarding a business combination.

02-06-2026

The Federal Home Loan Bank of New York issued a series of consolidated obligations totaling approximately $8.03 billion across 12 tranches between May 27 and May 29, 2026. The offerings include both callable (Bermudan-style) and non-callable bonds, primarily variable-rate single index floaters, with maturities ranging from September 2026 to May 2028. While the issuance demonstrates continued access to debt capital markets, the heavy reliance on short-term variable-rate funding exposes the Bank to interest rate risk, and the absence of any fixed-rate or long-dated issuance may indicate a cautious or liquidity-focused strategy.

• · All 12 tranches were issued between May 27 and May 29, 2026, with settlement dates from May 29 to June 4, 2026.
• · Only one tranche ($15M) carries a fixed coupon (4.085%); the remaining 11 tranches are variable-rate single index floaters with no stated coupon.
• · The largest single tranche is $2.41B (non-callable, maturing 6/1/2027), representing 30% of total issuance.
• · The shortest maturity is September 1, 2026 ($300M), and the longest is May 24, 2028 ($172.5M).
• · Three tranches (totaling $252.5M) are callable (Bermudan style), while nine tranches (totaling $7.78B) are non-callable.
• · No prior-period data is provided for comparison; this filing reports only current issuance activity.

02-06-2026

Federal Home Loan Bank of San Francisco filed an 8-K on June 2, 2026, reporting the issuance of a consolidated obligation bond on May 29, 2026, for which it is the primary obligor. The bond has a principal amount of $10,000,000, a fixed coupon of 4.250%, and matures on June 4, 2031. The filing notes that consolidated obligations are joint and several obligations of all eleven Federal Home Loan Banks, are not guaranteed by the U.S. government, and that the Bank has not made a judgment on the materiality of any particular obligation.

• · The bond has a Bermudan call style, meaning it is redeemable on specified recurring dates on and after the first redemption date (June 4, 2029) until maturity.
• · The bond is classified as an Optional Principal Redemption bond (callable bond).
• · Consolidated obligations are sold through authorized securities dealers and are not guaranteed by the United States government.
• · The filing excludes discount notes with a maturity of one year or less issued in the ordinary course of business.
• · The Bank may elect to change its method of reporting information on the issuance or assumption of consolidated obligations at any time.

02-06-2026

Norris Financial Group, LLC reported its Q3 2020 13F holdings with total assets of approximately $118.2 million as of September 30, 2020. The portfolio is heavily weighted toward ETFs, with the top three holdings being iShares Gold Trust ($18.0M), Invesco QQQ Trust ($15.8M), and SPDR Gold Trust ($6.9M). The filing shows a diversified mix of precious metals ETFs, technology stocks, and sector-specific funds, but no period-over-period comparisons are available as this is a single-period snapshot.

• · The filing was submitted on June 2, 2026, but reports holdings as of September 30, 2020, indicating a significant delay in reporting.
• · The portfolio includes 69 holdings with a total value of $118,169,027.
• · The largest single equity position is Apple Inc. at $3,632,149 (31,363 shares), followed by Microsoft Corp at $2,008,862 (9,551 shares).
• · Precious metals ETFs (gold and silver) represent a substantial portion of the portfolio, with iShares Gold Trust ($18.0M), SPDR Gold Trust ($6.9M), and iShares Silver Trust ($3.6M) combined totaling approximately $28.5M or 24% of total assets.
• · The smallest positions by value include ObsEva SA ($35,754) and Advaxis Inc ($26,302), both small-cap biotech holdings.
• · No period-over-period comparisons are available as this is a single-period filing.

02-06-2026

The Federal Home Loan Bank of Cincinnati filed an 8-K reporting the issuance of $3,811,500,000 in Consolidated Bonds across eight tranches on trade dates May 27-28, 2026. The offerings include both fixed-rate and variable-rate single index floater bonds, all non-callable, with maturities ranging from 2027 to 2033. These obligations are joint and several among the 11 Federal Home Loan Banks and are not guaranteed by the U.S. government.

• · All eight bonds are non-callable.
• · Fixed-rate bonds carry coupons between 4.125% and 4.625%.
• · Variable-rate bonds are single index floaters with no stated coupon rate.
• · The largest single tranche is $1,025,000,000 (CUSIP 3130BAWF0).
• · The shortest maturity is February 25, 2027; the longest is June 10, 2033.
• · Consolidated Discount Notes (max 360 days) are excluded from this filing.

02-06-2026

Tianci International, Inc. (CIIT) filed an S-1 registration statement on June 2, 2026, for a public offering of Units and Pre-Funded Units, which will result in the issuance of 20% or more of the company's outstanding common stock. The company obtained stockholder approval on April 10, 2026, via written consent from holders of 2,347,615 shares (64.87% of voting power). However, the offering involves high risks, including reliance on a Hong Kong-based operating subsidiary with no Mainland China operations, potential regulatory changes in Hong Kong or by PRC authorities, and the company's status as a holding company with no direct operations.

• · The offering is expected to close within two trading days of commencement, with no escrow or trust account for investor funds.
• · The company is a Nevada holding company with operations conducted through its Hong Kong subsidiary, Roshing International Co., Limited.
• · The company and its subsidiaries are not based in or have operations in Mainland China, and believe they are not required to obtain permissions from Mainland China authorities for the offering or operations.
• · The company faces risks from potential PRC government intervention

02-06-2026

Zions Bancorporation elected Daniel J. Ryan, a retired PwC partner with over 40 years of experience in banking and capital markets, to its board of directors. The company reported total assets of approximately $89 billion as of December 31, 2025, and annual net revenue of $3.4 billion in 2025. No negative or flat financial metrics were disclosed in this filing.

• · Daniel J. Ryan is a retired PwC partner and former Banking and Capital Markets Leader with more than 40 years of experience.
• · Ryan has advised boards on governance, risk management, regulatory engagement, financial reporting, internal controls, and technology and cybersecurity risk.
• · He participated in more than 25 board, audit committee, and risk committee effectiveness reviews for large and regional U.S. banks.
• · Zions operates under local management teams and distinct brands in 11 western states: Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Texas, Utah, Washington, and Wyoming.
• · Zions is included in the S&P MidCap 400 and NASDAQ Financial 100 indices.

02-06-2026

Tyra Biosciences, Inc. held its 2026 Annual Meeting on May 28, 2026, where shareholders elected three Class II directors (Habib J. Dable, Susan Moran, and Robert More) and ratified the appointment of Ernst & Young LLP as the independent auditor for fiscal year 2026. All director nominees received strong support, though Robert More received a notable 3.7 million withheld votes (8.3% of votes cast).

• · The 2026 Annual Meeting was held on May 28, 2026.
• · Three Class II directors were elected to serve until the 2029 Annual Meeting.
• · Robert More received 3,705,719 withheld votes, representing 8.3% of votes cast (excluding broker non-votes), notably higher than the other nominees.
• · Ratification of Ernst & Young LLP as independent auditor passed with 53,092,820 votes for, 1,316 against, and 3,246 abstentions.
• · There were 8,377,977 broker non-votes on the director elections, indicating a significant portion of shares held by brokers that did not vote on non-routine matters.

02-06-2026

At its 2026 Annual Meeting on June 2, 2026, Harvard Bioscience stockholders approved an amendment to the Employee Stock Purchase Plan and the Amended and Restated 2021 Incentive Plan, increasing authorized shares by 400,000. Stockholders also ratified Grant Thornton LLP as independent auditor for FY2026 and approved, on a non-binding advisory basis, named executive officer compensation. However, the Amended and Restated 2021 Incentive Plan received relatively narrow support (1,131,261 for vs. 680,030 against), indicating significant shareholder dissent.

• · The Amended and Restated 2021 Incentive Plan was approved with 1,131,261 votes for and 680,030 against, representing a 62.4% approval rate among votes cast (excluding broker non-votes).
• · The Employee Stock Purchase Plan amendment was approved with 1,705,565 votes for and 90,905 against.
• · Ratification of Grant Thornton LLP as independent auditor for FY2026 passed with 2,781,705 votes for, 13,975 against, and 3,849 abstentions.
• · The non-binding advisory vote on named executive officer compensation received 1,768,695 votes for and 57,111 against.
• · Both director nominees were elected: John Duke received 1,800,288 votes for and 28,703 withheld; Katherine A. Eade received 1,680,982 votes for and 148,009 withheld.