S&P 500 Healthcare Sector SEC Filings — June 04, 2026

04-06-2026

News Corp filed an 8-K on June 4, 2026, disclosing that it provided daily transaction information to the Australian Securities Exchange (ASX) regarding its stock repurchase program, which authorizes up to $1 billion in share repurchases. The filing includes forward-looking statements about the company's intent to repurchase shares from time to time.

• · The repurchase program covers both Class A common stock (NWSA) and Class B common stock (NWS).
• · Disclosure to ASX is required on a daily basis under ASX rules.
• · The company also discloses repurchase program information in quarterly and annual reports.

04-06-2026

Greenwich LifeSciences reported a net loss of $5.66M for Q1 2026, more than doubling from a $2.74M loss in Q1 2025, driven by a 129% surge in R&D expenses to $5.21M. The company raised $9.03M net through its ATM program, boosting cash to $10.51M from $6.18M at year-end 2025, but operating cash burn also widened to $4.70M from $1.83M. Stockholders' equity improved to $5.27M from $0.35M, though the accumulated deficit grew to $92.79M.

• · Revenue remained zero for both Q1 2026 and Q1 2025.
• · General and administrative expenses increased only 4.1% YoY to $0.52M.
• · Stock-based compensation was unchanged at $1.54M in both periods.
• · Accounts payable decreased 7.5% from $4.87M to $4.51M.
• · Unreimbursed expenses dropped 81.1% from $0.28M to $52,382.
• · Weighted average diluted shares outstanding rose 10.6% to 14.57M.
• · Net loss per share widened from $(0.21) to $(0.39).

04-06-2026

BNY Mellon Strategic Municipal Bond Fund, Inc. filed additional definitive proxy soliciting materials on June 4, 2026, related to a shareholder meeting. The filing includes a graphic image but no specific financial data or material changes.

04-06-2026

BNY MELLON STRATEGIC MUNICIPALS, INC. filed a DEFA14A (additional proxy material) on June 4, 2026, related to a shareholder meeting. The filing supplements previously issued proxy materials, but no specific financial figures, voting results, or material changes were disclosed in the available content. The filing appears to be procedural in nature, with no new substantive proposals or financial data provided.

• · The filing is a DEFA14A (additional proxy soliciting materials) filed under the Securities Exchange Act of 1934.
• · The company was formerly named DREYFUS STRATEGIC MUNICIPALS, INC. and changed its name on October 30, 2018.
• · No financial results, voting outcomes, or new business proposals are included in the supplied portion of the filing.

04-06-2026

Ciena reported strong fiscal Q2 2026 results with revenue of $1.57B, up 39.5% YoY, and adjusted EPS of $1.64, a 290% increase YoY. The company raised its fiscal year 2026 revenue guidance to $6.3B (+32% YoY at midpoint) and provided Q3 guidance of $1.625B. However, the Blue Planet Automation Software and Services segment declined 16.4% YoY to $23.4M, and the company's DSOs increased to 71 days, indicating potential collection challenges.

• · Two customers represented 34.0% of total revenue in Q2 2026.
• · DSOs increased to 71 days from a prior period (not specified), indicating slower cash collection.
• · Inventory turns were 3.6.
• · GAAP operating expense increased 8.0% YoY to $453.7M, while non-GAAP operating expense increased 7.7% to $397.8M.
• · The company repurchased approximately 0.2 million shares for $83.1M under its $1B share repurchase program.
• · Fiscal year 2026 revenue guidance raised to $6.3B ± $100M (32% YoY growth at midpoint).
• · Fiscal Q3 2026 revenue guidance: $1.625B ± $50M.
• · Adjusted gross margin guidance for Q3 2026: 45% ± 50 bps; for FY2026: 44.5% to 45%.
• · Adjusted operating margin guidance for Q3 2026: 19% to 20%; for FY2026: 19% ± 50 bps.

04-06-2026

Parabilis Medicines, Inc. filed an S-1/A registration statement for an IPO of 25,000,000 shares of common stock at an assumed price of $18.00 per share, with an overallotment option for underwriters to purchase up to 3,750,000 additional shares. The company expects net proceeds of approximately $413.6 million from the offering (or $476.4 million if the overallotment is exercised in full), plus an additional $75.0 million from a concurrent private placement with Regeneron. Proceeds will fund clinical development of zolucatetide in desmoid tumors and other indications, pipeline programs, and the Helicon platform. However, the company is not yet profitable, with net losses increasing from $117.9 million in 2024 to $145.9 million in 2025, and a net loss of $45.3 million in Q1 2026 compared to $38.3 million in Q1 2025, reflecting rising R&D and G&A expenses.

• · The company has an accumulated deficit of $586.8 million as of March 31, 2026.
• · Pro forma net loss per share (basic and diluted) for the year ended December 31, 2025 was $(1.81), and for Q1 2026 was $(0.56).
• · Interest income decreased 47.2% from $6.4M in 2024 to $3.4M in 2025, but increased 93.2% from $1.3M in Q1 2025 to $2.4M in Q1 2026.
• · The company's working capital (pro forma as adjusted) is estimated at $776.3 million after the IPO and private placement.
• · The concurrent private placement with Regeneron is at 90% of the IPO price, representing a discount to public investors.
• · The company effected a 1-for-1.5389 reverse stock split on June 3, 2026.
• · The proposed Nasdaq trading symbol is 'PBLS'.

04-06-2026

Medallion Financial Corp. issued a press release on June 4, 2026, responding to ZimCal's third consecutive proxy contest, accusing Stephen Hodges of pursuing a self-interested debt buyout rather than shareholder value. The company highlights strong long-term performance—net income of $266M over five years, book value per share up 53% since 2021, and a 452% total shareholder return since its transformation—while warning that ZimCal's nominees lack relevant experience, including Eric Kelly's track record of near-total value destruction and pending fraud allegations. However, the filing acknowledges that Q1 2026 results were impacted by a 'growth penalty' from CECL reserves and volatile gains from Medallion Capital, and that Hodges holds only a 2.1% equity stake (0.8% votable) while primarily holding illiquid debt securities.

• · Hodges' debt position pays 6%, below market for similar securities.
• · Hodges proposed a debt-for-equity swap as late as April 13, 2026.
• · In 2024, shareholders rejected ZimCal's nominees by a margin of 3.5 to 1.
• · In 2025, Hodges withdrew his nominees at the last minute.
• · Hodges acquired 99.4% of his shares in 2026.
• · The SEC matter related to conduct from 2014 through 2017 and was settled without admission of wrongdoing.
• · Eric Kelly is defendant in a pending lawsuit scheduled for trial in December 2026, alleging fraud, financial improprieties, and whistleblower retaliation.
• · The SBA declared an event of default on a subsidiary's debentures, described as a technical matter not a financial default.

04-06-2026

Minerva Neurosciences, Inc. filed a Certificate of Amendment to its Amended and Restated Certificate of Incorporation on June 4, 2026. The amendment limits the monetary liability of directors and officers for breach of fiduciary duty to the fullest extent permitted under Delaware law, and reserves Article NINTH. The amendment was approved by the Board and stockholders.

• · The original certificate of incorporation was filed on April 23, 2007 under the name Cyrenaic Pharmaceuticals, Inc.
• · The amendment to Article EIGHTH limits director and officer liability for monetary damages for breach of fiduciary duty, with 'officer' defined per Section 102(b)(7) of the DGCL.
• · Article NINTH is now reserved.
• · The amendment was adopted in accordance with Section 242 of the DGCL.

04-06-2026

TILLY'S, INC. reported net sales of $124.7M for the thirteen weeks ended May 2, 2026, up 15.9% from $107.6M in the prior-year period, driven by growth in both retail stores (+12.1%) and e-commerce (+30.9%). However, the company still recorded a net loss of $8.0M, a significant improvement from the $22.2M net loss in the prior year, but remained unprofitable. Total assets decreased to $317.1M from $334.2M a year ago, and cash and cash equivalents fell to $31.2M from $46.3M at the start of the quarter.

• · Operating loss improved to $8.1M from $22.7M in the prior year.
• · Selling, general and administrative expenses remained nearly flat at $44.2M vs $44.0M.
• · Cash used in operating activities was $3.9M, compared to $8.1M in the prior year.
• · Merchandise inventories decreased to $70.7M from $75.6M a year ago.
• · Total assets decreased to $317.1M from $334.2M a year ago.
• · Accumulated deficit worsened to $(99.6)M from $(96.3)M a year ago.
• · Operating lease assets decreased to $157.1M from $167.4M a year ago.
• · Net cash used in investing activities was $11.2M, primarily due to purchases of marketable securities ($9.9M).
• · No proceeds from maturities of marketable securities in Q1 FY26 vs $15.8M in Q1 FY25.

04-06-2026

Cimpress plc entered into an Amendment and Restatement Agreement on June 4, 2026, refinancing its existing senior secured credit facilities with a new $1.1 billion Term Loan B due 2033 and a $250 million revolving credit facility due 2031. The refinancing was approximately net leverage neutral on a pro-forma basis and replaced the prior term loan facility due 2028. The new Term Loan B bears interest at SOFR plus 2.50% and was issued at 99.75% of par, while the revolving facility carries a SOFR spread of 2.25% to 3.00% depending on leverage.

• · The New Term Loan B matures on June 4, 2033, with a springing maturity 91 days prior to the maturity of the company's senior unsecured notes due September 15, 2032 if those notes are not repaid or refinanced.
• · The Revolving Credit Facility matures on June 4, 2031.
• · The Restated Credit Agreement contains no financial maintenance covenant for the Term Loan B; the leverage covenant (maximum 4.50x) applies only to the Revolving Credit Facility when utilization exceeds 20% of commitments.
• · The agreement includes customary covenants restricting additional indebtedness, liens, asset sales, intercompany activities, investments, and restricted payments including share repurchases and dividends.
• · The facilities are secured by first-priority security interests in personal and material real property of the Loan Parties.

04-06-2026

MFA Financial, Inc. held its 2026 Annual Meeting on June 3, 2026, with a quorum of 73.16% of outstanding common shares. Stockholders elected both Class I director nominees (Laurie S. Goodman and Richard C. Wald) with majority support, ratified KPMG LLP as independent auditor for FY2026, and approved the advisory executive compensation resolution. All proposals passed, though the executive compensation vote saw notable opposition (2.1 million against, 671,107 abstentions) and broker non-votes of 23.4 million shares.

• · The record date for the Annual Meeting was April 8, 2026.
• · The proxy statement was dated April 17, 2026.
• · Broker non-votes totaled 23,418,611 shares on both director elections and the executive compensation proposal.
• · The ratification of KPMG LLP received the highest support with 73,275,772 votes for and only 690,827 against.
• · The advisory executive compensation resolution had 2,135,819 votes against and 671,107 abstentions, indicating some shareholder dissent.

04-06-2026

CV Sciences held its 2026 Annual Meeting on June 2, 2026, with 60.1% quorum. Stockholders elected three directors (Dr. Jamie Corroon, Joseph Dowling, Bill McCorkle) and ratified Haskell & White LLP as auditor. However, a proposal to authorize a reverse stock split (ratio 1:10 to 1:800) was not approved, with 59,628,926 votes against versus 48,496,747 for.

• · Record date for the meeting was April 6, 2026.
• · Reverse stock split proposal failed: 48,496,747 for, 59,628,926 against, 8,109,111 abstain.
• · Auditor ratification passed with 102,384,289 for, 12,488,529 against, 1,361,966 abstain.
• · Director votes: Corroon 39,505,495 for; Dowling 37,674,977 for; McCorkle 22,671,092 for (with 17,168,371 abstain).

04-06-2026

Bally's Chicago, Inc. disclosed the appointment of Cheryl Ash as Senior Vice President, Finance and North America and CFO of Bally's Chicago, effective May 29, 2026. Her annual compensation includes a base salary of $350,000, a target bonus of 75% of base salary, and eligibility for future equity grants. No negative or flat performance metrics are present in this filing.

• · Cheryl Ash's employment agreement is with Bally's Management Group, LLC, a subsidiary of Bally's Corporation.
• · The base salary of $350,000 will be reviewed annually.
• · Future equity grants are subject to determination by the compensation committee of Bally's Corporation board of directors.
• · The filing includes a cautionary note regarding forward-looking statements.

04-06-2026

Prudential Financial, Inc. closed the sale of $750,000,000 in aggregate principal amount of its 6.250% Fixed-to-Fixed Reset Rate Junior Subordinated Notes due 2056 on June 4, 2026. The notes were issued under a supplemental indenture and the offering was underwritten by a syndicate including Wells Fargo, Barclays, Citigroup, Goldman Sachs, and J.P. Morgan. No period-over-period comparisons are available as this is a discrete financing event.

• · The notes are junior subordinated and due in 2056, with a fixed-to-fixed reset rate structure.
• · The underwriting agreement was dated June 1, 2026, and the notes were issued under a Twenty-First Supplemental Indenture dated June 4, 2026.
• · The notes are listed on the New York Stock Exchange under the trading symbol PFH.
• · Legal opinions were provided by Miguel A. Nieves (company counsel) and Willkie Farr & Gallagher LLP (tax counsel).

04-06-2026

Pacira BioSciences issued a press release reminding stockholders to vote the BLUE proxy card for its three director nominees ahead of the June 9, 2026 Annual Meeting, opposing DOMA Perpetual Capital Management's nominees. The company highlights record 2025 financial results and Q1 2026 revenue growth across its portfolio, but faces a proxy contest with DOMA seeking board representation.

• · Annual Meeting date: June 9, 2026
• · Proxy advisory firms ISS, Glass Lewis, and Egan-Jones recommend voting FOR Pacira's nominees and AGAINST DOMA's nominees
• · Pacira achieved highest total revenue, GAAP gross margins, and non-GAAP gross margins in company history in 2025
• · Key 2026 pipeline readouts expected: Part A of Phase 2 study of PCRX-201 in knee osteoarthritis, registrational studies for ZILRETTA in shoulder osteoarthritis and iovera° in spasticity
• · DOMA's nominees lack public company board experience and relevant biopharmaceutical expertise according to Pacira

04-06-2026

PennyMac Financial Services, Inc. (PFSI) held its 2026 Annual Meeting on June 3, 2026. All ten director nominees were elected, Deloitte & Touche LLP was ratified as the independent auditor, and executive compensation was approved in a non-binding vote. However, the say-on-pay proposal received a relatively high 1.45 million votes against and 229,612 abstentions, indicating some shareholder dissent.

• · The record date for the meeting was not explicitly stated, but the total shares entitled to vote were 51,923,059.
• · All ten director nominees were elected, with the highest votes for Jeffrey A. Perlowitz (42,602,569) and the lowest for Lisa M. Shalett (41,744,791).
• · Proposal 2 (ratification of auditor) passed overwhelmingly with 47,183,413 votes for and only 284,212 against.
• · Proposal 3 (say-on-pay) received 41,064,673 votes for, but 1,453,740 against and 229,612 abstentions, indicating notable opposition.

04-06-2026

Disciplined Growth Acquisition Corp. completed a private placement of 345,000 units at $10.00 per unit for $3.45M, and the underwriters partially exercised their over-allotment option to purchase 750,000 additional units at $10.00 per unit for $7.5M. In connection with the over-allotment, additional private placement units were sold for $97,500. Total proceeds of $158.2875M were placed in a trust account. No period-over-period comparisons are available as this is an IPO and pre-combination entity.

• · The underwriter had a 45-day option from the date of the Registration Statement to purchase up to 2,250,000 Option Units; as of June 4, 2026, only 750,000 have been exercised.
• · The Registration Statement for the IPO was initially filed on April 16, 2026.
• · No underwriting discounts or commissions were paid with respect to the private placement sales.
• · The issuances of Private Placement Units were exempt from registration under Section 4(a)(2) of the Securities Act.

04-06-2026

Ensysce Biosciences filed an S-3 registration statement on June 4, 2026, for the resale of shares by selling securityholders. The company faces significant going concern risk with cash only sufficient into late Q2 2026, and has received Nasdaq delisting notices for non-compliance with stockholders' equity and bid price requirements. Net losses have been substantial since inception, and the company expects to continue incurring losses.

• · Stock price fluctuated between $0.23 and $2.75 from June 3, 2025 to June 2, 2026.
• · Nasdaq delisting notice for bid price non-compliance received February 25, 2026; compliance deadline August 24, 2026.
• · Nasdaq delisting notice for stockholders' equity non-compliance received May 21, 2026; plan submission deadline July 6, 2026.
• · Company has 250,000,000 authorized common shares and 1,500,000 authorized preferred shares.
• · Series B Preferred Stock has liquidation preference of 125% of conversion amount.

04-06-2026

Commercial Vehicle Group, Inc. (CVGI) filed a Form S-3 shelf registration statement on June 4, 2026, to offer up to $25,000,000 in common stock, warrants, subscription rights, and units from time to time. The company's common stock is listed on Nasdaq under the symbol 'CVGI' and had a last reported price of $5.13 on June 1, 2026. The filing does not include any financial results or period-over-period comparisons, so no positive or negative performance metrics are available.

• · The company is a non-accelerated filer and not a smaller reporting company or emerging growth company.
• · The registration statement is subject to completion and the prospectus is dated June 4, 2026.
• · The company has manufacturing operations in the United States, Mexico, China, United Kingdom, Czech Republic, Ukraine, Morocco, Thailand, India, and Australia.
• · Products are primarily sold in North America, Europe, and the Asia-Pacific region.

04-06-2026

On June 3, 2026, Jade Biosciences, Inc. (JBIO) entered into an underwriting agreement to sell 10,000,000 shares of common stock at $15.00 per share, with an underwriter option for up to 1,500,000 additional shares. Net proceeds are expected to be approximately $140.3 million, or $161.5 million if the option is fully exercised. The offering is expected to close on June 5, 2026, utilizing the company's existing shelf registration statement; proceeds will be used for general corporate purposes.

• · Offering is being made under shelf registration statement Form S-3 (No. 333-295662)
• · Underwriters' discount is $0.90 per share ($15.00 - $14.10)
• · Underwriting Agreement includes customary representations, warranties, indemnification, and termination provisions
• · Company is an emerging growth company and has elected not to use extended transition period for new accounting standards
• · Legal opinion on share validity provided by Brownstein Hyatt Farber Schreck, LLP (Exhibit 5.1)

04-06-2026

At Chime Financial's 2026 Annual Meeting on June 2, 2026, stockholders elected three Class I directors (Christopher Britt, Shawn Carolan, and James Dunne) and ratified Ernst & Young LLP as the independent auditor for fiscal 2026. They also approved, on a non-binding advisory basis, the compensation of named executive officers and favored holding future advisory votes on executive compensation every one year. While all director nominees received substantial support, Christopher Britt and James Dunne each faced over 22 million votes against, indicating some shareholder dissent.

• · Broker non-votes totaled 120,030,740 for each director election and for the executive compensation and frequency proposals.
• · Christopher Britt received 669,932,083 for, 22,666,650 against, 115,016 abstain.
• · Shawn Carolan received 691,382,248 for, 1,170,676 against, 160,825 abstain.
• · James Dunne received 667,719,395 for, 24,832,777 against, 161,577 abstain.
• · Ratification of EY: 812,274,646 for, 316,594 against, 153,249 abstain.
• · Executive compensation advisory: 685,837,192 for, 6,658,614 against, 217,943 abstain.
• · Frequency vote: 691,498,616 for 1 year, 17,654 for 2 years, 209,974 for 3 years, 987,505 abstain.
• · The Board determined to hold future advisory votes on executive compensation every one year until the next required vote on frequency.

04-06-2026

Pacific Biosciences held its 2026 Annual Meeting on June 3, 2026, with approximately 65% of outstanding shares represented. Stockholders approved all four proposals, including the election of six Class III directors, ratification of Ernst & Young as independent auditor, an advisory vote on executive compensation, and an amendment to the 2020 Equity Incentive Plan to reserve an additional 16,000,000 shares. The board had previously approved the plan amendment on April 21, 2026, subject to stockholder approval.

• · The record date for the Annual Meeting was April 6, 2026.
• · Proposal 1 (Director Election): All six nominees received over 128 million votes 'For', with broker non-votes of 65,778,311 for each.
• · Proposal 2 (Auditor Ratification): Received 198,046,666 votes 'For', 3,990,483 'Against', and 972,226 'Abstain' — no broker non-votes.
• · Proposal 3 (Advisory Vote on Executive Compensation): 114,050,930 'For', 21,239,989 'Against', 1,940,145 'Abstain', with 65,778,311 broker non-votes.
• · Proposal 4 (Equity Plan Amendment): 114,865,820 'For', 20,469,132 'Against', 1,896,112 'Abstain', with 65,778,311 broker non-votes.
• · The amendment to the 2020 Plan was approved by the board on April 21, 2026, and subsequently by stockholders on June 3, 2026.

04-06-2026

iSpecimen Inc. filed an S-3 registration statement for the resale of up to 488,290 shares of common stock by selling stockholders, including shares from a May 2026 private placement. The company recently regained Nasdaq compliance after a stockholders' equity shortfall and a low bid price issue, and executed a 1-for-40 reverse stock split in April 2026. However, the offering represents a significant overhang relative to the company's public float, and the selling stockholders acquired shares at a cost basis of approximately $5.12 per share, which may be below current market prices, creating potential downward pressure on the stock.

• · The company regained Nasdaq compliance on November 28, 2025, after reporting stockholders' equity of $3,072,711 as of September 30, 2025.
• · The company regained compliance with the minimum bid price rule on May 12, 2026, after a 1-for-40 reverse stock split.
• · The selling stockholders' effective cost basis is approximately $5.12 per share, which may be below the current market price.
• · The Pre-Funded Warrants contain anti-dilution provisions that could result in additional shares beyond the 488,290 registered.
• · The company is required to seek stockholder approval to issue shares in excess of the Exchange Cap (19.99% of outstanding shares prior to the Purchase Agreement).
• · A registration default could trigger liquidated damages obligations, adversely affecting the company's cash position.
• · The SEC may characterize the offering as a primary offering, potentially reducing the number of shares registered for resale.

04-06-2026

Kodiak Sciences Inc. held its 2026 Annual Meeting on June 2, 2026, with 88.53% of shares represented. Stockholders elected three Class II directors, approved executive compensation on an advisory basis, and ratified the appointment of PricewaterhouseCoopers as independent auditor for fiscal year 2026.

• · Proposal One: Charles A. Bancroft received 38,940,529 votes for and 10,560,815 withheld; Bassil I. Dahiyat received 48,843,144 for and 658,200 withheld; Taiyin Yang received 49,192,610 for and 308,734 withheld.
• · Proposal Two (Say-on-Pay): 49,157,143 for, 323,196 against, 21,005 abstain.
• · Proposal Three (Auditor Ratification): 54,716,676 for, 52,962 against, 256,906 abstain.
• · Broker non-votes: 5,525,200 on Proposals One and Two; none on Proposal Three.

04-06-2026

DRC Medicine Inc. filed Amendment No. 2 to its S-4 registration statement with the SEC on June 4, 2026, in connection with a proposed business combination with Ribbon Acquisition Corp (a SPAC). The transaction involves a share exchange, domestication of Ribbon from Cayman Islands to Delaware, and a merger, with DRC Medicine Inc. (Pubco) becoming the publicly listed entity. The filing details the structure, compensation to the sponsor, and listing plans, but does not provide specific financial performance metrics or redemption assumptions.

• · The filing is Amendment No. 2 to Form S-4, filed on June 4, 2026, with SEC file number 333-295712.
• · The business combination agreement was entered into on June 30, 2025, and a joinder agreement was added on June 3, 2026.
• · The share exchange was implemented on March 1, 2026, with DRC Medicine Holdings Ltd. as intermediate holdco.
• · Ribbon Acquisition Corp is a Cayman Islands exempted company; its Class A and Class B ordinary shares have a par value of $0.0001 per share.
• · The sponsor, Ribbon Investment Company Ltd, will convert its Class B shares on a one-for-one basis into Class A shares prior to domestication.
• · Pubco will apply for listing on Nasdaq under a proposed symbol (not yet disclosed).
• · The filing does not provide specific redemption assumptions or ownership percentages (marked as [ ]).

04-06-2026

BayFirst Financial Corp. held a Special Meeting to seek shareholder approval for the conversion/exchange of newly issued Series D and Series E preferred stock into common stock, which is necessary to close an April 28, 2026 private placement that raised $80M in gross proceeds to shore up the bank’s regulatory capital. However, the company disclosed significant financial pressures underlying the capital raise: a net loss of $22.9M for FY2025 and an additional net loss of $5.7M in Q1 2026, and the Bank’s capital ratios fell below ‘well-capitalized’ levels, prompting its primary regulator to threaten a formal enforcement action. The filing also outlines the appointment of Alfred T. Rogers, Jr. as President & CEO to lead a turnaround, and a planned public offering of up to 4,108,072 shares at $3.50 per share to existing shareholders at the same effective price as the private placement.

• · The private placement closed on April 28, 2026, issuing 4,000 shares of Series D and 4,000 shares of Series E, each at $10,000/share, for gross proceeds of $80M.
• · As of March 31, 2026, the Bank was not considered well-capitalized: Tier 1 leverage ratio of 6.54%, CET1 and Tier 1 capital ratios of 8.58% to risk-weighted assets, and total capital ratio of 9.84% to risk-weighted assets, leading the primary regulator to indicate it would pursue a formal enforcement action if capital was not improved.
• · The Company incurred a net loss of $22.9M for FY2025 and a net loss of $5.7M for Q1 2026.
• · The Company will commence a public offering of up to 4,108,072 shares of common stock at $3.50 per share exclusively to shareholders of record on May 12, 2026, at the same effective price as the private placement.
• · The Board unanimously recommends approval of all three proposals: Conversion Proposal, Articles Amendment Proposal (increase authorized common from 15M to 100M shares), and Adjournment Proposal.
• · The increase in authorized shares from 15,000,000 to 100,000,000 is required to complete the conversion/exchange of all Series D and Series E shares.

04-06-2026

Lipocine Inc. announced it will host a virtual Key Opinion Leader (KOL) event on June 12, 2026, to discuss unmet needs in postpartum depression and the clinical profile of its candidate LPCN 1154. The event is scheduled for 11:00 AM Eastern Time. No financial results or performance metrics were disclosed in this filing.

• · The KOL event will be held on Friday, June 12, 2026, at 11:00 AM Eastern Time.
• · The event will focus on unmet needs in postpartum depression and the clinical profile of LPCN 1154.
• · The press release was issued on June 4, 2026, and is furnished as Exhibit 99.1 to the 8-K.

04-06-2026

Jack Henry & Associates announced the retirement of Board Chair David Foss, effective July 15, 2026, with Vice Chair and Lead Independent Director Matt Flanigan succeeding him. The transition is part of a planned succession, and no financial impact or performance metrics were disclosed in the filing.

• · David Foss joined Jack Henry in 1999, served as President from 2014 to 2022, CEO from 2016 to 2024, and Board Chair since 2021.
• · Matt Flanigan joined the Board in 2007, has served as Lead Director since 2012, and retired as EVP and CFO of Leggett & Platt in 2019.
• · No financial metrics, revenue figures, or performance data were included in the filing.

04-06-2026

Arrow Financial Corporation held its 2026 Annual Meeting on June 3, 2026, with 78.34% of outstanding shares represented. Shareholders elected four Class A directors, approved advisory executive compensation, and ratified Crowe LLP as auditor for fiscal 2026. All proposals passed with strong support, though director Gregory J. Champion received the highest number of withheld votes (1,592,804).

• · Director Gregory J. Champion received 1,592,804 votes withheld, the highest among nominees.
• · Advisory executive compensation vote had 731,910 against and 195,791 abstentions.
• · Ratification of Crowe LLP had 429,557 against and 221,022 abstentions.
• · Broker non-votes totaled 2,930,911 for director elections and executive compensation.

04-06-2026

Provident Financial Services, Inc. announced the appointment of Annamaria Vitelli as Executive Vice President and Chief Wealth Officer of its subsidiary, Provident Bank, effective as of the press release date. Ms. Vitelli has also been designated as an Executive Officer and Regulation O Officer, signaling a strengthening of the wealth management leadership team. No financial terms, material impact, or financial results were disclosed in this filing.

• · The appointment was effective as of June 1, 2026.
• · Ms. Vitelli was also designated as Regulation O Officer of the Bank.
• · The press release was filed as Exhibit 99.1 to the Form 8-K.

04-06-2026

Midwest Financial Network, LLC filed its 13F-HR for the period ending December 31, 2025, reporting total holdings of approximately $129.6 million across 68 equity and ETF positions. The portfolio is heavily weighted toward fixed-income and buffer ETFs, with top holdings in Vanguard S&P 500 ETF ($8.3M), Vanguard 500 Value Index ($6.5M), and Capital Group fixed-income ETFs ($4.4M each). The filing shows a diversified, income-focused strategy with significant allocations to First Trust and SPDR products, but no period-over-period comparisons are available in this initial filing.

• · The largest single holding is Vanguard S&P 500 ETF at $8,282,232 (13,207 shares).
• · The second-largest holding is Vanguard 500 Value Index Fund at $6,548,410 (31,967 shares).
• · Capital Group fixed-income ETFs total approximately $8.85M combined ($4,419,861 in Core Plus Income and $4,431,494 in US Multi-Sector Income).
• · First Trust ETFs collectively represent a significant portion of the portfolio, with the largest being First Trust Long Duration Opportunities at $5,207,866 (238,565 shares).
• · SPDR ETFs are heavily represented, with the SPDR Portfolio Developed World ex-US ETF at $4,360,058 (98,177 shares) and SPDR Portfolio Emerging Markets ETF at $4,608,306 (98,447 shares).
• · The portfolio includes 68 positions, all held with sole voting and dispositive power.
• · No period-over-period comparisons are available as this is a single-period filing.

04-06-2026

The Federal Home Loan Bank of New York issued five consolidated obligations totaling $1.11 billion on June 1-2, 2026, with settlement dates in June 2026 and maturities ranging from 2027 to 2036. The issuances include fixed-rate and variable-rate bonds, with most being callable (Optional Principal Redemption) and one non-callable variable-rate floater of $1.01 billion dominating the total. Coupon rates range from 4.15% to 4.75% for fixed-rate bonds, while the variable-rate floater's rate is index-linked.

• · The largest issuance is a $1.01 billion non-callable variable-rate Single Index Floater (CUSIP 3130BAXF9) maturing June 4, 2027, representing 91% of total par value.
• · Two bonds are callable with Bermudan call style (CUSIP 3130BAXR3 and 3130BAXZ5), allowing redemption on specified recurring dates after first call dates.
• · One bond (CUSIP 3130BAVK0) is callable with American call style, redeemable continuously after the first call date (June 9, 2027).
• · The longest maturity is 10 years (CUSIP 3130BAXR3, maturing June 11, 2036), while the shortest is 1 year (CUSIP 3130BAXF9, maturing June 4, 2027).
• · All fixed-rate bonds have constant coupon payments; no step-up, step-down, or zero-coupon bonds were issued.

04-06-2026

Futurewave Acquisition Corp, a Cayman Islands blank check company formed for the purpose of effecting a business combination, filed an S-1/A registration statement with the SEC on June 4, 2026. The offering consists of up to 7,500,000 units (or 8,625,000 if the over-allotment option is exercised in full) at $10.00 per unit, with gross proceeds of $75.0 million ($10.00 per unit deposited into trust). The units include one ordinary share and one right (no warrants in public units, though private units include one ordinary share, one warrant, and one right). Pro forma net tangible book value per share at the offering price of $8.00 (adjusted for rights) ranges from $5.10–$0.19 per share, implying substantial dilution to public shareholders. The sponsor acquired founder shares at a nominal price, creating a conflict of interest and immediate and substantial dilution for public investors. The company has no operations, no specific business combination target, and faces significant competition among SPACs.

• · The company qualifies as an 'emerging growth company' under the JOBS Act and will have reduced SEC reporting requirements.
• · Investors will not be entitled to protections normally afforded under Rule 419 blank check offerings.
• · Pro forma net tangible book value per share ranges from $5.10 (25% redemptions) to $0.19 (maximum redemptions) without over-allotment, and from $5.11 to $0.19 with over-allotment.
• · Dilution to public shareholders ranges from $2.90 (25% redemptions) to $7.81 (maximum redemptions) per share.
• · The company has no specific business combination under consideration and has not had any substantive discussions with any target.
• · The sponsor's founder shares were acquired at a nominal price, creating an immediate and substantial dilution for public shareholders.
• · Representative shares (3% of total ordinary shares sold) are subject to FINRA Rule 5110(e)(2) lock-up restrictions.

04-06-2026

Matthews International Funds filed additional proxy soliciting materials on June 4, 2026, urging record-date shareholders in six Matthews Asia Active ETFs to vote before the adjourned meeting on June 17, 2026. The filing warns that if required shareholder participation is not achieved, the Funds may be unable to continue operating and the Board may be forced to consider liquidation, which could result in a taxable event. While all other Matthews Asia Funds have reached quorum, these six funds have not yet met the threshold, though shareholders who have already voted have done so overwhelmingly in favor of the proposals.

• · The adjourned meeting is scheduled for June 17, 2026.
• · Shareholders who have already voted have voted overwhelmingly FOR the proposals.
• · All other Matthews Asia Funds have reached the required quorum.
• · Even an 'ABSTAIN' vote counts toward the quorum required by federal securities laws.
• · If quorum is not achieved, the Board may be forced to consider liquidation, which may result in a taxable event for shareholders.

04-06-2026

On June 1, 2026, Principal Credit Real Estate Income Trust sold an aggregate of 36,771.87 common shares for approximately $750,000 in a private placement exempt from registration under the Securities Act. The offering included Class I, Class F-S, Class F-I, and Class E shares, with Class F-S shares representing the largest portion at $500,000.

• · The sale was part of a continuous private offering and exempt under Section 4(a)(2) and Rule 506 of Regulation D.
• · Class F-S shares accounted for approximately 66.6% of total shares sold and 66.7% of total consideration.
• · Class E shares were the smallest tranche, with only 463.67 shares sold for $10,000.

04-06-2026

Guidewire Software reported strong Q3 FY2026 results with total revenue up 27% YoY to $372.5M and ARR growing 19% to $1,147M, driven by subscription and support revenue growth of 35%. However, license revenue declined 2% YoY to $56.0M, and GAAP net income fell sharply to $16.5M from $46.0M in the prior year, impacted by a $20.1M foreign currency loss versus a $34.2M gain last year. The company raised its full-year outlook for revenue, operating income, and cash flow, and announced a $500M share repurchase program with $240.5M remaining.

• · GAAP net income was negatively impacted by a $20.1M foreign currency loss in Q3 FY2026, compared to a $34.2M foreign currency gain in Q3 FY2025.
• · Guidewire repurchased 1,696,180 shares at an average price of $147.07 during Q3 FY2026.
• · As of April 30, 2026, $240.5M remains available under the $500M share repurchase program.
• · The company raised its FY2026 outlook: total revenue now expected between $1,460M and $1,470M, non-GAAP operating income between $314M and $324M, and operating cash flow between $365M and $380M.
• · Q4 FY2026 guidance includes ending ARR of $1,229M to $1,237M and total revenue of $396M to $406M.
• · License revenue declined 2% YoY to $56.0M, a continued weak spot.
• · Cash and investments decreased 22.7% from $1,483.2M (July 31, 2025) to $1,146.8M (April 30, 2026), partly due to share repurchases.

04-06-2026

CIMG Inc. filed an 8-K on June 4, 2026, reporting amendments to its charter or bylaws (Item 5.03) and providing related exhibits (Item 9.01). The filing does not disclose any financial results or operational metrics, and no period-over-period comparisons are available.

• · The filing is an 8-K submitted on June 4, 2026, covering Items 5.03 (amendments to articles of incorporation or bylaws) and 9.01 (financial statements and exhibits).
• · CIMG Inc. is incorporated in Nevada with a fiscal year ending September 30, and its SIC code is 5900 (Retail-Miscellaneous Retail).
• · The company was formerly known as Havana Furnishings Inc. (until June 2013) and NuZee, Inc. (until November 2024).