S&P 500 Industrials Sector SEC Filings — May 21, 2026

21-05-2026

DALRADA TECHNOLOGY GROUP (DHTI) reported a net loss of $4.3M for the quarter ended March 31, 2026, roughly flat vs. a $4.2M loss in the same quarter last year, while total revenue declined 44% YoY to $2.6M. For the nine-month period, revenue fell 28% YoY to $9.9M, and the net loss improved 17% to $14.8M. The company continues to operate with negative stockholders' equity of -$20.9M and total current liabilities of $29.9M far exceed current assets of $8.0M, signaling acute liquidity risk.

• · Cash and cash equivalents fell 52% from $172.8K at June 30, 2025 to $82.6K at March 31, 2026.
• · Total liabilities increased 54% from $25.0M to $38.5M, driven by a surge in accounts payable and accrued liabilities – related parties (from $3.4M to $10.5M) and notes payable, current portion (from $3.9M to $9.1M).
• · Stockholders' deficit worsened from -$6.7M to -$20.8M, more than tripling.
• · Net cash used in operating activities for the nine months was $6.1M, roughly flat compared to $6.1M in the prior year period.
• · Interest expense for the nine months increased 9.8% to $2.6M from $2.4M, while interest income dropped 91.2% to $5.1K.
• · The company issued 14,206 shares of Series I preferred stock during Q1 FY2026 upon conversion of related party notes.
• · Approximately $11.9M of preferred stock to be issued was reclassified to additional paid-in capital during the second quarter.
• · Loss per share improved from -$0.19 to -$0.14 (basic and diluted) for the nine-month period.

21-05-2026

GlobalTech Corp reported Q1 2026 net revenue of $10.4 million, up from $4.3 million in Q1 2025, driven by the acquisition of a 51% stake in Moda in Pelle. However, GAAP net loss widened to $4.0 million from $1.1 million, and Adjusted EBITDA was negative $1.3 million versus negative $0.1 million in the prior year, reflecting higher operating costs and integration expenses.

• · The acquisition of 51% ownership in 123 Investments Limited (Moda in Pelle) closed on December 15, 2025.
• · Q1 2026 results include contributions from international termination, broadband, technology services, and retail footwear revenue streams.
• · GAAP net loss attributable to common shareholders was $2.1 million, or $(0.014) per basic and diluted share.
• · Depreciation and amortization increased to $1.909 million in Q1 2026 from $0.501 million in Q1 2025.
• · Finance cost rose to $0.801 million in Q1 2026 from $0.347 million in Q1 2025.
• · The company is preparing for a potential uplisting to the Nasdaq Capital Market, subject to regulatory review and meeting listing requirements.
• · Moda in Pelle operates retail, online, wholesale, and concession channels in the United Kingdom.
• · The company does not currently meet Nasdaq's initial listing requirements.

21-05-2026

Tractor Supply Company entered into an Amended and Restated Credit Agreement on May 19, 2026, with a syndicate of lenders led by Wells Fargo Bank as Administrative Agent. The agreement provides revolving loans, incremental term loans, a letter of credit subfacility, and a swingline loans subfacility, with the borrower subject to affirmative and negative covenants including a financial covenant. No specific financial figures or period-over-period comparisons are disclosed in this filing.

• · The credit agreement includes a financial covenant (Section 6.9) requiring the borrower to maintain compliance with specified financial ratios.
• · The agreement contains negative covenants restricting subsidiary indebtedness (Section 7.1), liens (Section 7.2), mergers and consolidations (Section 7.3), and asset dispositions (Section 7.4).
• · Events of default (Article VIII) include failure to pay, breach of representations, covenant violations, cross-default to other indebtedness, bankruptcy, and ERISA events.
• · The agreement provides for an extension option (Section 3.19) allowing the borrower to extend the maturity date under certain conditions.
• · The filing does not disclose the total commitment amount, interest rates, or any specific financial metrics.

21-05-2026

On May 21, 2026, AvalonBay Communities and Equity Residential announced a merger of equals to create one of the country's leading real estate companies with a combined enterprise value of $69B. The combined entity will manage over 180,000 apartments and generate approximately $2B of annual cash flow, with expected net synergies of $125M after real estate tax reassessments. However, the transaction is subject to stockholder approvals and customary closing conditions, and the forward-looking statements caution that actual results may differ materially due to various risks including integration challenges and market conditions.

• · Exchange ratio is 2.793 EQR shares for each AVB share.
• · Combined company expected to have Dual A3/A- credit ratings.
• · Initial expected annualized dividend of $2.81 per share, equivalent to Equity Residential's existing dividend and higher than AvalonBay's current dividend.
• · Combined company will have a development rights pipeline of $4.2B to meaningfully increase annual new development start activity.
• · Approximately 30% of communities include an affordable or mixed-income component, representing 7,200 affordable apartment homes.
• · Combined philanthropic contributions in 2025 were ~$3.4 million cash & in-kind donations and ~16,600 volunteer hours.

21-05-2026

BankUnited, Inc. held its 2026 Annual Meeting on May 21, 2026, where shareholders approved the Amended and Restated 2023 Omnibus Equity Incentive Plan, increasing the share reserve by 1.5 million shares to a total of 2,301,549 shares and extending the plan termination date to May 21, 2036. All nine director nominees were elected, and the appointment of Deloitte & Touche LLP as independent auditor for 2026 was ratified. However, the advisory vote on executive compensation (Say-on-Pay) received only 89.5% support, and the equity plan approval was notably close, with 60.2% for and 39.8% against, indicating significant shareholder dissent.

• · The Amended Plan extends the termination date from May 16, 2033 to May 21, 2036.
• · The equity plan approval received 36,175,265 For votes, 23,906,092 Against, and 993,760 Abstain, with 6,891,801 broker non-votes.
• · The Say-on-Pay proposal received 54,673,360 For, 6,236,321 Against, and 165,436 Abstain, with 6,891,801 broker non-votes.
• · Auditor ratification was overwhelmingly approved with 67,952,223 For, 7,163 Against, and 7,532 Abstain.
• · All director nominees were elected with For votes ranging from 59,527,530 (Sanjiv Sobti) to 60,953,296 (John N. DiGiacomo).

21-05-2026

Genco Shipping & Trading Ltd filed a DEFA14A additional proxy soliciting material on May 21, 2026, urging shareholders to vote using the WHITE proxy card for the 2026 Annual Meeting. The filing highlights the company's strong corporate governance, including being the largest U.S.-headquartered drybulk shipping company, the only U.S.-listed drybulk firm with no related-party transactions, and a board where half of the six directors are female. The communication also contains forward-looking statements regarding dividends, cautioning that future payments depend on various factors and are not guaranteed.

• · The company has filed a definitive proxy statement on Schedule 14A for the 2026 Annual Meeting of Shareholders.
• · Genco is the only U.S.-listed drybulk shipping company with no related-party transactions.
• · The company has been consistently ranked in the top quartile on corporate governance among public shipping companies by Webber Research.
• · John Wobensmith was inducted into the International Maritime Hall of Fame in 2024 and will receive the Silver Bell Award from the Seamen’s Church Institute in June 2026.
• · Karin Orsel received the IMO Gender Equality Award in 2025.
• · Basil Mavroleon served as a director of Pyxis Tankers, Inc. from October 2015 to May 2026.
• · Paramita Das served as Chief Strategy Officer at Stardust Power Inc. from September 2024 to November 2025.
• · Arthur Regan has been CEO of Energos Infrastructure since 2022.

21-05-2026

Zentalis Pharmaceuticals announced that data from Part 1 of the Phase 1b MUIR trial evaluating azenosertib in combination with paclitaxel in platinum-resistant ovarian cancer (PROC) will be presented at the 2026 ASCO Annual Meeting. In an all-comer population (n=46), the combination showed an ORR of 39.1% and median PFS of 7.3 months, with a manageable safety profile. However, the median DOR was only 5.6 months, and 32.6% of patients discontinued due to adverse events, including one Grade 5 event related to sepsis.

• · Data cutoff date: December 1, 2025
• · Median DOR in all-comer population: 5.6 months (95% CI: 5.6–9.2)
• · Median PFS in all-comer population: 7.3 months (95% CI: 3.7–7.5)
• · In Cyclin E1-positive patients: median PFS 7.3 months (95% CI: 3.7-9.1)
• · In Cyclin E1-negative patients: median PFS 5.4 months (95% CI: 1.7-NE)
• · In 250 mg intermittent cohort: median DOR 9.2 months (95% CI: 3.8–NE); median PFS 5.5 months (95% CI: 1.7–12.9)
• · One Grade 5 event (sepsis) assessed as related to azenosertib by investigator, previously reported in June 2024
• · All patients had received prior paclitaxel
• · Dose cohorts: 200 mg QD continuous, or 200 mg, 250 mg, or 300 mg QD intermittent (5 days on, 2 days off)

21-05-2026

VIDA Global Inc. announced the listing of its tokenized equity on xStocks via a press release on May 21, 2026. The filing is a Regulation FD disclosure and does not contain financial results or quantitative data.

• · The press release is furnished as Exhibit 99.1 and incorporated by reference.
• · The information is furnished, not filed, under the Exchange Act.

21-05-2026

Barinthus Biotherapeutics plc held a Court Meeting and General Meeting on May 20, 2026, where shareholders overwhelmingly approved the Scheme of Arrangement and the Scheme Implementation Proposal. At the Court Meeting, 99.98% of Scheme Shares voted in favor, and at the General Meeting, 99.98% of votes cast supported the special resolutions. The results are final, and the company is proceeding with the scheme transaction.

• · The Court Meeting had 0 broker non-votes and 0 abstentions.
• · The General Meeting had 10 abstentions and 0 broker non-votes.
• · The Scheme Implementation Proposal is described in detail in the proxy statement filed on April 22, 2026.

21-05-2026

Immix Biopharma announced that all four MRD-negative relapsed/refractory AL Amyloidosis patients from ASH 2025 have converted to complete response (CR), raising the CR rate in the Phase 2 NEXICART-2 trial to 95% (19/20). No relapses have been observed in patients who reached CR, and all CRs occurred within one year of follow-up. However, the filing includes risk factors cautioning that interim data may differ from final results, and no period-over-period comparisons are provided to contextualize the improvement.

• · All four MRD-negative patients from ASH 2025 converted to CR.
• · No relapses observed to date for patients who reached CR.
• · All CRs reached within one year of follow-up post-dosing.
• · MRD-negativity 10-5 achieved within 30 days for all MRD-negative patients.
• · As of May 14, 2025, 17 of 20 patients showed rapid normalization of diseased light chains with median time to initial response of 7 days.
• · Safety data through May 14, 2026 generally consistent with previous data.
• · Next NEXICART-2 update expected in late September 2026.
• · Phase 3 trial of NXC-201 in newly diagnosed AL Amyloidosis planned to start in first half of 2027.
• · Risk factors caution that interim data may materially differ from final results.

21-05-2026

Rocket Pharmaceuticals held its 2026 Annual Meeting on May 20, 2026, with 74.02% of outstanding shares represented. Stockholders elected seven directors, ratified EisnerAmper LLP as auditor, approved executive compensation on an advisory basis, and approved a stock option exchange program. However, director David P. Southwell received only 43,172,112 votes for (68.2% of votes cast), with 20,112,032 votes withheld, indicating significant shareholder dissent, and the stock option exchange program passed with a relatively narrow margin (45,582,445 for vs. 17,615,213 against).

• · Broker non-votes totaled 17,490,515 shares on all director elections and on Proposals Three and Four.
• · Proposal Two (ratification of auditor) had no broker non-votes; votes for: 79,195,009, against: 1,002,656, abstentions: 576,994.
• · Proposal Three (advisory say-on-pay) received 61,389,376 votes for, 1,671,016 against, and 223,752 abstentions.
• · Proposal Four (stock option exchange) passed with 45,582,445 for, 17,615,213 against, and 86,486 abstentions.
• · All director nominees received over 59.5 million votes for except David P. Southwell, who received 43.2 million for and 20.1 million withheld.

21-05-2026

Babcock & Wilcox Enterprises, Inc. filed an S-3 shelf registration statement to register securities for future offerings. The prospectus highlights a strong pipeline growth of 84% QoQ to over $14.0B (from $7.6B), 88% of LTM Q1 2026 revenue from aftermarket activity, and optimistic industry tailwinds from rising natural gas prices and supportive U.S. executive orders. However, the filing prominently warns of high investment risk, including potential volatility in the common stock price, reliance on a pipeline that may not convert to revenue, and exposure to customer capital expenditure cycles.

• · Global electricity demand expected to grow from 27,290 TWh (2024) to 37,819 TWh (2035) and 50,667 TWh (2050) per IEA.
• · U.S. federal government issued two executive orders supporting coal energy in 2025 and 2026.
• · The company targets BrightLoop small-scale deployment in 2027, medium-scale in 2029, and large-scale in 2032.
• · Pipeline may not generate margins equal to historical operating results and may fail to convert to revenue.
• · Common stock is listed on NYSE under symbol BW and is subject to significant price and volume fluctuations.

21-05-2026

NanoViricides, Inc. disclosed that its President and Executive Chairman, Dr. Anil R. Diwan, participated in the AGP Healthcare Companies Showcase on May 20, 2026, where he stated that the company's two drug candidates—NV-387 and NV-387 encapsulating Remdesivir—are expected to be effective against the current Ebola virus Bundibugyo strain in the DRC. The company has a clinical site in DRC for Mpox treatment, but no specific clinical data or timeline for Ebola was provided, and the efficacy of remdesivir against Ebola in prior human trials was not established.

• · NV-387 is a broad-spectrum antiviral entering Phase II clinical trial against Mpox in DRC.
• · NV-387 encapsulating Remdesivir is an oral formulation that protects remdesivir against bodily metabolism, as published in a peer-reviewed PLOS ONE paper.
• · Remdesivir's efficacy against Ebola was not established in prior human clinical trials, but safety and tolerability were confirmed.
• · The company has a clinical site in DRC for Mpox treatment.

21-05-2026

Medallion Financial Corp. filed a definitive proxy statement for its 2026 Annual Meeting, urging shareholders to read all relevant documents. The company highlights a successful transformation from taxi medallion lending to consumer finance, with record earnings, loan growth, and shareholder returns. However, it faces a proxy fight from debt holder ZimCal, which the board claims lacks understanding of the business.

• · Net income during the last 5 years exceeds the combined net income for first 25 years as a public company.
• · Independent analysts have a BUY rating on Medallion stock.
• · Latest $75M capital raise was rated A- by Egan-Jones (investment grade).
• · Board has added three independent directors in the last 6 years and five in the last nine years.
• · ZimCal is a debt holder vowing to wage proxy fights if not granted board seats or a profitable resolution to his debt position.
• · ZimCal's nominees do not possess skills additive to the board according to the company.

21-05-2026

Deere & Company reported Q2 2026 net income of $1.773 billion ($6.55 EPS), down 2% from $1.804 billion ($6.64 EPS) in Q2 2025, while total net sales and revenues rose 5% to $13.369 billion. The Production & Precision Agriculture segment saw a sharp 39% decline in operating profit to $706 million, but this was offset by strong growth in Small Agriculture & Turf (+25% to $719 million) and Construction & Forestry (+48% to $561 million). The company maintained its full-year net income guidance of $4.5-5.0 billion, reflecting confidence despite ongoing market challenges.

• · Production & Precision Agriculture operating margin fell to 15.7% from 22.0% a year ago.
• · Small Agriculture & Turf operating margin improved to 20.6% from 19.2%.
• · Construction & Forestry operating margin rose to 14.8% from 12.9%.
• · Financial Services net income outlook for fiscal 2026 is approximately $860 million.
• · Industry outlook for U.S. & Canada Large Ag is down 15-20% for fiscal 2026.
• · Industry outlook for U.S. & Canada Construction Equipment is up ~5%.
• · The company recorded a $272 million recovery for IEEPA tariff refund claims.
• · Dividends declared remained flat at $1.62 per share in both Q2 2026 and Q2 2025.
• · Research and development expenses increased to $583 million in Q2 2026 from $549 million in Q2 2025.
• · Interest expense decreased to $712 million in Q2 2026 from $784 million in Q2 2025.

21-05-2026

Barnwell Industries reported a net loss attributable to the company of $1.15M for Q2 FY2026 (three months ended March 31, 2026), narrowing from a $1.207M loss in the prior-year quarter. Revenue fell 29% to $2.535M, driven by a $1.06M decline in oil and natural gas sales. However, operating costs decreased 19% to $3.983M, and the company recorded a $338,000 equity in income of affiliates, partially offsetting the revenue drop. For the six-month period, the net loss attributable to Barnwell improved to $2.576M from $3.124M a year ago, though cash used in operations increased to $2.422M from $854M.

• · The company issued 926,403 shares of common stock, net of costs, during the six months ended March 31, 2026, raising $3.365M.
• · Cash used in operating activities from continuing operations increased to $2.422M in H1 FY2026 from $0.854M in H1 FY2025, a 184% increase.
• · Capital expenditures for oil and natural gas dropped sharply to $0.25M in H1 FY2026 from $2.641M in H1 FY2025.
• · The company recorded a $338,000 equity in income of affiliates in Q2 FY2026, compared to $0 in the prior-year quarter.
• · Accumulated deficit widened to $9.084M at March 31, 2026 from $6.508M at September 30, 2025.
• · Total liabilities decreased to $13.388M from $13.790M over the same period.
• · The company had no discontinued operations in FY2026; the prior-year period included a contract drilling segment that was sold.

21-05-2026

Tax Free Fund II for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies. The Boards are evaluating mergers, which would require shareholder approval and regulatory filings. If mergers are not approved, the Boards will consider other alternatives to enhance liquidity.

• · The Funds are Puerto Rico unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger with an open-end fund would allow shareholders to redeem shares at NAV daily.
• · The merger process requires Board approval, shareholder approval, and SEC registration.
• · If shareholder approval is not obtained, the Board will examine other strategic alternatives.
• · Contact: Patricia Duque at (787) 522-6776.

21-05-2026

Fourteen Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies. The boards are evaluating mergers that would allow daily redemptions at NAV, subject to shareholder approval and regulatory filings. If mergers are not approved, the boards will explore other alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger would require shareholder approval and a registration statement on Form N-14.
• · If a merger is not approved, the board will examine other strategic alternatives to provide liquidity at or close to NAV.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

Multiple Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at NAV, though any merger requires final Board approval, regulatory clearances, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement is made under Rule 425 and involves 14 separate closed-end funds.
• · The funds are registered under the Investment Company Act of 1940 and are unlisted closed-end funds.
• · If a merger proceeds, the surviving open-end fund will file a registration statement on Form N-14 with the SEC.
• · Shareholder approval is required for any merger to proceed.
• · If shareholder approval is not obtained, the Board will examine other strategic alternatives to provide liquidity at or as close as possible to NAV.
• · The announcement includes forward-looking statements regarding risks such as market declines, economic downturns, and regulatory changes.

21-05-2026

Tax-Free Fixed Income Fund III for Puerto Rico Residents, Inc., along with 13 other Puerto Rico closed-end funds, announced a strategic review to pursue a merger with an open-end fund, seeking to provide better liquidity, value, and operational efficiencies for shareholders. This structural change would allow daily redemptions at net asset value, a significant improvement over the current closed-end structure. However, the merger is subject to Board approval, regulatory requirements, tax implications, and shareholder approval; if approval is not obtained, the Board will explore other alternatives. The announcement is forward-looking and carries risks including market declines, regulatory changes, and inability to implement the strategy.

• · The merger would require a surviving open-end fund to file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · If shareholder approval for a merger is not obtained, the Board intends to examine other strategic alternatives to provide enhanced liquidity at or close to net asset value.
• · The Funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · Forward-looking statements caution that risks include market declines, economic downturns, competition, regulatory changes, and inability to retain key employees or implement the investment strategy.

21-05-2026

Multiple Puerto Rico closed-end funds are evaluating a strategic shift to an open-end fund structure via mergers, aiming to provide shareholders daily liquidity at NAV. The Board of each fund is conducting a thorough analysis of such mergers, which would require shareholder approval and SEC filings. However, the outcome remains uncertain—if shareholder approval is not obtained, the Board will explore other strategic alternatives to enhance liquidity.

• · The announement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The evaluation is being conducted by the Board of Directors of each Fund.
• · A merger would require a final analysis by the Board covering portfolio composition, liquidity, regulatory requirements, tax implications, regulatory approvals, and long-term viability of the surviving open-end fund.
• · If a merger is approved, the surviving open-end fund would file an SEC registration statement on Form N-14 including a proxy statement/prospectus.
• · If shareholder approval is not obtained, the Board intends to examine other strategic alternatives to provide enhanced liquidity at or as close to NAV as possible.
• · Contact information: Patricia Duque, telephone (787) 522-6776.

21-05-2026

The Tax-Free Fixed Income Fund for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue a merger with an open-end fund structure, aiming to provide daily liquidity at net asset value for shareholders. The boards are evaluating regulatory, tax, and portfolio implications, and any merger would require shareholder approval. If shareholder approval is not obtained, the boards will explore other strategic alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger with an open-end fund would require final board analysis, regulatory approvals, and shareholder approval.
• · If a merger is not approved, the board intends to examine other strategic alternatives to provide enhanced liquidity at or close to net asset value.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of related documents on the SEC's website at www.sec.gov.

21-05-2026

Tax-Free Fixed Income Fund V for Puerto Rico Residents, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide daily liquidity and operational efficiencies. The Boards are evaluating mergers subject to final analysis, regulatory approvals, and shareholder votes; if shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity at or near net asset value.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The merger would require shareholder approval; if not obtained, the Board will examine other strategic alternatives to provide enhanced liquidity at or as close as possible to net asset value.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of relevant documents on the SEC's website at www.sec.gov.

21-05-2026

The Funds, a group of 14 Puerto Rico unlisted closed-end funds, announced a strategic review to pursue mergers with open-end funds to provide daily liquidity and operational efficiencies for shareholders. The Board of each Fund is evaluating the mergers, which would require shareholder approval, regulatory clearance, and final Board analysis. If shareholder approval is not obtained for a merger, the respective Board will examine other alternatives to enhance liquidity at or close to net asset value.

• · The merger evaluation is in an early stage — no registration statement has been filed yet; a surviving open-end fund would file Form N-14 subsequently.
• · If a merger is approved, shareholders of each target closed-end Fund would receive shares of the surviving open-end fund.
• · The announcement covers 14 separate Funds, each with its own Board conducting the evaluation.
• · The Funds currently have no direct path to liquidity for shareholders at NAV due to the closed-end structure.
• · Contact person: Patricia Duque at (787) 522-6776 for further information.

21-05-2026

Fifteen Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, but any merger is subject to final Board analysis, regulatory approvals, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The surviving open-end fund would file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Investors can obtain free copies of relevant documents on the SEC's website at www.sec.gov.
• · The statement is not an offer to buy or sell any securities or a solicitation of any vote or approval.

21-05-2026

The Board of Directors of 14 Puerto Rico closed-end funds, including Puerto Rico Residents Tax-Free Fund V, Inc., is evaluating a merger with an open-end fund to provide shareholders with daily liquidity at net asset value (NAV). Any merger would require shareholder approval, regulatory filings, and Board finalization; if a merger is not approved, the Board will examine other alternatives to enhance liquidity. The funds are currently pursuing this alternative to address the existing closed-end structure's lack of a direct redemption path.

• · The Board is conducting a thorough evaluation of a merger with an open-end fund, which would provide a direct path to liquidity via daily redemptions at NAV, unlike the current closed-end structure.
• · If a Fund cannot obtain required shareholder approval for a merger, its Board intends to examine other strategic alternatives to provide enhanced liquidity at or as close to NAV as possible.
• · The surviving open-end fund would file a registration statement on Form N-14 (including a proxy statement/prospectus) with the SEC; no securities offering will be made except by means of a prospectus meeting Section 10 of the Securities Act of 1933.
• · Investors are urged to read the joint proxy statement/prospectus and other documents when available, free of charge on the SEC’s website at www.sec.gov.

21-05-2026

Multiple Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and shareholder value. The Boards are evaluating mergers that would allow daily redemptions at net asset value, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other alternatives to enhance liquidity.

• · The announcement is preliminary; no definitive merger agreements have been reached.
• · Any merger would require shareholder approval and SEC registration on Form N-14.
• · If a merger is not approved, the Board will explore other strategic alternatives to provide liquidity at or near net asset value.
• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · The surviving open-end fund would issue shares to closed-end fund shareholders upon merger approval.

21-05-2026

Puerto Rico Residents Tax-Free Fund III, Inc. and 13 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, but any merger requires final Board analysis, regulatory approvals, and shareholder approval. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The funds are unlisted closed-end funds registered under the Investment Company Act of 1940.
• · A merger would require the surviving open-end fund to file a registration statement on Form N-14 with the SEC, including a proxy statement/prospectus.
• · Shareholder approval is required for any merger to proceed.
• · If a merger is not approved, the Board will examine other strategic alternatives to provide liquidity at or close to net asset value.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

A group of 14 Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity and operational efficiencies for shareholders. The boards are evaluating this alternative, which would allow daily redemptions at NAV, but any merger requires shareholder approval and regulatory filings. If shareholder approval is not obtained, the boards will explore other strategic alternatives to enhance liquidity.

• · The funds are registered under the Investment Company Act of 1940 as Puerto Rico unlisted closed-end funds.
• · A merger would require shareholder approval, regulatory approvals, and a registration statement on Form N-14.
• · If shareholder approval is not obtained, the boards will examine other strategic alternatives to provide liquidity at or close to NAV.
• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.

21-05-2026

Allogene Therapeutics issued a supplement to its definitive proxy statement for the 2026 Annual Meeting of Stockholders to correct errors in the Summary Compensation Table. The corrections adjust the Total column for CEO David Chang (2024), CMO Zachary Roberts (2025), and CFO Geoffrey Parker (2025) to reflect the correct sum of all compensation components. There is no change to the advisory vote on executive compensation (Proposal 2) or any other proposal.

• · The Annual Meeting will be held on June 18, 2026 at 8:00 a.m. Pacific Time via live webcast at www.virtualshareholdermeeting.com/ALLO2026.
• · The correction does not affect any voting proposals; only the Summary Compensation Table totals are corrected.
• · For 2025, CEO David Chang received $0 Bonus, RSU awards of $1,071,218, PSU awards of $1,338,319, option awards of $2,588,329, non-equity incentive plan compensation of $400,010, and all other compensation of $14,217.
• · For 2025, CMO Zachary Roberts received $0 Bonus, RSU awards of $337,391, PSU awards of $421,740, option awards of $815,222, non-equity incentive plan compensation of $202,804, and all other compensation of $17,750.
• · For 2025, CFO Geoffrey Parker received $0 Bonus, RSU awards of $337,391, PSU awards of $421,740, option awards of $815,222, non-equity incentive plan compensation of $191,250, and all other compensation of $15,750.
• · Payouts of PSUs are reported at maximum possible payout of 150% of target.

21-05-2026

Puerto Rico Residents Tax-Free Fund II, Inc. and 14 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at NAV, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · A merger would require final Board analysis including portfolio composition, liquidity, regulatory requirements, tax implications, and long-term viability of the surviving open-end fund.
• · After Board approval, the surviving open-end fund would file a registration statement on Form N-14 with the SEC, which would include a proxy statement for shareholder vote.
• · If a merger is not approved, the Board intends to examine other strategic alternatives to provide liquidity at or as close as possible to NAV.
• · No specific timeline or financial terms were disclosed.

21-05-2026

Puerto Rico Residents Bond Fund I and 14 other Puerto Rico closed-end funds announced a strategic review to pursue mergers with open-end funds to provide better liquidity, value, and operational efficiencies for shareholders. The Boards are evaluating mergers that would allow daily redemptions at net asset value, subject to final analysis, regulatory approvals, and shareholder votes. If shareholder approval is not obtained, the Boards will examine other strategic alternatives to enhance liquidity.

• · The announcement was made on May 20, 2026, from San Juan, Puerto Rico.
• · Each Fund is a Puerto Rico unlisted closed-end fund registered under the Investment Company Act of 1940.
• · The merger would require shareholder approval and a registration statement (Form N-14) to be filed with the SEC.
• · If a merger is not approved, the Board intends to examine other strategic alternatives to provide liquidity at or as close as possible to net asset value.
• · Contact for further information: Patricia Duque, telephone (787) 522-6776.

21-05-2026

Independent Bank Corp (IBCP) filed an S-4/A registration statement for its merger with HCB Financial Corp, dated March 18, 2026. The merger is expected to close in 2026, with HCB shareholders receiving Independent common stock. The filing includes detailed merger terms, representations, and covenants, but no specific financial figures or performance metrics are provided.

• · The merger agreement was dated March 18, 2026.
• · HCB does not anticipate holding an annual meeting in 2026 other than the one held on April 15, 2026.
• · Shareholder proposals for Independent must be submitted 60-90 days before the annual meeting anniversary.
• · Documents incorporated by reference include Independent's 2025 10-K, 2026 proxy, and several 8-Ks.
• · Request for documents must be made by June 10, 2026 to receive them before the special meeting.

21-05-2026

John Deere Capital Corporation reported Q2 FY2026 net income of $151M, up 22% YoY from $124M, driven by favorable financing spreads and lower credit provisions. However, revenue declined 2% to $1,167M and the ending portfolio balance fell 3% to $56,082M, reflecting a lower average portfolio.

• · Net income improvement was driven by favorable financing spreads, a lower provision for credit losses, and favorable derivative valuation adjustments.
• · The revenue decline was partially offset by the impact of a lower average portfolio.
• · The filing also includes a press release and earnings presentation from parent company Deere & Company (Exhibits 99.1 and 99.2).

21-05-2026

Advanced Drainage Systems reported Q4 FY2026 net sales of $676.8M, up 9.9% YoY, driven by the NDS acquisition and strong Allied product growth, though organic sales rose only 2.0%. Adjusted EBITDA increased 6.4% to $188.0M, but GAAP net income from continuing operations plunged 54.1% to $35.2M due to acquisition-related costs and restructuring expenses. For FY2026, net sales grew 5.0% to $3,050.4M, while adjusted EBITDA margin improved to 31.6% from 30.6%; however, GAAP net income declined 5.0% and the company issued a cautious FY2027 outlook citing geopolitical and economic uncertainty.

• · Q4 FY2026 Stormwater sales were $534.7M (up 11.7% YoY), including $48.8M from NDS; organic Stormwater growth was only 2%.
• · Q4 FY2026 Wastewater sales were $142.0M (up 3.7% YoY).
• · Q4 FY2026 gross profit margin was 35.1% ($237.7M) vs 36.7% ($226.3M) in prior year.
• · Q4 FY2026 SG&A expense surged 50.5% to $137.6M (20.3% of sales) from $91.4M (14.8% of sales), driven by NDS acquisition and transaction costs.
• · Q4 FY2026 income from operations fell 54.4% to $53.3M from $117.0M.
• · FY2026 Stormwater sales were $2,397.4M (up 3.1% YoY); Wastewater sales were $653.0M (up 13.0% YoY).
• · FY2026 gross profit margin was 38.3% ($1,167.4M) vs 37.7% ($1,094.2M) in prior year.
• · FY2026 SG&A expense increased 23.4% to $469.5M (15.4% of sales) from $380.4M (13.1% of sales).
• · FY2026 income from operations declined 5.8% to $619.2M from $657.4M.
• · FY2026 capital expenditures increased $36.8M over prior year.
• · Net debt rose $586.5M to $1,548.9M due to NDS acquisition financing.
• · Leverage ratio was 1.6x as of March 31, 2026.
• · FY2027 outlook: net sales $3.350B-$3.550B, Adjusted EBITDA $1.0B-$1.050B, capex ~$200M.
• · Company repurchased 0.7M shares for $99.2M in FY2026; $1.0B remains under authorization.
• · Higher-margin Infiltrator and Allied products grew 14% and 13% respectively in FY2026, representing 48% of total revenue.
• · Adjusted EBITDA margin in Q4 FY2026 declined to 27.8% from 28.7% in prior year.
• · Net loss from discontinued operations was $1.09M in Q4 and FY2026.

21-05-2026

Nocopi Technologies acquired substantially all assets of Polymeric US, Inc. for $2.65 million, funded with $1.75M cash, $0.75M equity (500,000 shares at $1.50/share), and a $0.15M holdback. The acquisition more than triples Nocopi's revenue base, adding over $5M in trailing twelve-month revenue with historically attractive pre-tax margins. However, the company issued 500,000 new shares (diluting existing holders) and appointed Gregory S. Babe as Executive Director of Operations, who along with a Horizon Kinetics affiliate purchased 133,334 shares each at $1.50/share in a private placement.

• · Polymeric was founded in 1993 and has a 30-year operating history.
• · Top 10 customers have an average relationship tenure of more than 5 years.
• · Polymeric generated over $5M in revenue for the trailing twelve months ended March 31, 2026.
• · The acquisition more than triples Nocopi's revenue base.
• · Polymeric will continue to operate under its own brand out of its 25,000 sq ft facility in Kansas City, MO.
• · Gregory S. Babe brings over 40 years of leadership experience and a 'lean growth' philosophy.
• · The private placement involved 266,668 total shares at $1.50/share, raising approximately $400,000.
• · No specific pre-tax margin percentage was disclosed for Polymeric (only described as 'historically attractive').

21-05-2026

Dream Finders Homes, Inc. (DFH) disclosed on May 21, 2026, that it has proposed to the board of Beazer Homes USA, Inc. to acquire all outstanding shares of Beazer in an all-cash transaction. The filing includes a press release and investor presentation furnished as exhibits. The proposal is subject to due diligence, regulatory approvals, and Beazer's cooperation; no definitive agreement has been reached, and the outcome remains uncertain.

• · The proposal is an all-cash transaction for all outstanding shares of Beazer Homes USA, Inc.
• · No definitive agreement has been executed; the proposal is subject to Beazer's board response and further negotiations.
• · The filing is furnished under Regulation FD (Item 7.01) and is not deemed filed for SEC liability purposes.
• · Forward-looking statements highlight risks including failure to obtain shareholder or regulatory approvals, financing challenges, and integration difficulties.

21-05-2026

S&P Global Inc. announced that its Board of Directors approved the separation of its Mobility division through a pro rata distribution of 100% of Mobility Global Inc. common stock to S&P Global shareholders. Shareholders will receive one share of Mobility Global for each S&P Global share held as of the June 15, 2026 record date, with the distribution expected to be effective on July 1, 2026. The separation is subject to customary conditions, including SEC effectiveness of Mobility Global's Form 10 registration statement.

• · The distribution ratio is one share of Mobility Global common stock for every one share of S&P Global common stock.
• · Record date for the distribution is June 15, 2026.
• · Distribution effective date is July 1, 2026 at 12:01 a.m. New York City time.
• · S&P Global will retain no ownership interest in Mobility Global after the separation.
• · Completion is subject to customary conditions, including SEC effectiveness of Mobility Global's Form 10 and no Board determination that proceeding is inadvisable.

21-05-2026

Rigetti Computing announced that its subsidiary Rigetti & Co, LLC entered a Letter of Intent with the U.S. Department of Commerce for a proposed $100 million award under the CHIPS and Science Act to accelerate superconducting quantum computing R&D over three years. The award would be funded through issuance of Rigetti common stock to the Department at a 15% discount to the lowest of three specified closing prices. The agreement is non-binding and subject to negotiation of definitive transaction agreements.

• · The implied issuance price for shares to the Department will be the lowest closing price on May 5, 2026, May 20, 2026, or the award issuance date, discounted by 15%.
• · The LOI was transmitted from the Department to Rigetti Sub on May 5, 2026, and executed on May 20, 2026.
• · The securities issued to the Department will be unregistered, relying on Section 4(a)(2) and/or Regulation D exemptions.
• · The press release was issued on May 21, 2026, and is furnished as Exhibit 99.1.

21-05-2026

Badger Meter, Inc. filed an 8-K on May 21, 2026, to disclose a presentation used during its Investor Day. The filing is a Regulation FD disclosure and does not contain any financial results or quantitative data.

• · The presentation (Exhibit 99.1) was used during the Investor Day on May 21, 2026.
• · The information is furnished under Item 7.01 and is not deemed filed for Section 18 purposes.

21-05-2026

PepGen Inc. furnished an updated Corporate Presentation on May 21, 2026, in connection with its participation in the 15th International Myotonic Dystrophy Consortium (May 26-30, 2026). The filing is a Regulation FD disclosure and does not contain any financial results or quantitative performance data.

• · The updated Corporate Presentation was furnished as Exhibit 99.1 and is incorporated by reference.
• · The presentation is being used at the 15th International Myotonic Dystrophy Consortium held May 26-30, 2026.
• · The information is furnished, not filed, under the Exchange Act and is not subject to Section 18 liabilities.

21-05-2026

Tandem Diabetes Care, Inc. filed an 8-K on May 21, 2026, announcing the adoption of an Amended and Restated Certificate of Incorporation, effective May 20, 2026. The amendment updates the authorized capital stock to 205 million shares (200 million common, 5 million preferred) and introduces supermajority voting requirements (66 2/3%) for changes to key governance articles, including director liability, officer liability, and exclusive forum provisions. No financial results or period-over-period comparisons are included in this filing.

• · The Amended and Restated Certificate of Incorporation was adopted by the Board of Directors and stockholders in accordance with Sections 242 and 245 of the Delaware General Corporation Law.
• · The amendment eliminates the liability of officers for monetary damages to the fullest extent permitted by law (Article 11).
• · The exclusive forum for certain legal actions is the Court of Chancery of the State of Delaware (Article 8).
• · Stockholder action by written consent is prohibited; actions must be taken at a duly called annual or special meeting (Article 5.E).
• · Special meetings of stockholders may only be called by the Board of Directors, not by stockholders (Article 5.C).

21-05-2026

TruBridge, Inc. has filed a preliminary proxy statement (PREM14A) for a special meeting to approve its acquisition by IKS at $26.25 per share in cash, representing an 87.5% premium over the unaffected $14.00 closing price on March 30, 2026. The Board unanimously recommends voting 'FOR' the merger and the related executive compensation proposal. However, the merger is taxable to U.S. stockholders, and failure to vote will have the same effect as a vote 'AGAINST' the merger proposal.

• · The special meeting will be held virtually on [●], [●], 2026 at www.virtualshareholdermeeting.com/TBRG2026SM.
• · Stockholders can vote by Internet (www.proxyvote.com), telephone, mail, or virtually at the meeting.
• · Internet and telephone voting closes at 11:59 p.m. Central Time on [●], 2026; mailed proxy cards must be received by [●], 2026.
• · Broker non-votes will have the same effect as a vote 'AGAINST' the merger proposal but no effect on the advisory compensation proposal.
• · The merger is taxable for U.S. federal income tax purposes; stockholders should consult their tax advisors.
• · The Board also approved Support Agreements related to the transaction.

21-05-2026

Raab & Moskowitz Asset Management LLC filed its Form 13F-HR for the quarter ended March 31, 2026, reporting a total of 187 equity holdings with an aggregate market value of approximately $449.6 million. The portfolio is heavily weighted toward large-cap ETFs and blue-chip stocks, with top positions including Vanguard Total Stock Market ETF ($21.7M), Apple Inc. ($20.1M), Berkshire Hathaway ($11.9M), and Invesco S&P 500 Equal Weight ETF ($11.2M). The filing reflects a diversified, value-oriented strategy with significant exposure to healthcare, technology, and consumer staples, though no prior-period comparison is available to assess changes in holdings.

• · All 187 holdings are reported as sole voting and dispositive power, indicating no shared or non-discretionary accounts.
• · The largest single equity position by market value is Vanguard Total Stock Market ETF at $21.7 million, followed by Apple Inc. at $20.1 million.
• · The largest position by share count is Pfizer Inc. with 232,244 shares, valued at $6.5 million.
• · The portfolio includes significant ETF exposure: Schwab US Dividend Equity ETF (146,815 shares), Vanguard Whitehall High Dividend Yield ETF (88,643 shares), and iShares Select Dividend ETF (74,238 shares).
• · No options, warrants, or convertible securities are reported; all positions are common stocks or ETFs.
• · The filing was signed by Daniel H. Moskowitz, Member and Chief Compliance Officer, on May 21, 2026.

21-05-2026

Unity Bancorp, Inc. declared a cash dividend of $0.16 per common share, payable on June 18, 2026, to shareholders of record as of June 4, 2026. The announcement was made via a press release on May 21, 2026, and filed as an 8-K. No prior-period dividend data is provided, so no period-over-period comparison is available.

• · Dividend record date: June 4, 2026
• · Dividend payment date: June 18, 2026
• · Press release filed as Exhibit 99.1