S&P 500 Industrials Sector SEC Filings — June 05, 2026

05-06-2026

ABM reported fiscal Q2 2026 revenue of $2.3B, up 8.4% YoY, with organic growth of 6.1% and record first-half new sales bookings of $1.2B. Net income improved to $43.1M ($0.73/diluted share) from $42.2M ($0.67) a year ago, while adjusted net income declined to $52.9M ($0.90) from $54.1M ($0.86). The company reaffirmed its fiscal 2026 adjusted EPS outlook of $3.85–$4.15, but now expects segment operating margin toward the low end of its 7.8%–8.0% range.

• · B&I segment revenue was essentially flat YoY, as strong UK growth was offset by client exits.
• · Segment operating margin declined to 7.3% from 7.9% due to newer contracts in M&D and B&I, plus weather and ramp-up inefficiencies in Aviation.
• · Net income margin slipped to 1.9% from 2.0%.
• · Total leverage ratio stood at 3.2x; company expects it to fall below 3.0x by fiscal year-end.
• · Board declared a quarterly cash dividend of $0.29 per share, payable August 3, 2026.
• · Fiscal 2026 organic revenue growth guidance raised to toward top end of 3%–4% range; total revenue growth toward top end of 4%–5% range.
• · Adjusted EPS outlook reaffirmed at $3.85–$4.15, but now includes prior-year self-insurance adjustments.
• · Interest expense forecast raised to ~$110M; normalized tax rate expected 29%–30%.

05-06-2026

G-III Apparel Group reported mixed Q1 FY2027 results: GAAP net income surged to $66.5M ($1.50/diluted share) from $7.8M ($0.17) last year, largely driven by a $102.7M pre-tax IEEPA tariff refund receivable. However, net sales declined 8% YoY to $536.0M from $583.6M, and on a non-GAAP basis the company posted a net loss per share of ($0.21) versus $0.19 in the prior year. The company raised its full-year GAAP and non-GAAP earnings guidance but expects full-year net sales to fall to approximately $2.71B from $2.96B in FY2026, reflecting the loss of roughly $470M in Calvin Klein and Tommy Hilfiger product sales.

• · Q1 FY2027 non-GAAP net loss per share was ($0.21), compared to non-GAAP diluted EPS of $0.19 in the prior year.
• · GAAP gross margin surged to 64.9% from 42.2% a year ago, including a $102.7M IEEPA tariff refund benefit; adjusted gross margin expanded 350 bps to 45.7%.
• · Full-year FY2027 net sales guidance of approximately $2.71B reflects an ~$470M loss of sales from Calvin Klein and Tommy Hilfiger products.
• · Full-year non-GAAP net income guidance of $95M-$99M ($2.15-$2.25 per diluted share) is below FY2026 non-GAAP net income of $116.2M ($2.61 per share).
• · Adjusted EBITDA for FY2027 is expected to be $178M-$182M, down from $192.4M in FY2026.
• · Q2 FY2027 net sales expected to be ~$570M, down from $613.3M in Q2 FY2026; Q2 net income midpoint guidance of $9M is below the $10.9M reported in Q2 FY2026.
• · The company has a strong cash position of $394.2M at quarter-end, up from $257.8M last year.
• · Inventories decreased 8% YoY to $417.9M.
• · The company announced the pending acquisition of the Marc Jacobs brand in partnership with WHP Global, which is not reflected in the guided numbers.
• · GAAP net income guidance for FY2027 is $171M-$175M ($3.85-$3.95 per diluted share), significantly above FY2026 GAAP net income of $67.4M ($1.51 per diluted share), primarily due to the tariff refund benefit.
• · Non-GAAP effective tax rate for FY2027 is estimated at approximately 33.5%, higher than previous estimates due to higher non-deductible expenses.

05-06-2026

BlackRock Monticello Debt Real Estate Investment Trust, as guarantor, entered into a Credit and Security Agreement dated June 1, 2026, with BLKM VI, LLC as borrower, ConnectOne Bank as administrative agent and account bank, and MonticelloAM Servicing, LLC as servicer. The agreement establishes a secured credit facility with an advance rate of 85% on eligible loans, secured by collateral including loan receivables. No specific dollar amounts for the facility or financial performance metrics are disclosed in this filing.

• · The agreement includes a guaranty from BlackRock Monticello Debt Real Estate Investment Trust for all obligations of the borrower.
• · The facility is secured by a first-priority security interest in all collateral, including eligible loans and related assets.
• · The agreement contains standard representations, warranties, covenants, and events of default typical for a secured credit facility.
• · The filing redacts certain confidential information under Regulation S-K Item 601(b)(10) and personally identifiable information under Item 601(a)(6).

05-06-2026

On June 4, 2026, Jordan Krugman resigned from all positions at Invesco Capital Management LLC (the Managing Owner) and its affiliates, including his role on the Board of Managers, effective August 3, 2026. The Managing Owner is currently considering his replacement. No financial impact or performance data is provided in this filing.

• · Resignation effective date: close of business on August 3, 2026.
• · The Managing Owner is currently considering Mr. Krugman's replacement.

05-06-2026

Charlotte's Web Holdings announced that co-founder Jared Stanley has stepped down from its Board of Directors effective June 3, 2026, to focus full-time on his role as CEO of DeFloria, a clinical-stage botanical pharmaceutical company co-founded by Charlotte's Web. The Board supports the transition, and Mr. Stanley will remain available for advisory support. The move underscores Charlotte's Web's strategic alignment with DeFloria's FDA Phase 2 development of AJA001 for autism-related irritability, while the core wellness business continues independently.

• · DeFloria was formed in 2023 by Charlotte's Web and AJNA BioSciences PBC, with a subsidiary of British American Tobacco p.l.c. as lead investor.
• · AJA001 is being developed for irritability associated with autism spectrum disorder via the FDA's Botanical Drug Pathway.
• · Jared Stanley will continue his role on ONE HEMP, the national industry coalition co-founded by Charlotte's Web.
• · The 2025 U.S. executive actions are expected to support cannabinoid drug development by expanding research access and reducing barriers to pharmaceutical partnerships.

05-06-2026

Alphabet Inc. (Google) announced five new water stewardship commitments, including a goal to replenish more water than it consumes at its data center sites by 2030, with 165 projects across 97 watersheds expected to replenish over 19 billion gallons annually. The company also disclosed $17 million in new water stewardship initiatives across seven U.S. states and is evaluating over 700 projects from its Water Replenishment RFI. However, the filing does not provide any financial performance metrics or period-over-period comparisons, and the water consumption data for 2024 (the baseline) is not explicitly stated, only referenced indirectly.

• · Google replenished more than 7 billion gallons of water in 2025, roughly equivalent to annual water usage of 70,000 average U.S. households.
• · Once fully implemented, the 165 projects are expected to replenish more than 19 billion gallons of water annually by 2030, more than double Google's 2024 consumption.
• · Google has committed over $500 million to date for water, wastewater and water reuse infrastructure and utility partners.
• · The company announced $17 million in new water stewardship projects across Georgia, Iowa, Michigan, Minnesota, Missouri, Nebraska, and Texas.
• · Google is evaluating more than 700 projects submitted through its Water Replenishment Projects RFI.
• · Google was the first major cloud provider to disclose annual water use for data center locations.
• · U.S. data centers use less than 1% of the water Americans use on their lawns annually.

05-06-2026

Brand Engagement Network Inc. (BEN) completed a $1 million strategic investment in HighTide Energy d/b/a Accelevate Solutions, acquiring an approximately 10% ownership stake with a warrant to increase to about 20% over six months. To fund the warrant exercise, BEN secured a $1 million equity capital commitment from its own investors at $17.82 per share (a >20% premium to the May 29, 2026 closing price), to be paid in six monthly installments through November 2026. The partnership aims to combine BEN's conversational AI with Accelevate's fleet intelligence platform for commercial fleet operators across North America, Latin America, and Africa.

• · BEN received a warrant to increase its ownership in Accelevate and intends to exercise it over the next six months.
• · The equity capital commitment will be funded in six monthly installments through November 2026, with BEN exercising a corresponding portion of the Accelevate warrant as each tranche is received.
• · The partnership targets commercial fleet operators across North America, Latin America, and Africa.
• · BEN's AI operates within secure closed-loop environments using approved organizational data and built-in governance and compliance controls.

05-06-2026

Banzai International, Inc. filed an S-1 registration statement on June 5, 2026, covering financial data through March 31, 2026. The filing includes a full year of 2025 results and a first quarter 2026 update, with the company reporting a net loss of $12.7 million for the three months ended March 31, 2026, compared to a net loss of $5.2 million in the same period of 2025, a significant decline. However, revenue grew to $4.5 million in Q1 2026 from $3.8 million in Q1 2025, a 18.4% increase. The company also completed the acquisition of Vidello Limited in January 2025.

• · The company completed the acquisition of Vidello Limited on January 31, 2025.
• · The filing includes a full year of 2025 results and Q1 2026 results.
• · The company has multiple classes of stock: Class A Common, Class B Common, Series A Preferred, Series FE Preferred.
• · The company has outstanding warrants including public warrants, GEM warrants, common warrants, placement agent warrants, and pre-funded warrants.

05-06-2026

Guidewire Software reported total revenue of $372.5M for Q3 FY2026 (three months ended April 30, 2026), up 26.9% YoY from $293.5M, driven by strong subscription and support revenue growth of 34.6% to $244.7M. However, net income declined to $16.5M from $46.0M in the prior year quarter, impacted by a $18.9M other expense versus a $34.1M gain. For the nine months, net income was $107.9M compared to $17.9M, a significant improvement. The company also repurchased $392.4M of common stock during the nine months.

• · Operating income improved to $30.6M in Q3 FY2026 from $4.5M in Q3 FY2025.
• · Total operating expenses were $206.0M in Q3 FY2026, up 15.6% YoY.
• · Stock-based compensation was $45.2M in Q3 FY2026 and $135.0M for nine months.
• · The company had $677.2M in convertible senior notes outstanding as of April 30, 2026.
• · Net cash provided by operating activities was $105.8M for nine months FY2026, up from $56.0M.
• · The company repurchased 1,696,180 shares in Q3 FY2026 for $251.0M.
• · Goodwill increased to $421.1M from $394.0M due to acquisitions.
• · Deferred revenue decreased to $304.4M from $344.8M.

05-06-2026

Trane Technologies held its 2026 Annual General Meeting on June 4, 2026, where shareholders elected all 11 director nominees, approved executive compensation on an advisory basis, ratified PricewaterhouseCoopers as independent auditors, and approved all four management proposals regarding share issuance and treasury share reallotment. All proposals passed with strong support, though Proposal 2 (say-on-pay) received the lowest approval at approximately 87.9% of votes cast, and director David S. Regnery received the highest opposition among nominees with 13.9 million against votes.

• · Proposal 3 (auditor ratification) passed with 179,260,754 for vs 18,777,625 against, with no broker non-votes.
• · Proposal 4 (authority to issue shares) passed with 194,107,911 for vs 4,007,170 against.
• · Proposal 5 (authority to issue shares for cash) passed with 177,895,192 for vs 20,071,250 against.
• · Proposal 6 (treasury share reallotment price range) passed with 196,329,589 for vs 1,572,063 against.
• · Broker non-votes were 13,771,529 for all director elections and Proposal 2, but zero for Proposals 3-6.

05-06-2026

Resideo Technologies held its Annual Meeting on June 3, 2026, with shareholders electing all 11 director nominees, approving the non-binding advisory vote on executive compensation (with 96.7% support), and ratifying Deloitte & Touche as auditor for 2026. However, a shareholder proposal regarding the right to act by written consent was overwhelmingly rejected, with only 23.6% of votes cast in favor.

• · Record date for the meeting had 151,421,223 shares of common stock and 498,500 shares of Series A Cumulative Convertible Preferred Stock outstanding (18,517,830 votes on as-converted basis).
• · All 11 director nominees were elected; Cynthia Hostetler received the lowest support (93.8% of votes cast for) with 9,079,263 votes against.
• · Proposal 2 — advisory vote on executive compensation — received 148,022,939 For, 4,861,498 Against, and 146,696 Abstentions (96.7% approval of votes cast).
• · Proposal 3 — ratification of Deloitte & Touche as auditor — passed with 161,182,481 For, 385,727 Against, 161,865 Abstentions (99.8% approval).
• · Proposal 4 — shareholder right to act by written consent — failed with only 36,291,860 For vs. 116,565,390 Against (76.3% opposed, 23.6% in favor).
• · Broker non-votes were 8,698,940 on each of Proposals 1, 2, and 4; there were no broker non-votes on Proposal 3 (auditor ratification).

05-06-2026

Tecogen Inc. held its 2026 Annual Meeting on June 5, 2026. All seven director nominees were elected with strong support, ranging from approximately 12.4 million to 15.0 million votes 'For'. Shareholders also ratified the appointment of Wolf & Company, P.C. as auditors (21.96 million For, 12,606 Against) and approved the non-binding advisory vote on 2025 executive compensation (14.94 million For, 47,130 Against). However, the non-binding advisory vote on the frequency of say-on-pay showed a preference for every three years (10.6 million) over every year (4.3 million), reflecting a mixed view among shareholders on this governance matter.

• · Ahmed F. Ghoniem was elected as a director with approximately 13.5 million votes 'For' and 1.64 million 'Withheld'.
• · The ratification of auditors (Proposal 2) was approved with 21,962,817 votes 'For', representing a strong majority of shares entitled to vote.
• · Executive compensation (Proposal 3) was approved with 14,940,604 'For', 47,130 'Against', and 136,287 'Abstain'.
• · On the frequency of say-on-pay (Proposal 4), 10,631,078 votes favored holding the vote every three years, while 4,275,925 favored every year, and only 30,503 favored every two years.

05-06-2026

Lemonade, Inc. held its 2026 annual meeting on June 3, 2026, with 53,866,520 shares (70.12% voting power) represented. Stockholders elected Michael Eisenberg and Debra Schwartz as Class III directors, ratified Ernst & Young LLP as auditor for FY2026, and approved executive compensation on a non-binding advisory basis. While director elections and auditor ratification passed overwhelmingly, the say-on-pay vote showed notable dissent with 7,955,312 votes against (23.1% of votes cast), indicating some shareholder concerns.

• · Record date for the meeting was April 9, 2026.
• · Michael Eisenberg received 27,119,000 votes for and 7,419,671 withheld (21.5% withheld of votes cast).
• · Debra Schwartz received 30,242,730 votes for and 4,295,941 withheld (12.4% withheld of votes cast).
• · Auditor ratification passed with 53,510,757 votes for, 227,383 against, and 128,380 abstentions.
• · Say-on-pay had 26,476,061 votes for, 7,955,312 against, and 107,298 abstentions, with 19,327,849 broker non-votes.

05-06-2026

Urban Outfitters held its Annual Meeting on June 3, 2026, where shareholders elected all ten director nominees, ratified Deloitte & Touche as auditor for FY2027, and approved executive compensation in a non-binding vote. All proposals passed with strong support, though broker non-votes were present for director elections and the compensation vote.

• · Broker non-votes totaled 3,849,900 for each director nominee and for the compensation proposal.
• · Ratification of Deloitte & Touche received 76,198,184 votes for, 1,403,695 against, and 15,180 abstentions with no broker non-votes.
• · The advisory vote on executive compensation had 72,960,681 for, 748,732 against, and 57,745 abstentions.

05-06-2026

On June 1, 2026, Longeveron Inc. CFO Lisa Locklear notified the company of her resignation, effective July 10, 2026, to pursue board opportunities and other interests. The company plans to elevate current controller Marie Washburn to the CFO role pending final contract. Locklear's departure is not due to any disagreement with the company's operations, policies, or practices.

• · CFO resignation effective July 10, 2026.
• · Controller Marie Washburn is anticipated to be elevated to CFO upon Locklear's departure, pending final contract.
• · Locklear's resignation was not due to any disagreement with the company.

05-06-2026

Bionano Genomics, Inc. (BNGO) announced the resignation of Dr. Alka Chaubey as Chief Medical Officer, effective July 5, 2026. The departure was disclosed in an 8-K filing on June 5, 2026, and Dr. Chaubey's resignation is effective approximately one month after the report date. No reason for the resignation or any compensatory arrangements were disclosed.

• · Dr. Chaubey's resignation is effective July 5, 2026, approximately one month after the filing date.
• · No reason for the resignation was provided in the filing.
• · No successor or interim Chief Medical Officer was announced.

05-06-2026

EWSB Bancorp, Inc. held its Annual Meeting of Stockholders on June 4, 2026, where shareholders elected directors Kay M. Dorow and Steven Haen each for three-year terms, with approximately 366,000 votes for and 20,000 withheld, plus 157,254 broker non-votes. The appointment of Plante Moran, PLLC as the independent registered public accounting firm for the year ending December 31, 2026 was ratified unanimously with 543,558 votes in favor, no against or abstain votes, and no broker non-votes.

• · The company is an emerging growth company as defined in Rule 405 of the Securities Act of 1933.
• · No extended transition period for complying with new financial accounting standards was elected.
• · The meeting was held on June 4, 2026, and the 8-K was filed on June 5, 2026.
• · Directors were elected for three-year terms or until successors are qualified.
• · The auditor ratification received unanimous support with zero votes against or abstaining.

05-06-2026

Phoenix Motor Inc. entered into a $5M term loan, security and guaranty agreement with Concrete Jungle Ltd., receiving $4M in principal proceeds (with a $5M face note) secured by a first-priority lien on all assets and guaranties from its subsidiaries. The agreement also grants the lender a warrant and an irrevocable option to acquire 49.0% of PhoenixEV's equity, and matures on April 1, 2027 with interest at 10% per annum (20% default rate). While the loan provides critical liquidity for working capital and general corporate purposes, the onerous terms—including a 49% equity option, full asset pledge, and high default rate—pose significant dilution and default risk for shareholders.

• · The loan matures on April 1, 2027, with no prepayment penalty mentioned.
• · The lender receives a warrant and an irrevocable option to acquire 49.0% of PhoenixEV's equity.
• · The loan is secured by a first-priority perfected security interest in all assets of the borrower and guarantors, with control agreements over deposit and securities accounts.
• · Excluded accounts are limited to payroll, tax, and benefit accounts with average daily balances under $10,000.
• · Events of default trigger a 20% default rate (Base + 10%) and acceleration of all obligations.
• · The agreement references prior asset purchases from Proterra, Inc. (2023 PTB Asset Purchase) and PhoenixEV (2025 PhoenixEV Asset Purchase).
• · Change of Control provisions include lender's ability to exercise the equity option in PhoenixEV without triggering a default.
• · The loan proceeds are restricted to working capital, general corporate purposes, and transaction fees/expenses.

05-06-2026

Granite Point Mortgage Trust Inc. (GPMT-PA) filed an 8-K on June 5, 2026, reporting that its Board adopted a revised Director Compensation Policy on June 4, 2026, which splits the prior $100,000 RSU award for independent directors equally into a $50,000 RSU award and a $50,000 long-term cash award to limit equity dilution. The company also held its 2026 Annual Meeting on June 4, 2026, where all seven director nominees were elected, the advisory vote on executive compensation was approved (17,500,001 for, 2,152,885 against), and Ernst & Young LLP was ratified as the independent auditor for fiscal 2026 (33,290,665 for, 395,844 against).

• · The revised Policy splits the prior $100,000 RSU award for independent directors into a $50,000 RSU award and a $50,000 long-term cash award, both with one-year vesting.
• · The Chair receives an $80,000 RSU award and an $80,000 long-term cash award under the revised Policy.
• · All seven director nominees were elected with broker non-votes of 13,057,901 for each nominee.
• · The advisory vote on executive compensation passed with 17,500,001 for, 2,152,885 against, and 1,412,480 abstentions.
• · Ratification of Ernst & Young LLP as auditor received 33,290,665 for, 395,844 against, and 436,758 abstentions.

05-06-2026

Artisan Partners Asset Management Inc. filed an 8-K on June 5, 2026, reporting preliminary assets under management (AUM) as of May 31, 2026. The filing includes a press release with AUM details, but no specific figures are provided in the 8-K itself.

• · Filing date: June 5, 2026
• · Preliminary AUM as of May 31, 2026 reported via press release (Exhibit 99.1)
• · Press release incorporated by reference and deemed filed for SEC purposes

05-06-2026

Ribbon Communications Inc. held its annual meeting on June 3, 2026, with approximately 93% of outstanding shares represented. All nine director nominees were elected, and the ratification of Deloitte & Touche as auditor was approved. However, the non-binding advisory vote on executive compensation passed with only 69.4% support, indicating significant shareholder dissent (30.6% against).

• · Beatriz V. Infante received the lowest support among director nominees with 140,967,587 votes for (6,167,837 against).
• · Ratification of Deloitte & Touche passed overwhelmingly with 162,346,373 votes for (99.8% of votes cast).
• · The advisory vote on executive compensation had 5,634,880 abstentions, indicating some shareholder uncertainty.
• · Broker non-votes totaled 16,363,552 on Items 1 and 3, but not on Item 2 (auditor ratification).

05-06-2026

Lakeside Holding Ltd (LSH) announced the resignation of Co-CEO Henry Liu, effective June 2, 2026, with no disagreement with the company cited. Following his departure, Yang Li becomes the sole CEO. The filing does not include any financial data or period-over-period comparisons.

• · Henry Liu's resignation was not due to any disagreement with the company's operations, policies, or practices.
• · Yang Li now serves as the sole Chief Executive Officer.
• · The resignation was effective June 2, 2026, and the filing was made on June 5, 2026.

05-06-2026

Jade Biosciences, Inc. (JBIO) announced the postponement of its 2026 Annual Meeting of Stockholders from 9:00 a.m. to 2:30 p.m. Pacific Time on the same day, June 9, 2026, for administrative purposes. The meeting will still be held virtually via live webcast, and the record date remains April 17, 2026. Stockholders who have already submitted proxies do not need to submit new ones.

• · Original meeting time was 9:00 a.m. Pacific Time / 12:00 p.m. Eastern Time.
• · Stockholders must register by 9:00 a.m. Pacific Time / 12:00 p.m. Eastern Time on June 7, 2026.
• · Record date for the meeting remains April 17, 2026.
• · Proxies already submitted remain valid; stockholders may revoke proxies following instructions in the proxy statement.

05-06-2026

Xeris Biopharma Holdings, Inc. held its 2026 Annual Meeting on June 4, 2026, where stockholders elected two Class II directors (Dawn Halkuff and John Johnson), ratified Ernst & Young LLP as independent auditor for FY2026, and approved the non-binding advisory Say-on-Pay vote for named executive officer compensation. While director elections and auditor ratification passed, the Say-on-Pay vote received notable opposition with 4.66 million votes against and 40.78 million broker non-votes, indicating some shareholder dissent on compensation.

• · Record date for the meeting was April 14, 2026, with 172,625,762 shares outstanding.
• · Quorum was achieved with 128,268,073 shares present (74.3% of outstanding).
• · Broker non-votes totaled 40,780,330 on director elections and Say-on-Pay, representing about 31.8% of shares present.
• · Auditor ratification had no broker non-votes and passed overwhelmingly with 125,789,818 votes for.
• · Say-on-Pay received 82,230,204 votes for, 4,658,035 against, and 599,504 abstentions, with 40,780,330 broker non-votes.

05-06-2026

Claros Mortgage Trust, Inc. held its 2026 annual meeting on June 3, 2026, where stockholders approved an amendment to the 2016 Incentive Award Plan, increasing the share reserve by 6.5 million shares to 14,781,594 shares and raising the ISO limit to 7.5 million shares. All nine director nominees were elected, and the appointment of PricewaterhouseCoopers LLP as auditor was ratified. However, the advisory vote on executive compensation (Say-on-Pay) received only 66.3% support, with 33.6% against, indicating significant shareholder dissent.

• · Derrick D. Cephas received the lowest support among director nominees with 81,678,525 votes for and 24,347,362 withheld (23.0% withheld).
• · Pamela Liebman and W. Edward Walter III each had over 19.8 million votes withheld (18.8% withheld).
• · The Say-on-Pay proposal had 35,691,548 votes against, representing 33.6% of votes cast.
• · The Plan Amendment (Proposal 4) passed with 70,802,303 for and 35,056,699 against (33.1% against).
• · The ISO grant period was extended through April 20, 2036.

05-06-2026

Lifecore Biomedical held its 2026 Annual Meeting on June 4, 2026, where stockholders approved all four proposals, including the election of nine directors, ratification of KPMG LLP as auditor, approval of executive compensation (non-binding), and the new 2026 Stock Incentive Plan. The 2026 Plan, effective October 16, 2026, authorizes up to 2,500,000 new shares plus shares forfeited under the prior 2019 Plan. All director nominees received majority support, though Katrina L. Houde and Joshua E. Schechter faced notable opposition with over 3.3 million and 2.7 million votes withheld, respectively.

• · The 2026 Stock Incentive Plan was approved with 22,724,492 votes for, 392,825 against, and 13,086 abstentions (broker non-votes: 10,697,326).
• · Ratification of KPMG LLP as independent auditor was approved with 33,760,879 votes for, 63,445 against, and 3,405 abstentions.
• · Advisory approval of executive compensation passed with 22,938,684 votes for, 178,868 against, and 12,851 abstentions (broker non-votes: 10,697,326).
• · Two director nominees (Katrina L. Houde, Joshua E. Schechter) received more than 3.3 million and 2.7 million votes withheld, respectively, indicating notable shareholder dissent.
• · The 2026 Plan becomes effective October 16, 2026, and the 2019 Plan will expire on that date.
• · The record date for the meeting was April 6, 2026.

05-06-2026

Dream Finders Homes appointed Clint Szubinski as Chief Operating Officer, effective immediately. The move strengthens the executive team as the company expands across the Southeast, Mid-Atlantic, and Midwest. No financial impact or concurrent financial results were disclosed.

• · Mr. Szubinski previously served as EVP and COO at Meritage Homes, and as President of Meritage's East Region.
• · He will work alongside National President Doug Moran to transition teams and responsibilities.
• · DFH builds in Florida, Texas, Tennessee, North Carolina, South Carolina, Georgia, Colorado, Arizona, and the Washington, D.C. metro area.
• · The company was recognized as the 2025 National Builder of the Year by Builder magazine.

05-06-2026

Vanda Pharmaceuticals held its 2026 annual meeting on June 4, 2026, with 80.7% of shares represented. Stockholders elected three Class II directors, ratified PricewaterhouseCoopers as auditor, approved executive compensation on an advisory basis, and approved an amendment to the 2016 Equity Incentive Plan to increase authorized shares. However, director Richard W. Dugan received a significant 14.1% vote against his election, and the equity plan amendment saw 17.4% votes against, indicating notable shareholder dissent.

• · The meeting was held on June 4, 2026, and the 8-K was filed on June 5, 2026.
• · Proposal 1: Richard W. Dugan received 33,029,049 votes for, 5,417,322 against, 46,718 abstaining; Charles C. Duncan received 35,780,031 for, 2,664,889 against, 48,169 abstaining; Anne Sempowski Ward received 33,897,782 for, 4,543,488 against, 51,819 abstaining.
• · Proposal 2: Ratification of PwC passed with 48,103,698 for, 340,513 against, 65,695 abstaining.
• · Proposal 3: Advisory vote on executive compensation passed with 35,242,659 for, 3,167,243 against, 83,187 abstaining.
• · Proposal 4: 2016 Plan amendment passed with 31,729,991 for, 6,685,078 against, 78,020 abstaining.
• · All three director nominees were elected despite significant against votes, particularly for Dugan and Ward.

05-06-2026

Abercrombie & Fitch reported net sales of $1.114B for the 13 weeks ended May 2, 2026, up 1.5% from $1.097B in the prior-year period. However, net income attributable to A&F declined 16.5% to $67.1M from $80.4M, and diluted EPS fell to $1.47 from $1.59. Operating income decreased 12.5% to $88.8M, driven by higher selling, general and administrative expenses. The company generated $44.3M in operating cash flow versus a $4.0M use in the prior year, but total cash and equivalents declined 21.8% from year-end to $594.1M due to $105.0M in share repurchases and $61.3M in capital expenditures.

• · Selling expense increased 7.8% YoY to $431.2M from $399.9M, while general and administrative expense rose 4.5% to $182.8M from $174.9M.
• · Cost of sales, exclusive of depreciation and amortization, decreased 0.8% to $413.8M from $417.1M.
• · Other operating income was $2.8M vs. a loss of $3.8M in the prior year.
• · Interest income, net decreased to $5.3M from $6.8M.
• · Income tax expense was $26.0M vs. $26.6M, with an effective tax rate of 27.6% vs. 24.5%.
• · Inventories decreased 11.4% from year-end to $532.7M from $601.2M.
• · Total assets decreased 2.5% to $3.453B from $3.542B at year-end.
• · Total stockholders' equity decreased 4.7% to $1.354B from $1.420B at year-end.
• · Share repurchases totaled $105.0M (including commissions and excise tax), reducing outstanding shares by 1.2 million.
• · Operating lease right-of-use assets increased 11.9% to $1.116B from $997.4M at year-end.
• · The company had $25.1M in marketable securities as of May 2, 2026.
• · No borrowings were outstanding under the company's credit facilities as of May 2, 2026 (Note 10).

05-06-2026

DeEtte Gray, President of U.S. Operations at CACI International Inc, notified the company of her retirement effective June 30, 2026. She will remain as a Strategic Advisor through December 31, 2026 under a Transition and Separation Agreement that provides a prorated base salary of $763,497, reduced bonus participation, and a significantly reduced long-term equity grant, but no severance or change-in-control benefits. The transition is intended to support an orderly leadership handover.

• · Transition Period runs from July 1, 2026 to December 31, 2026.
• · Ms. Gray will not be eligible for additional long-term incentive awards in 2026.
• · The Transition Agreement does not provide severance or change-in-control benefits.
• · Incentive compensation during the Transition Period is subject to the company's clawback policy.
• · The agreement was approved by the company's Human Resources and Compensation Committee.

05-06-2026

Opus Genetics filed an S-3 registration statement to register up to 2,678,570 shares of common stock for resale by selling stockholders, consisting of 1,116,070 purchased shares and 1,562,500 conversion shares from notes. The company is a clinical-stage biopharmaceutical firm developing gene therapies for inherited retinal diseases. The stock price was $4.12 on June 1, 2026, and the conversion price is $6.72 per share.

• · The registration statement is a shelf registration under Rule 415.
• · The company is a smaller reporting company and has elected reduced public company reporting requirements.
• · The selling stockholders have the right to convert up to ten percent of the aggregate principal amount of notes into common stock.
• · The notes accrue payment-in-kind interest at a floating rate.
• · The company will not receive any proceeds from the sale of shares by selling stockholders.
• · The registration is to satisfy a covenant from the Stock Purchase and Conversion Agreement dated April 2, 2026.
• · The company's common stock is listed on Nasdaq Capital Market under symbol 'IRD'.

05-06-2026

Edgewise Therapeutics, Inc. held its Annual Meeting on June 4, 2026, where three Class II directors were elected, the appointment of KPMG LLP as independent auditor was ratified, and executive compensation received advisory approval. All proposals passed with strong shareholder support; however, two director nominees faced notable opposition, with Jonathan Root, M.D. receiving 31.9 million withhold votes (35.0%) and Badreddin Edris, Ph.D. receiving 27.0 million withhold votes (29.7%).

• · Total shares outstanding and voted not disclosed in filing.
• · Number of broker non-votes not disclosed.
• · Director Laura Brege received 87.3 million For votes (95.8%), the highest support among nominees.
• · Ratification of KPMG received 99.6 million For votes with only 1,123 Against and 578,031 Abstain, indicating overwhelming approval.
• · Advisory vote on executive compensation passed with 87.1 million For votes, but 3.5 million (3.8%) voted Against.

05-06-2026

Falcon's Beyond Global, Inc. announced on June 2, 2026, that its subsidiary, Falcon's Attractions, LLC, entered into a Master Consulting Services Agreement with VAI Amusement Park, LLC valued at approximately $10,600,000. The agreement designates Falcon's Attractions as the lead design consultant for a theme park to be constructed in Arizona, with milestone-based payments tied to project progress. No prior period comparisons or negative metrics are available in this filing.

• · The agreement was entered into on June 2, 2026, and filed on June 5, 2026.
• · Falcon's Attractions will serve as the lead design consultant for the theme park.
• · Payment terms are milestone-based and tied to progress of services over project execution periods.

05-06-2026

My City Builders, Inc. (MYCB) filed its 10-Q for the quarter ended April 30, 2026, reporting no revenue for both the three- and nine-month periods. The company recorded a net loss of $23,265 for the quarter (vs. $62,267 in Q2 2025) and a net loss of $117,509 for the nine months (vs. $215,051 in the prior year). While the net loss narrowed significantly due to the absence of discontinued operations losses, the company continues to operate without revenue and has a negative stockholders' equity of $30,540 as of April 30, 2026, compared to positive equity of $4,469 at July 31, 2025.

• · The company acquired land valued at $350,000 during the period, financed through a promissory note to a related party.
• · Operating expenses for the nine months ended April 30, 2026 were $100,792, up from $96,793 in the prior year period.
• · Interest expense - related party was $16,717 for the nine months ended April 30, 2026, compared to $0 in the prior year.
• · Net cash used in operating activities improved to $56,111 for the nine months ended April 30, 2026, from $644,036 in the prior year.
• · The company had no revenue and no discontinued operations in the current period, whereas the prior year included significant losses from discontinued operations ($117,130 for nine months).
• · As of April 30, 2025, discontinued operations had total assets of $4,290,327 and total liabilities of $5,566,709.

05-06-2026

Honeywell International Inc. announced on June 5, 2026, that its board approved a record date of June 15, 2026, for the pro rata spin-off of its Aerospace Technologies business into an independent publicly traded company, Honeywell Aerospace Inc., with the distribution expected on June 29, 2026. Shareholders will receive one share of Honeywell Aerospace common stock for every two shares of Honeywell common stock held. Additionally, Honeywell will proceed with a 1-for-2 reverse stock split and authorized share reduction, effective after the spin-off on June 29, 2026, with trading expected to continue under the symbol 'HON'. No financial results or performance metrics were discussed in this filing, so there are no positive or negative trends to report.

• · The reverse stock split ratio is 1-for-2, and the authorized share reduction will proportionally reduce the number of authorized common shares.
• · The new CUSIP number for Honeywell common stock after the reverse split will be 438516205; the par value of $1 per share remains unchanged.
• · The spin-off distribution is conditioned on board declaration and satisfaction of conditions, including those in the Separation and Distribution Agreement filed with the SEC.
• · Shareholders will receive cash in lieu of any fractional shares of Honeywell Aerospace common stock.
• · The reverse stock split is contingent upon the completion of the spin-off.

05-06-2026

Ladder Capital Corp held its 2026 Annual Meeting on June 4, where shareholders re-elected Brian Harris and Mark Alexander as Class III Directors and ratified Ernst & Young as the independent auditor for 2026. However, Mark Alexander received 40,825,586 votes withheld — more than the 39,455,734 votes cast in favor — reflecting a lack of majority support from voting shareholders (excluding broker non-votes). The auditor ratification passed overwhelmingly with 99.3% of votes cast in favor.

• · Mark Alexander received more votes withheld (40,825,586) than votes for (39,455,734) among shares voted (excluding broker non-votes).
• · Director election broker non-votes were 24,759,244 for both nominees — representing roughly 23-24% of total shares outstanding.
• · Auditor ratification required only a majority of votes cast (not a plurality) and passed with 104,254,220 for vs 609,801 against.
• · The annual meeting date was June 4, 2026, and the 8-K was filed on June 5, 2026.

05-06-2026

Nanoviricides, Inc. filed a universal shelf registration statement on Form S-3 with the SEC on June 5, 2026, to offer and sell up to $50,000,000 of common stock, preferred stock, debt securities, warrants, rights, or units from time to time. The company's common stock is listed on NYSE American under the symbol NNVC. As of June 4, 2026, the aggregate market value of outstanding common stock held by non-affiliates was approximately $35,500,000, based on 22,982,000 shares outstanding and a closing price of $1.59 on June 2, 2026.

• · The shelf registration allows for delayed or continuous offerings under Rule 415.
• · The company is classified as a non-accelerated filer and a smaller reporting company.
• · The filing date is June 5, 2026, and the prospectus is dated June 2026.
• · The par value of common and preferred stock is $0.00001 per share.
• · The company's principal executive offices are located at 1 Controls Drive, Shelton, Connecticut 06484.

05-06-2026

Hyperion DeFi announced the wind-down of two key agreements after Native Markets ended support for USDH stablecoin and terminated a Temporary Use Agreement. The company recovered 300,000 HYPE tokens plus staking rewards (worth ~$10.4M as of March 31, 2026) and will unstake 500,000 HYPE tokens under its HAUS Agreement with Felix Foundation by June 29, 2026 (worth ~$18.3M). The combined 800,000 HYPE tokens will be repositioned to more profitable strategies; however, the transition exposes Hyperion to disruption from losing two major partnerships and potential short-term unproductivity of capital.

• · Native Markets informed Hyperion on May 18, 2026 that it is terminating the Temporary Use Agreement, effective June 18, 2026.
• · All fees owed under the Temporary Use Agreement have been paid.
• · 300,000 HYPE tokens plus accrued staking rewards were delivered back to Hyperion on June 3, 2026.
• · Wind-down of HAUS Agreement with Felix was agreed on June 5, 2026.
• · Unstaking of 500,000 HYPE tokens supporting the Felix agreement is expected on June 22, 2026.
• · All remaining payments from Felix are expected by June 29, 2026.
• · Native Markets has granted Coinbase the rights to USDH’s brand assets, and Coinbase plans to become the official deployer of USDC as an aligned quote asset on Hyperliquid.

05-06-2026

Fortitude Gold Corporation sold 1,150,000 shares of common stock at $4.82 per share to a single sophisticated investor on June 2, 2026, raising approximately $5.543 million. The sale was conducted as an unregistered transaction under Rule 506, with no general solicitation and restricted securities.

• · The sale was exempt under Rule 506 of the Securities Act.
• · The purchaser was a single sophisticated investor who acquired shares for their own account.
• · No general solicitation was used in the offering.
• · The shares will bear a restricted legend limiting resale without registration or exemption.
• · The filing was made under Item 3.02 (Unregistered Sale of Equity Securities).

05-06-2026

The Gabelli Dividend & Income Trust (GDV) has filed definitive additional proxy materials urging shareholders to vote the WHITE card ahead of its June 29, 2026 annual meeting, where an activist hedge fund (Saba) is attempting to place its nominee on the board. The Fund highlights a narrowing discount to NAV from 15.4% (end 2023) to 10.1%, a 29% market total return over the 12 months ended May 5, 2026, and a cumulative $28.40 per share paid since inception. However, the filing warns that voting the GOLD card from Saba—even to abstain—cancels the WHITE card and counts toward Saba’s tally, underscoring the contested nature of the election.

• · Annual meeting date: June 29, 2026; voting deadline: June 28, 2026 at 11:59 PM ET.
• · Voting the GOLD card from Saba—even to abstain or vote against—cancels the WHITE card and counts toward Saba’s tally.
• · Contact for questions: Alliance Advisors at 1-866-206-7868 or GDV@allianceadvisors.com.
• · The Fund has repurchased 6 million+ shares since inception, which is accretive to net asset value.

05-06-2026

Basanite, Inc. terminated its independent registered public accounting firm, Hudgens CPA, PLLC, on June 2, 2026, after discovering that Hudgens had withdrawn from the PCAOB and ceased operations as of November/December 2025 without notifying the Company. The Company had no communications with Hudgens since November 2025. No disagreements or reportable events occurred during the relevant periods, and Hudgens' reports for fiscal years 2023 and 2024 were unqualified.

• · Hudgens CPA, PLLC withdrew from the PCAOB in November 2025 and December 2025 without notifying the Company.
• · The Company had no communications with Hudgens since November 2025.
• · Hudgens' reports for fiscal years ended December 31, 2024 and December 31, 2023 were unqualified and contained no adverse opinions.
• · No disagreements or reportable events occurred during the fiscal years 2023, 2024, or the interim period through June 2, 2026.

05-06-2026

On June 5, 2026, Auburn National Bancorporation's Compensation Committee granted 4,475 Restricted Stock Units (RSUs) to three named executive officers: David A. Hedges (2,078 RSUs), W. James Walker IV (1,207), and Robert L. Smith (1,190) under the 2024 Equity and Incentive Compensation Plan. The RSUs vest one-third annually over three years (2027–2029) and include dividend equivalents. No financial results or performance figures were disclosed, but the grant reflects ongoing executive compensation alignment.

• · RSUs carry no ownership rights until vested.
• · Dividend equivalents are issued as additional RSUs calculated using the dividend amount divided by the closing stock price.
• · Vesting accelerates 100% upon death or disability; pro-rata vesting on retirement; pro-rata on termination without cause; full vesting upon change in control if RSUs are not assumed.
• · Post-employment restrictive covenants include two-year confidentiality, one-year non-solicitation of employees, and one-year non-solicitation of customers.
• · RSUs cannot be pledged, assigned, or transferred.
• · The award agreement is subject to the company's insider trading policy.

05-06-2026

ITG, Inc. filed a registration statement on Form S-1 with the SEC on June 5, 2026, for an initial public offering of Class A common stock. The company intends to use net proceeds to repay borrowings under its Revolving Credit Facility and Term Loan Facility, and for general corporate purposes. The offering will be conducted under an Up-C structure, with ITG, Inc. as a holding company, and the existing Continuing Equity Owners will retain significant voting and economic control, making ITG a ‘controlled company’ under Nasdaq rules.

• · ITG, Inc. is incorporated in Delaware with principal executive offices at 2400 E Commercial Blvd Ste 1000, Fort Lauderdale, FL 33308.
• · The company has applied to list its Class A common stock on Nasdaq under the symbol 'ITG'.
• · Immediately following the offering, Continuing Equity Owners will own all shares of Class B common stock and will have significant voting power, making ITG a 'controlled company' under Nasdaq rules.
• · The company is an 'emerging growth company' and has elected not to use the extended transition period for complying with new or revised financial accounting standards.
• · Under the Tax Receivable Agreement, ITG may be required to make substantial cash payments to TRA Participants for approximately 85% of certain tax savings, which could last more than fifteen years after all Continuing Equity Owners exchange or redeem their LLC Interests.

05-06-2026

On June 5, 2026, Equity Residential and AvalonBay Communities announced a transformative merger of equals, with CEOs Mark Parrell and Ben Schall jointly communicating to employees about integration planning. The combination aims to create a stronger company with enhanced resident experience, technology investment, and growth opportunities, while acknowledging that not all decisions will be universally welcomed and challenges will arise. The companies will continue to operate separately until closing, with an executive leadership team announcement expected next week and town halls planned in Arlington and Chicago.

• · The merger is described as a 'merger of equals' and not about getting bigger just to be bigger.
• · An updated Employee FAQ addresses compensation and benefits prior to closing, severance policies, treatment of outstanding equity awards, and grandfathering of years of service.
• · Next week, the executive leadership team of the new company will be announced.
• · Town halls will be held in Arlington and Chicago with livestream access for all associates.
• · Integration planning teams will be established in the coming weeks to build the combined operating model and prepare for Day 1.
• · The companies will continue to operate as separate entities until the merger closes.
• · The filing includes a cautionary statement regarding forward-looking statements and notes that a registration statement on Form S-4 will be filed with the SEC.

05-06-2026

For the nine months ended March 31, 2026, U.S. Global Investors reported net income of $3.338M, a significant turnaround from a net loss of $0.153M in the prior-year period, driven by a 15.9% increase in total operating revenues to $7.524M and a surge in net investment income to $4.482M from $1.819M. However, operating income remained negative at ($0.515M), though improved from ($1.990M), and the company continued share repurchases and dividend payments while cash flow from operations turned positive at $0.519M versus a use of ($0.808M) in the prior period.

• · The filing is a 10-Q/A (amendment) to correct an overstatement of basic and diluted net income per share for the nine months and three months ended March 31, 2026. The overstatement was $0.01 per share for the nine months and $0.02 per share for the three months, due to an understatement of weighted average shares outstanding by 230,743 and 702,484 shares, respectively.
• · Total assets increased slightly to $48.921M at March 31, 2026 from $48.064M at June 30, 2025.
• · Total liabilities were $2.873M at March 31, 2026, compared to $2.857M at June 30, 2025.
• · Retained earnings grew to $38.424M from $35.935M at June 30, 2025.
• · Accumulated other comprehensive income moved from $0.098M to $0 at March 31, 2026.
• · Dividends declared but not paid were $0.282M at March 31, 2026.
• · The company repurchased 159,074, 262,195, and 176,592 Class A shares in the first, second, and third fiscal quarters of 2026, respectively.
• · Cash used in financing activities was $2.456M for the nine months ended March 31, 2026, nearly identical to $2.455M in the prior period.
• · Net cash provided by investing activities was $1.960M, down from $2.126M in the prior period.
• · The company had $1.000M in restricted cash at both March 31, 2026 and June 30, 2025.

05-06-2026

FirstSun Capital Bancorp held its annual meeting on June 5, 2026, where stockholders elected all seven director nominees and ratified the appointment of Crowe LLP as independent auditor. Separately, the company announced the sale of approximately $890 million of performing multifamily commercial real estate loans to entities affiliated with Brookfield Asset Management, with proceeds intended to pay down high-cost deposits acquired from First Foundation. The loan sale is part of a previously disclosed balance sheet repositioning following the First Foundation acquisition, which closed on April 1, 2026.

• · All seven director nominees received substantial 'for' votes, with the lowest being John S. Fleshood at 37,047,578 votes for and 615,014 withheld.
• · Ratification of Crowe LLP passed with 39,147,792 votes for, 20,764 against, and 3,544 abstentions.
• · The loan sale closed on June 4, 2026, one day before the annual meeting.
• · FirstSun expects to complete the remainder of its balance sheet loan downsizing before the end of Q2 2026.
• · The company believes overall balance sheet repositioning and total loan fair value marks will be in line with expectations disclosed at the time of the First Foundation acquisition announcement.

05-06-2026

Surgery Partners, Inc. held its 2026 Annual Meeting on June 5, 2026, where stockholders re-elected all three Class II director nominees (Devin O'Reilly, Brent Turner, and Laura L. Forese, M.D.), approved on a non-binding advisory basis the compensation of named executive officers, and ratified the appointment of Ernst & Young LLP as the independent auditor for fiscal year 2026. All proposals passed with strong support, though Proposal 1 saw notable votes withheld for O'Reilly (20.8% of votes cast) and Forese (19.8%), indicating some shareholder dissent.

• · Record date for the Annual Meeting was April 8, 2026, with 130,798,102 shares outstanding and entitled to vote.
• · Broker non-votes totaled 6,243,195 shares on Proposals 1 and 2, and none on Proposal 3.
• · Proposal 2 (Say-on-Pay) received 2,018,777 votes against and 15,275 abstentions.
• · Proposal 3 (Auditor ratification) had 62,950 votes against and 24,648 abstentions.
• · All three Class II directors were re-elected to serve until the 2029 annual meeting.