S&P 500 Industrials Sector SEC Filings — June 08, 2026

08-06-2026

Cipher Digital Inc. (CIFRW) held its 2026 Annual Meeting of Stockholders on June 2, 2026, with approximately 66.24% of outstanding shares represented. Stockholders elected three directors (Thomas Duda, James Newsome, Wesley Williams) for a term ending in 2029, ratified the appointment of CBIZ CPAs P.C. as the independent auditor for FY2026, and approved, on a non-binding advisory basis, the compensation of named executive officers. All proposals passed, but the executive compensation vote saw notable opposition with 30,443,644 votes against (16.4% of votes cast).

• · Director election results: Thomas Duda received 185,093,985 votes FOR; James Newsome 180,819,379 FOR; Wesley Williams 157,876,759 FOR (with 28,024,202 votes withheld).
• · Ratification of CBIZ CPAs P.C. passed with 265,902,590 FOR, 1,649,851 AGAINST, 1,358,787 ABSTAINED, and no broker non-votes.
• · Advisory vote on executive compensation: 154,473,020 FOR, 30,443,644 AGAINST, 984,297 ABSTAINED, with 83,010,267 broker non-votes.
• · The record date for the meeting was April 8, 2026.
• · The company was formerly named Cipher Mining Inc. and is now Cipher Digital Inc. as per the filing.

08-06-2026

New Providence Acquisition Corp. III (NPACU) is merging with Abra Financial Holdings, valuing Abra at $750M. The combined entity will be renamed Abra Financial Inc. and list on Nasdaq under ticker ABRX, pending SEC approval. Abra is expanding beyond crypto trading into tokenization and wealth management, planning to launch a yield-bearing bitcoin product (BTCAF) and focusing on DeFi lending. However, the transaction is subject to regulatory approvals and shareholder votes, with risks including digital asset volatility and competition.

• · Abra operates as an asset tokenization and distribution platform under Abra Financial Holdings.
• · Abra Capital Management is an SEC-registered investment adviser serving high-net-worth individuals and institutions.
• · AbraFi creates tokenized products on Solana blockchain in partnership with a DAO.
• · Lending is a major growth area; clients can borrow against BTC, ETH, and SOL holdings.
• · The merger was announced in March 2026, with a target to list in summer 2026.
• · The filing includes forward-looking statements with risks related to digital asset volatility, regulatory uncertainty, and competition.

08-06-2026

ChargePoint Holdings, Inc. reported a net loss of $43.2M for Q1 FY26 (three months ended April 30, 2026), improving from a net loss of $57.1M in the same period last year. Total revenue grew 4.3% YoY to $101.8M, driven by increases in Networked Charging Systems (+2.4%) and Subscriptions (+7.2%). However, the company's cash and cash equivalents declined sharply from $141.6M to $95.8M, and total stockholders' equity turned negative to ($9.1M) from $21.3M at the start of the quarter.

• · Gross profit improved to $29.6M from $28.0M YoY, with gross margin rising to 29.1% from 28.7%.
• · Operating expenses decreased 6.2% YoY to $76.8M, driven by lower sales and marketing ($23.6M vs $26.2M) and G&A ($17.6M vs $22.1M), partially offset by higher R&D ($35.6M vs $33.5M).
• · Interest expense dropped sharply to $0.3M from $6.4M YoY due to lower debt and paid-in-kind interest.
• · Accounts receivable decreased to $80.6M from $86.1M, while inventories fell to $203.6M from $214.9M.
• · Total debt (current + noncurrent) was $239.7M as of April 30, 2026, down from $260.9M at January 31, 2026.
• · Stock-based compensation was $10.6M in Q1 FY26, down from $17.9M in Q1 FY25.
• · The company issued 1.2M shares of common stock for contractual Interest Shares, valued at $6.6M.
• · Net loss per share improved to ($1.75) from ($2.49) YoY.

08-06-2026

Neurogene Inc. announced the completion of dosing in its Embolden registrational trial of NGN-401 for the treatment of Rett syndrome. The company also posted an updated corporate presentation on its website. No financial results or performance metrics were disclosed in this filing.

• · The press release and corporate presentation are furnished as Exhibits 99.1 and 99.2, respectively, and are not deemed filed under the Exchange Act.
• · The filing is dated June 8, 2026.

08-06-2026

Catheter Precision, Inc. (VTAK) entered into a Securities Purchase Agreement on June 7, 2026, to purchase 2,941,176 shares of Volato Group, Inc. (SOAR) at $0.34 per share for an aggregate purchase price of $1,000,000 in a private placement. As of June 5, 2026, the market value of these shares was approximately $1,000,000, and Volato also agreed to deliver freely tradeable equity securities of a third-party entity valued at approximately $1,100,000. However, the company cautioned there is no guarantee it will realize these current values through future sales.

• · The closing of the private placement is subject to customary conditions including accuracy of representations and warranties, performance of covenants, and absence of a Material Adverse Effect with respect to Volato.
• · Volato agreed to file a registration statement on Form S-3 covering resale of the shares within 10 calendar days of the Registration Rights Agreement and use best efforts to have it declared effective promptly.
• · The Registration Rights Agreement includes customary provisions for registration procedures, expenses, liquidated damages, and indemnification.

08-06-2026

Alpha Modus Holdings, Inc. filed an 8-K on June 8, 2026, announcing a 1-for-40 reverse stock split of its common stock, effective June 15, 2026, subject to Nasdaq approval. The reverse split does not change the authorized share count and fractional shares will be rounded up. The amendment was adopted by the board and stockholders.

• · Reverse stock split ratio is 1-for-40.
• · Effective time is the later of 7:00 a.m. New York Time on June 15, 2026, or Nasdaq approval and processing.
• · No fractional shares will be issued; all fractional shares will be rounded up to the nearest whole share.
• · Authorized share count remains unchanged.
• · Certificate of Amendment was signed on June 3, 2026.

08-06-2026

On June 4, 2026, Jordan Krugman resigned from all positions at Invesco Capital Management LLC and its affiliates, including his role as a member of the Board of Managers, effective August 3, 2026. The Managing Owner is considering a replacement. This filing is a routine disclosure of a director/officer departure with no financial impact.

• · Resignation effective date: August 3, 2026.
• · The resignation covers all positions at the Managing Owner and its affiliates.
• · The Managing Owner is currently considering a replacement.

08-06-2026

loanDepot, Inc. held its 2026 Annual Meeting of Stockholders on June 4, 2026, where shareholders elected three Class II directors (Andrew Dodson, Steven Ozonian, and Pamela Patenaude), ratified the appointment of Ernst & Young LLP as independent auditor for fiscal year 2026, and approved, on a non-binding advisory basis, the compensation of named executive officers. All proposals passed with strong shareholder support, though broker non-votes were significant on the director elections and say-on-pay vote.

• · All three director nominees were elected with substantial majorities: Andrew Dodson received 236,408,220 votes for (94.7% of votes cast), Steven Ozonian received 241,227,416 for (96.6%), and Pamela Patenaude received 234,590,107 for (94.0%).
• · Ratification of Ernst & Young LLP passed with 297,662,063 votes for (97.9% of votes cast), 6,254,032 against, and 385,776 abstentions.
• · The non-binding advisory vote on executive compensation passed with 238,963,889 votes for (95.8% of votes cast), 10,549,037 against, and 125,985 abstentions.
• · Broker non-votes totaled 54,689,960 on the director elections and say-on-pay proposal, representing approximately 18% of total shares outstanding.

08-06-2026

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

• · Resignation effective date: August 3, 2026
• · Filing date: June 8, 2026
• · Event date: June 4, 2026
• · The Managing Owner is actively considering a replacement for Mr. Krugman

08-06-2026

Genco Shipping & Trading Limited filed Amendment No. 10 to its Schedule 14D-9, responding to Diana Shipping Inc.'s unsolicited tender offer to purchase all Genco common stock for $24.80 per share in cash. The amendment adds exhibits including LinkedIn advertisements and a company statement dated June 8, 2026, but does not disclose any change in the board's recommendation or new financial data.

• · The amendment is the 10th amendment to the original Schedule 14D-9 filed on May 15, 2026.
• · New exhibits include LinkedIn advertisements (June 5, 2026), a LinkedIn post (June 8, 2026), and a company statement (June 8, 2026).
• · The filing does not indicate any change in the board's recommendation regarding the tender offer.

08-06-2026

Positano Wealth Management Ltd filed its quarterly 13F-HR for the period ending March 31, 2026, reporting a total of 24 equity holdings with an aggregate market value of approximately $135.2 million. The portfolio is concentrated in large-cap technology and financial stocks, with top holdings including Alphabet Inc. ($21.2M), NVIDIA Corporation ($21.2M), Microsoft Corp. ($16.5M), Visa Inc. ($14.8M), and Chubb Ltd ($13.3M). No period-over-period comparisons are available as this is a single-period filing.

• · The filing was signed by Tai Ka Yan, Senior Manager, on June 8, 2026.
• · All 24 positions are held with sole voting and dispositive power; no shared or non-dispositive holdings are reported.
• · The largest position by share count is Hewlett Packard Enterprise Co. with 180,389 shares valued at $4.3M.
• · The smallest position by value is Arthur J. Gallagher & Co. at $13,861 (64 shares).
• · The portfolio includes a mix of U.S. and foreign issuers (e.g., Autohome, Futu Holdings, TSMC).

08-06-2026

Tonix Pharmaceuticals announced an agreement with a group purchasing organization (GPO), effective June 1, 2026, that provides TONMYA® coverage for approximately 17 million U.S. commercially insured individuals with standard utilization management criteria. TONMYA is currently available under Medicaid in most states, covering roughly 75 million beneficiaries. The agreement expands commercial access but does not include specific financial terms or revenue guidance.

• · Agreement effective June 1, 2026.
• · New GPO covers approximately 17 million commercially insured individuals.
• · TONMYA already available under Medicaid in most states, covering approximately 75 million beneficiaries.
• · Coverage includes standard utilization management criteria.
• · Press release attached as Exhibit 99.01.

08-06-2026

aTyr Pharma received a Nasdaq deficiency notice on December 4, 2025, for failing to maintain a minimum bid price of $1.00 per share for 30 consecutive business days. The company was granted an additional 180-day compliance period until November 30, 2026, to regain compliance, but there is no assurance of success and delisting remains a risk if the bid price does not meet the requirement.

• · The initial deficiency notice was received on December 4, 2025.
• · The initial compliance deadline was June 2, 2026, which the company failed to meet.
• · The company is eligible for the second compliance period because it meets all other continued listing standards except the minimum bid price.
• · If compliance is not achieved by November 30, 2026, Nasdaq will issue a delisting notice, which the company may appeal.
• · The company intends to monitor the bid price and may consider a reverse stock split to cure the deficiency.

08-06-2026

IGC Pharma, Inc. filed an 8-K on June 8, 2026, reporting the entry into a material agreement (Exhibit 10.1) under Items 1.01 and 2.03. The filing does not disclose specific financial terms or performance metrics, making it a procedural disclosure of a contractual obligation.

• · Filing type is 8-K (current report) dated June 8, 2026.
• · Items reported: 1.01 (Entry into Material Definitive Agreement) and 2.03 (Creation of Direct Financial Obligation).
• · The material agreement is referenced as Exhibit 10.1 but no details of the agreement are provided in the filing text.

08-06-2026

Vor Biopharma Inc. announced on June 8, 2026, that RemeGen Co., Ltd. received conditional NMPA approval in China for telitacicept to treat IgA nephropathy and full approval for Sjögren's disease. The disclosure is furnished under Regulation FD and does not contain any financial results or performance metrics.

• · The approvals are for the Chinese market only.
• · The IgA nephropathy approval is conditional; the Sjögren's disease approval is full.
• · The filing is furnished under Item 7.01 (Regulation FD) and not deemed filed for Exchange Act purposes.

08-06-2026

Sutro Biopharma held its 2026 Annual Meeting on June 5, 2026, where shareholders elected three Class II directors (Jane Chung, Connie Matsui, James Panek) to three-year terms, ratified Ernst & Young LLP as the independent auditor for FY2026, and approved, on a non-binding advisory basis, the compensation of named executive officers. All proposals passed with strong shareholder support, though director nominees Connie Matsui and James Panek received notable withhold votes (14.3% and 14.6% of votes cast, respectively).

• · Broker non-votes totaled 2,540,863 shares on director elections and say-on-pay, representing approximately 18.3% of shares outstanding.
• · Ratification of auditor passed overwhelmingly with 13,893,289 votes for, only 501 against, and 5,883 abstentions.
• · Say-on-pay proposal received 11,329,946 votes for (99.7% of votes cast excluding broker non-votes), 22,412 against, and 6,452 abstentions.

08-06-2026

First Advantage Corporation held its 2026 Annual Meeting on June 5, 2026, with 94% of shares represented. Stockholders elected three Class II directors (James L. Clark, Bridgett R. Price, Mark Gillett) for three-year terms, ratified Deloitte & Touche LLP as independent auditor for fiscal 2026, and approved advisory compensation for named executive officers. All proposals passed, though director Mark Gillett received the lowest support with 32,875,504 votes withheld (19.1% of votes cast), indicating notable shareholder dissent.

• · The annual meeting was held on June 5, 2026, and the 8-K was filed on June 8, 2026.
• · Proposal 2 (ratification of auditor) passed with 162,194,290 votes for, only 38,636 against, and 29,182 abstentions, with no broker non-votes.
• · Proposal 3 (advisory compensation) passed with 157,302,586 votes for, 2,478,182 against, and 32,472 abstentions, plus 2,448,868 broker non-votes.
• · Mark Gillett received the highest number of votes withheld among director nominees at 32,875,504, representing about 19.1% of votes cast (excluding broker non-votes).
• · Bridgett R. Price received the highest votes for among director nominees at 149,762,902.

08-06-2026

AvalonBay Communities, Inc. announced the executive leadership team for the combined company that will be formed upon closing of its merger with Equity Residential, expected in the second half of 2026. The team includes leaders from both organizations, such as Michael Manelis (COO, from Equity Residential) and Scott Fenster (General Counsel, from Equity Residential), while Kevin O'Shea (CFO) and others will continue from AvalonBay. The announcement marks a key integration milestone, but the companies will remain separate until closing, and organizational structures for certain groups are still being determined.

• · The combined company will oversee more than 180,000 apartment homes.
• · Closing is expected in the second half of 2026; until then, both companies operate separately under current leadership.
• · Ted Schulman will serve as EVP of Legal Affairs through integration, then transition to a senior advisor role.
• · Organizational structure and reporting relationships for certain groups are still being determined.
• · Town halls will be held in Arlington and Chicago with livestream access for all associates.

08-06-2026

On June 8, 2026, Babcock & Wilcox Enterprises, Inc. announced that its board of directors approved a dividend of $0.4843750 per share on its 7.75% Series A Cumulative Perpetual Preferred Stock (BW PRA), with a record date of June 20, 2026 and a payment date of June 30, 2026. The filing contains no financial results or period-over-period comparisons, and no negative or flat metrics are reported.

• · The dividend is on the 7.75% Series A Cumulative Perpetual Preferred Stock listed on NYSE under symbol BW PRA.
• · Record date: June 20, 2026; Payment date: June 30, 2026.
• · The filing is an 8-K under Item 8.01 (Other Events) and does not include any financial results or operational updates.

08-06-2026

Farmer Mac announced July 1, 2026, as the effective date for Zachary N. Carpenter to assume the role of CEO, succeeding Bradford T. Nordholm, who will transition to Senior Advisor and CEO Emeritus through September 30, 2026. The leadership transition, planned since September 2025, reflects a seamless handoff and positions the company for continued mission-focused growth. Under Nordholm’s tenure, Farmer Mac doubled annual earnings and grew outstanding business volume to over $34 billion, delivering top-tier shareholder returns among S&P Financials.

• · Mr. Nordholm was appointed CEO in October 2018 and led Farmer Mac for nearly 8 years.
• · Mr. Carpenter joined Farmer Mac in May 2019 and has been instrumental in expanding support for Renewable Energy, Broadband Infrastructure, and Corporate AgFinance.
• · The transition was announced in September 2025, when Carpenter was named President and COO and designated as successor.
• · Mr. Nordholm will serve as Senior Advisor to the CEO with the honorary title of CEO Emeritus through September 30, 2026.
• · The filing includes items 5.02 (Director/Officer Departure/Election), 7.01 (Regulation FD Disclosure), and 9.01 (Financial Statements and Exhibits).

08-06-2026

Casey's General Stores (NASDAQ: CASY) appointed Stanley J. Sutula III, CFO of Colgate-Palmolive, to its Board of Directors, effective immediately, bringing over 35 years of corporate finance and strategic experience. The addition temporarily expands the board from 11 to 12 directors, as director Cara Heiden announced her retirement effective September 2, 2026 after nearly a decade of service. The board change is neutral operationally but adds financial expertise to oversee strategy and risk management.

• · Sutula has served as CFO of Colgate-Palmolive since 2020, overseeing global finance, IT, and M&A.
• · Cara Heiden will retire from the Board on September 2, 2026, after nearly a decade of service including Audit Committee leadership.
• · Casey's is the third-largest convenience store retailer and fifth-largest pizza chain in the United States.

08-06-2026

Hawthorn Bancshares held its 2026 Annual Meeting on June 2, 2026, with 5,116,853 shares (74.27% of outstanding) represented. Shareholders elected four Class I directors, ratified Forvis Mazars as auditor, and approved executive compensation on an advisory basis, with a 1-year frequency for future say-on-pay votes. The Board also approved a new form of restricted stock unit agreement for non-employee directors.

• · Philip D. Freeman received the lowest 'For' votes among director nominees (2,925,051) with 544,135 votes against.
• · Ratification of Forvis Mazars as auditor passed with 4,858,332 votes for and 155,391 against.
• · Advisory vote on executive compensation received 3,378,004 for and 89,611 against.
• · Frequency of say-on-pay votes set to every 1 year with 3,242,779 votes for that option.
• · The Director RSU Agreement vests on the first anniversary of grant, subject to continuous service.

08-06-2026

On June 5, 2026, Schrödinger, Inc. entered into a separation agreement with Mannix Aklian, its former Chief Commercial Officer and Global Head of Software Sales and Marketing, confirming the terms of his previously disclosed departure. The agreement provides salary continuation for nine months, COBRA premium payments for 12 months, and total bonus payments of $88,096 (comprising quarterly and prorated annual bonuses for 2026), along with acceleration of a restricted stock unit award scheduled for July 2026. No negative or flat financial metrics are reported; the filing solely addresses executive separation terms.

• · Separation agreement signed June 5, 2026, following Mr. Aklian’s previously disclosed departure.
• · Mr. Aklian’s receipt of payments is conditioned on not revoking the agreement within 7 days, compliance with obligations, and non-disclosure/non-disparagement commitments.
• · Confidentiality, inventions, and non-solicitation provisions from the employment agreement remain in effect.

08-06-2026

FedEx Corp. announced the election of Mark A. Edmunds, retired vice chairman and senior partner of Deloitte, to its Board of Directors. Mr. Edmunds will serve as Chair of the Audit and Finance Committee and as a member of the Cyber and Technology Oversight Committee. The filing contains no financial results or period-over-period comparisons.

• · Mr. Edmunds previously served as a director for Chesapeake Energy from 2018 to 2021.
• · He is currently a member of Westrock Coffee’s board of directors.
• · His primary industry focus was energy, utilities, and renewables.
• · FedEx aims to achieve carbon-neutral operations by 2040.

08-06-2026

On June 8, 2026, Remitly Global, Inc. disclosed that Ankur Sinha, the Chief Product and Technology Officer, resigned effective June 19, 2026. The resignation was not due to any disagreement over the company's financial reporting or accounting policies. No successor or interim replacement has been announced.

• · Resignation effective June 19, 2026.
• · No disagreement regarding financial reporting or accounting policies.
• · No successor or interim appointment announced.

08-06-2026

10x Genomics, Inc. held its Annual Meeting on June 4, 2026, at which stockholders representing approximately 90.5% of eligible votes were present. All three Class I director nominees were elected, and proposals to ratify Ernst & Young as independent auditor and to approve executive compensation on a non-binding, advisory basis were passed. The heavy turnout and strong support across all proposals indicate shareholder confidence in the board and management.

• · The meeting was held via live webcast on June 4, 2026.
• · Proposal 1 – Election of Directors: Serge Saxonov received 164,137,381 votes for and 15,559,860 against; Benjamin J. Hindson received 162,942,766 for and 16,761,532 against; John R. Stuelpnagel received 155,628,365 for and 24,072,179 against.
• · There were 18,560,948 broker non-votes on the director elections and the non-binding advisory vote on executive compensation, with no broker non-votes on the ratification of auditor.
• · Proposal 2 – Ratification of Ernst & Young LLP: 197,719,939 votes for, 458,231 against, 637,346 abstentions.
• · Proposal 3 – Non-binding advisory vote on executive compensation: 176,677,540 votes for, 2,828,730 against, 748,296 abstentions.

08-06-2026

On June 6, 2026, William Reinhardt retired from the board of directors of Metropolitan Bank Holding Corp. and its subsidiary Metropolitan Commercial Bank, effective immediately. The Board reduced its size from twelve to eleven directors and designated Mr. Reinhardt as director emeritus, an honorary role with no voting rights or duties. No financial impact or compensatory changes were disclosed.

• · William Reinhardt's retirement was effective immediately on June 6, 2026.
• · The Board reduced its size from twelve to eleven directors.
• · Mr. Reinhardt was designated director emeritus, an honorary position with no rights or duties, but he may attend Board meetings by invitation.
• · The filing was signed by Mark DeFazio, President and CEO, on June 8, 2026.

08-06-2026

Madison Square Garden Entertainment Corp. (MSGE) announced on June 8, 2026, that it entered a non-binding memorandum of understanding with the Master Developer (Penn Transformation Partners) for the redevelopment of New York Penn Station. The MOU acknowledges that The Madison Square Garden Arena must remain fully operational at all times and contemplates the transfer of the Infosys Theater at MSG to the Master Developer, subject to further definitive agreements. There are no assurances that the redevelopment or the theater transfer will be completed.

• · The MOU is non-binding and subject to execution of Developer Agreements between Amtrak and the Master Developer.
• · The transfer of Infosys Theater at MSG is contemplated but requires further negotiation and definitive documentation.
• · The filing is a Regulation FD Disclosure (Item 7.01) and does not contain financial results or quantitative data.

08-06-2026

International Battery Metals Ltd. (IBAT) announced it will release its Q4 and full year fiscal 2026 financial results on June 17, 2026, after market close, followed by a conference call on June 18, 2026. The filing provides only the schedule and logistics for the earnings announcement, with no actual financial data or performance metrics disclosed.

• · Conference call scheduled for Thursday, June 18, 2026 at 11:00 a.m. Eastern Time.
• · Press release with financial results will be issued after market close on Wednesday, June 17, 2026.
• · Shareholders can email questions to IBAT@haydenir.com by 5:00 p.m. ET on Monday, June 15, 2026.
• · Replay available until Thursday, July 2, 2026, 11:59 p.m. CST.
• · IBAT's DLE technology uses proprietary lithium extraction media in patented extraction columns housed in modular, transportable skid-mounted platforms.

08-06-2026

West Bay BDC LLC issued a capital drawdown notice on June 4, 2026 for the sale of ~2.1 million common units at ~$37.1 million aggregate, with closing expected around June 18, 2026. The offering is exempt from SEC registration under Section 4(a)(2), Regulation D and Regulation S, limited to accredited investors and non-U.S. persons. No general solicitation or public offering was made.

• · Each purchaser must be an accredited investor under Rule 501 of Regulation D or a non-U.S. person under Regulation S and must acquire the units for investment, not resale.
• · The securities are not registered under any exchange; no trading symbols are listed.

08-06-2026

Telomir Pharmaceuticals announced the departure of CFO Alan Weichselbaum effective June 6, 2026, and the appointment of Andriy Mushak as fractional CFO under a consulting agreement with LMAM Consulting Group. Mr. Mushak will be paid $6,000 per month for his services. The departure was not due to any disagreement with the company.

• · Mr. Mushak is a CPA with over 20 years of experience and currently a Partner at LMAM Consulting Group.
• · Mr. Mushak previously served as Senior Manager in the Audit practice at Baker Tilly US, LLP for over a decade.
• · There are no family relationships between Mr. Mushak and any executive officers or directors.
• · Mr. Mushak has no material interest in any transaction required to be disclosed under Item 404(a).

08-06-2026

Mira Pharmaceuticals, Inc. announced the departure of CFO Alan Weichselbaum effective June 6, 2026, and appointed Andriy Mushak as fractional CFO under a consulting agreement with LMAM Consulting Group, LLC. Mr. Mushak, a CPA with over 20 years of experience, will be paid $6,000 per month. The departure was not due to any disagreement with the company.

• · Alan Weichselbaum's departure was effective June 6, 2026, and was not due to any disagreement with the company.
• · Andriy Mushak is a CPA licensed in Massachusetts with over 20 years of experience in SEC reporting and financial statement audits.
• · Mr. Mushak co-founded LMAM in 2025 and previously served as Senior Manager in Baker Tilly's Audit practice.
• · There are no family relationships or material interests in transactions requiring disclosure between Mr. Mushak and the company's officers or directors.

08-06-2026

Graf Global Corp. filed a definitive proxy statement (DEF 14A) on June 8, 2026, for an extraordinary general meeting on June 26, 2026, seeking shareholder approval to extend the deadline for an initial business combination from June 27, 2026 to September 27, 2026, with the Board's discretion to further extend up to December 27, 2026. The company has not yet completed a business combination and acknowledges there is no assurance it will do so by the extended date. Public shareholders may redeem their shares at approximately $10.83 per share, which equals the current market price, but the company warns of potential liquidity issues in the open market.

• · The Extension Amendment Proposal requires a special resolution with at least two-thirds majority of votes cast by holders of Class A and Class B Ordinary Shares voting together as a single class.
• · Graf Insiders own 5,750,000 Founder Shares, representing 20% of outstanding Ordinary Shares.
• · If the Extension is not approved and no business combination occurs by June 27, 2026, the company will redeem 100% of Public Shares from the Trust Account, and warrants will expire worthless.
• · The redemption price of approximately $10.83 per share equals the closing price on the record date (June 1, 2026).
• · The company may allow the Board to further extend the deadline up to three times in one-month increments, to a maximum of December 27, 2026, if a definitive agreement is executed by September 27, 2026.
• · Public shareholders must submit redemption requests by 5:00 p.m. Eastern Time on June 24, 2026, and deliver shares via DWAC or physical transfer.
• · Graf Insiders may purchase Public Shares from investors at no higher than the redemption price, but have no current commitments to do so.

08-06-2026

Thunder Mountain Gold Inc. (THMG) filed an 8-K on June 8, 2026, reporting that its independent auditor, Assure CPA, LLC, resigned after merging into Sadler Gibb & Associates LLC. The Audit Committee approved the engagement of Sadler Gibb & Associates as the new independent registered public accounting firm for fiscal year 2026. The change was effective June 3-4, 2026, with no disagreements or reportable events during the prior periods.

• · Assure CPA, LLC's audit reports for fiscal years 2024 and 2025 contained an explanatory paragraph expressing substantial doubt about the Company's ability to continue as a going concern.
• · No disagreements or reportable events occurred during fiscal years 2024 and 2025 or the interim period through May 31, 2026.
• · The Company did not consult with Sadler Gibb & Associates LLC on any accounting or auditing matters prior to engagement.

08-06-2026

Gabelli Dividend & Income Trust (GDV) posted a video transcript urging shareholders to vote the WHITE proxy card in a contested election against activist investor Saba Capital. The Fund highlights a nearly 23% one-year investor return, a distribution raised to $1.80 per share annually, and a narrowing discount to NAV, while noting that independent proxy advisor Glass Lewis recommends supporting all GDV Board nominees. However, the filing also warns that Saba Capital has been selling its own GDV shares while seeking board seats, and that any vote on Saba's gold card counts toward their tally, creating a participation requirement risk.

• · The Fund has been operating for over two decades.
• · Distribution is paid monthly at $1.80 per share annually.
• · Discount to NAV has narrowed through active management, share repurchases, and an active Board with substantial independent representation and several newer trustees.
• · Glass Lewis recommends supporting all GDV Board nominees on the WHITE proxy card.
• · Saba Capital is actively selling its own GDV shares while seeking board seats.
• · Any vote cast on Saba's gold card (including withhold votes) counts toward Saba's tally; only the WHITE proxy card supports GDV's board.
• · Shareholders can contact Alliance Advisors at 1-866-206-7868 for voting questions.

08-06-2026

DevvStream Corp. entered into a Settlement Agreement with Helena Global Investment Opportunities 1 Ltd. to resolve disputes over a $10M convertible note, agreeing to honor $295,000 in conversion notices, credit $2.6M in digital asset collateral, and set remaining debt at $1M. Helena consented irrevocably to DevvStream’s proposed merger with XCF Global and Southern Energy Renewables. The settlement removes a material default uncertainty but leaves $1M debt still convertible at a distressed price.

• · The Settlement Agreement includes a mutual release of all claims related to the transaction documents and disputes, with carve-outs for obligations under the Settlement Agreement and the Remaining Debt.
• · Helena’s consent to the proposed merger and waiver of Section 13 termination rights survive any default by DevvStream under the Settlement Agreement.
• · The settlement resolves previously disclosed disputes that arose after Helena delivered a Notice of Exclusive Control on May 28, 2026.
• · The Remaining Debt remains convertible by Helena at the Event of Default Discount Price per the Note terms.

08-06-2026

Catalyst Pharmaceuticals, Inc. filed a definitive proxy statement (DEFM14A) for a special meeting on July 8, 2026, to seek stockholder approval of a merger with Angelini Pharma, expected to close in Q3 2026. The merger will be taxable to U.S. holders, and stockholders who do not vote in favor may be entitled to appraisal rights under Delaware law. The board recommends approval, but notes that directors and officers may have interests differing from other stockholders.

• · Special meeting date: July 8, 2026, at 9:00 a.m. Eastern time, virtual only.
• · Record date for voting: not explicitly stated, but 122,419,767 shares outstanding.
• · Merger expected to close in Q3 2026, subject to conditions.
• · Stockholders who do not vote in favor and properly demand appraisal may receive 'fair value' cash payment under Delaware law.
• · Proxy solicitor engaged at $60,000 plus $30,000 success fee and expenses.
• · Approval of Merger Proposal requires affirmative vote of majority of outstanding shares (61,209,884 votes).
• · Abstentions and broker non-votes count as votes AGAINST the Merger Proposal.
• · Compensation Proposal is advisory and non-binding; not a condition to merger completion.
• · Adjournment Proposal may be used if necessary to solicit additional proxies.

08-06-2026

First National Bank of Mount Dora, Trust Investment Services filed its 13F-HR for the period ending March 31, 2026, reporting discretionary investment management of approximately $463.6 million in equity securities. The portfolio is heavily concentrated in large-cap technology and healthcare names such as Microsoft ($23.4M), Apple ($58.9M), and Eli Lilly ($11.1M), while also holding significant positions in ETFs like Schwab U.S. Broad Market ETF and SPDR S&P 500 ETF. The filing shows a mix of high-conviction holdings and diversification across sectors, though no explicit performance comparisons are available from this snapshot.

• · Top three holdings by market value are Apple Inc. ($58.9M), Microsoft Corp. ($23.4M), and Amazon.com Inc. ($21.6M).
• · Significant ETF exposure includes Schwab U.S. Broad Market ETF ($20.2M), SPDR S&P 500 ETF ($18.3M), and iShares National Muni ETF ($14.2M).
• · Largest position by share count is Ford Motor Co. (1,905,600 shares) valued at $2.2M.
• · NVIDIA holdings captured 79,336 shares valued at $13.8M.
• · Smaller positions include Tesla (93,800 shares, $34.9M value) and Berkshire Hathaway (5,924 shares, $2.8M).

08-06-2026

United Community Banks Inc (UCB) is acquiring Peach State in a merger where Peach State shareholders can elect to receive either $31.75 in cash or 0.8978 shares of UCB common stock per share, subject to proration so that 50% of Peach State shares will be converted into cash and 50% into stock. The merger is subject to regulatory approvals and other closing conditions, and there are significant risks including potential failure to qualify as a tax-free reorganization, stock price fluctuations affecting consideration value, and integration challenges that could delay or reduce anticipated benefits.

• · Exchange ratio for stock consideration is 0.8978 shares of UCB common stock per Peach State share.
• · Peach State common stock is not listed on any exchange and has no established market.
• · Merger is conditioned on receipt of tax opinions that it qualifies as a 'reorganization' under Section 368(a) of the Internal Revenue Code.
• · Regulatory approvals required from the Federal Reserve Board, the SCBFI, and other state/federal authorities.
• · Integration risks include potential loss of key employees, customer attrition, and diversion of management attention.
• · No adjustment to merger consideration for changes in UCB stock price prior to completion.

08-06-2026

U.S. Global Investors (GROW) filed an amended 10-Q/A to restate EPS for Q3 FY2026 due to a spreadsheet error that understated weighted-average shares by 702,484, reducing basic/diluted EPS from $0.23 to $0.21. Despite this, the company reported a strong quarter with net income of $2.7 million versus a net loss of $0.4 million a year ago, and a 31% YoY revenue increase to $2.8 million, driven by $1.6 billion in average AUM from gold and natural resources strategies.

• · The restatement had no impact on net income, total revenues, operating income, or cash position — only EPS was affected.
• · Operating expenses were $2.7M in Q3 FY2026 vs. $3.0M in Q3 FY2025, a decline of approximately 10.8% YoY.
• · Income tax benefit of $0.8M in Q3 FY2026 vs. expense of $0.1M in Q3 FY2025 — tax line drove net income swing.
• · Weighted-average shares outstanding declined by 462,428 shares YoY (12,561,208 vs. 13,023,636) — consistent with share repurchase activity.
• · Company has repurchased more than 20% of outstanding shares over the past 5 years as part of shareholder yield strategy.