Executive Summary
The July 10, 2026 batch of 47 filings reveals a surge in activist campaigns targeting underperforming micro-cap and small-cap companies, with three new campaigns (Phunware, StealthGas, Evogene) demanding board changes, wind-downs, or strategic alternatives.
A major theme is the conversion of active investors to passive status, highlighted by Emirates Telecommunications Group (e&) terminating its relationship agreement with Vodafone and stepping down from the board, and Viking Global reducing its BridgeBio stake below 5%. The data also shows significant insider buying by activist funds at distressed prices, such as Goldenwise Capital's 6.6% stake in Phunware and a 16.7% activist group in Evogene, while institutional investors like Truist and Whitebox Advisors are making incremental, passive adjustments to ETF and trust holdings. The most critical development is the $2.00/share take-private of Perfect Corp., which, while a slight premium, raises questions about minority shareholder value. Overall, the period is characterized by heightened shareholder activism, strategic exits by major holders, and a cautious, passive approach from large financial institutions.
Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →
Filing types in this digest: Schedule 13D · Schedule 13G
Tracking the trend? Catch up on the prior US Activist Hedge Fund Institutional SEC 13D 13G digest from July 09, 2026.
Investment Signals (10)
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Activist Goldenwise Capital (6.6% holder) launched a campaign criticizing governance and capital allocation; stock down 81% from Jan 2024 high; market cap <50% of cash on hand, implying negative value for operating business [BULLISH - Activist Catalyst]
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Activist TowerView LLC (7.3% holder) is pushing for a wind-down/liquidation, arguing reinvestment has failed; insider buying at $9.22-$9.43 vs. recent sale at $10.49 suggests mixed conviction but a floor is being established [BULLISH - Activist Catalyst]
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A 16.7% activist group (L.I.A. Pure Capital, Invest Pro) demanded a special meeting to remove the board and elect new nominees; shares acquired at $0.49/ADS, indicating a deeply undervalued entry point [BULLISH - Activist Catalyst]
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Viking Global sold its stake below 5%, with a large sale at $90.40/share on July 9, 2026; this is a significant de-risking by a sophisticated holder, potentially signaling a top or a strategic shift [BEARISH - Major Holder Exit]
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Emirates Telecommunications Group (e&) converted from active (13D) to passive (13G) after terminating its relationship agreement and resigning from the board; this removes a potential catalyst for strategic change [BEARISH - Loss of Active Sponsor]
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Take-private at $2.00/share (a 2.6% bump from the initial $1.95 proposal); Chairwoman and 67.6% holder will roll over shares, receiving no cash, signaling confidence but also a lack of a market check [NEUTRAL/BEARISH - Minority Shareholders]
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BVF holds a 9.99% stake with warrants for an additional 7.8M shares at $3.289; a 9.99% blocker limits immediate exercise, but the potential for significant future buying is a bullish overhang [BULLISH - Potential Accumulation]
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Owl Creek Asset Management completely exited its position (0 shares as of June 30, 2026), a definitive negative signal from a previously significant holder [BEARISH - Complete Exit]
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Alafi Capital (17.1% holder) participated heavily in a June 2026 private placement, buying 3.5M units for ~$2.8M, demonstrating strong insider conviction and providing capital for a key catalyst (FDA clearance of CM5480's IND) [BULLISH - Insider Support]
- Mawson Infrastructure Group (Big Digital Energy)▲
Endeavor Blockchain (47.8% fully diluted) purchased $15M in Series D Convertible Preferred Stock, with a conversion price floating at 95% of the lowest 5-day VWAP; this is a highly dilutive structure that signals a distressed capital need [BEARISH - Dilution Risk]
Risk Flags (9)
- Phunware↓ [HIGH RISK]▼
Market cap is less than 50% of cash on hand, implying the operating business has a deeply negative value; the board has not engaged with the activist, increasing the risk of a costly proxy fight
- BridgeBio Pharma↓ [HIGH RISK]▼
Viking Global's aggressive selling (251,937 shares on June 25 alone) at prices ranging from $66 to $90 suggests a lack of conviction in the near-term upside, creating overhang
- Mawson Infrastructure Group (Big Digital Energy) [HIGH RISK]▼
The Series D Preferred Stock has a floating conversion price at a 5% discount to VWAP, which is highly dilutive to existing common shareholders and signals severe financial distress
- Evogene↓ [MEDIUM RISK]▼
The activist group is demanding a complete board overhaul, which could lead to a protracted and distracting proxy contest, creating operational uncertainty
- StealthGas↓ [MEDIUM RISK]▼
The activist is pushing for a wind-down, which could result in a liquidation value that is below the current market price if assets are sold in a fire sale
- Perfect Corp.↓ [MEDIUM RISK]▼
The take-private price of $2.00/share was only a 2.6% increase from the initial proposal, with no go-shop provision mentioned, raising concerns about whether the price fully reflects fair value for minority shareholders
- Bitcoin Depot↓ [HIGH RISK]▼
The complete exit by Owl Creek Asset Management is a strong negative signal, suggesting the company's business model or growth prospects are not meeting expectations
- Vodafone Group↓ [MEDIUM RISK]▼
The termination of the relationship agreement with e& removes a key strategic partner and potential source of operational or financial support, increasing strategic uncertainty
- Office Properties Income Trust (OPIRQ)↓ [MEDIUM RISK]▼
Liberty Mutual disclosed a 6% passive stake, but the company is in a distressed sector (office REITs) and the filing provides no positive catalyst, merely confirming institutional ownership
Opportunities (8)
- Phunware↓ (OPPORTUNITY)◆
Activist Goldenwise Capital has proposed four director candidates and may pursue a proxy fight; with the stock down 81% and a market cap below cash, a successful board change could unlock significant value
- StealthGas↓ (OPPORTUNITY)◆
Activist TowerView is pushing for a wind-down/liquidation; with a $10.6M aggregate purchase price and recent insider buying at $9.22-$9.43, the stock may be trading below its liquidation value
- Evogene↓ (OPPORTUNITY)◆
The 16.7% activist group acquired shares at $0.49/ADS and is demanding a board overhaul; a successful proxy contest could lead to a strategic pivot or sale, offering significant upside from current levels
- CalciMedica↓ (OPPORTUNITY)◆
Alafi Capital's $2.8M private placement participation provides a strong vote of confidence; the company's key catalyst is FDA clearance of CM5480's IND, which could drive a re-rating
- Pyxis Oncology↓ (OPPORTUNITY)◆
BVF holds a 9.99% stake with warrants for 7.8M more shares at $3.289; if the blocker is removed or the stock appreciates, BVF's buying could provide a strong price floor and catalyst
- Copper Property CTL Pass Through Trust↓ (OPPORTUNITY)◆
Whitebox Advisors increased its stake from 5.1% to 5.5%, a small but incremental vote of confidence in a niche, potentially undervalued asset
- Q32 Bio↓ (OPPORTUNITY)◆
Boxer Capital holds a 13.3% passive stake, a significant position in a biotech; the filing notes 6.7M shares were issued in a May 2026 private placement, suggesting a recent capital infusion that could fund upcoming catalysts
- Mobilicom↓ (OPPORTUNITY)◆
Wexford Capital holds a 7.08% stake; the filing clarifies the reporting structure, which could be a precursor to more active engagement or a larger position
Sector Themes (5)
- Surge in Micro-Cap Activism◆
Three new activist campaigns (Phunware, StealthGas, Evogene) were launched in a single day, all targeting micro-cap companies with poor governance and underperforming stocks. This suggests activists are finding fertile ground in this segment, where boards are often entrenched and valuations are depressed.
- Passive Conversion by Major Holders◆
Two major investors (Viking Global in BridgeBio, e& in Vodafone) converted their active stakes to passive, reducing their influence. This trend may indicate a broader de-risking by large holders who are unwilling to engage in costly activist battles or who see limited upside from current levels.
- Insider/Activist Buying at Distressed Levels◆
Activists and insiders are buying shares at deeply distressed prices (e.g., Phunware at ~$1.90, Evogene at $0.49, StealthGas at $9.22). This pattern suggests a belief that these companies are trading below intrinsic value and that a catalyst (board change, wind-down) can unlock that value.
- Institutional Passive Accumulation in ETFs/Trusts◆
Truist Financial Corp filed multiple 13G amendments for various ETFs and trusts, showing a pattern of incremental, passive accumulation by a large financial institution. This is a low-signal activity but confirms a steady flow of capital into these vehicles.
- Take-Private Activity with Insider Rollover◆
The Perfect Corp. take-private is a classic example of a management-led buyout where the controlling shareholder rolls over equity, creating a misalignment of incentives with minority shareholders. This structure is a recurring theme in small-cap M&A.
Watch List (8)
- Phunware↓ (HIGH PRIORITY)👁
Watch for the board's response to Goldenwise Capital's open letter and director nominations; a proxy fight for the 2026 Annual Meeting is likely if no resolution is reached
- Evogene↓ (HIGH PRIORITY)👁
Watch for the special general meeting demanded by the 16.7% activist group; the outcome of the board election will determine the company's strategic direction
- StealthGas↓ (HIGH PRIORITY)👁
Watch for the board's response to TowerView's wind-down/liquidation proposal; any announcement of a strategic review could be a catalyst
- Perfect Corp.↓ (MEDIUM PRIORITY)👁
Watch for the shareholder vote on the merger; the deal is expected to close, but any opposition from minority shareholders could delay or alter terms
- BridgeBio Pharma↓ (MEDIUM PRIORITY)👁
Watch for any further 13D filings from Viking Global; if they continue selling, it could signal a lack of confidence in upcoming pipeline catalysts
- CalciMedica↓ (HIGH PRIORITY)👁
Watch for FDA clearance of CM5480's IND, which is a key catalyst for the Series A warrants and the stock; Alafi Capital's participation suggests confidence in a positive outcome
- Vodafone Group↓ (MEDIUM PRIORITY)👁
Watch for any new strategic announcements following the departure of e& from the board; the company may seek a new partner or pursue a different strategy
- Mawson Infrastructure Group (Big Digital Energy) (HIGH PRIORITY)👁
Watch for shareholder approval of the conversion cap on the Series D Preferred; if not approved, the 19.99% cap could limit dilution but also restrict the company's access to capital
Filing Analyses
(47)
10-07-2026
Goldenwise Capital Group Ltd, a 6.6% shareholder of Phunware, Inc. (PHUN), filed a Schedule 13D/A disclosing an activist campaign. The fund sent an open letter to the board on July 9, 2026, criticizing Chairman Elliot Han's governance, capital allocation, and the company's destruction of shareholder value. Goldenwise has proposed four director candidates and may pursue a proxy fight or legal action if the board does not engage in meaningful governance reforms.
- · Phunware's stock declined from approximately $10 in January 2024 to $1.9 by June 25, 2026.
- · C1 Fund's share price declined from approximately $10 at IPO to $3.4 by June 25, 2026.
- · The company's market cap is less than 50% of its cash on hand, implying a negative value for the operating business.
- · Goldenwise sent more than 10 emails to Chairman Elliot Han over three months with no reply.
- · The board has relied on two legal counsels to manage all email communications with the shareholder.
- · Goldenwise may nominate director candidates and conduct a proxy solicitation for the 2026 Annual Meeting, and is evaluating a Section 220 books and records demand.
10-07-2026
Perfect Corp. (PERF-WT) has entered into a definitive merger agreement to be taken private at $2.00 per share in cash, a slight increase from the preliminary non-binding proposal of $1.95 per share made in March 2026. The transaction is led by Chairwoman Alice H. Chang and her affiliates (the Chairwoman Parties), who collectively hold 67.6% of the total voting power and will roll over their shares as Continuing Shares, receiving no cash consideration. The merger is expected to be funded through the company's available cash, and the Class A ordinary shares will be delisted from the NYSE.
- · The merger consideration of $2.00 per share represents a ~2.6% increase from the preliminary proposal of $1.95 per share.
- · Alice H. Chang and her affiliates (Chairwoman Parties) will roll over all their shares as Continuing Shares and receive no cash consideration.
- · CyberLink International Technology Corp. is also a party to the support agreement and will roll over its shares.
- · The merger is subject to approval by a majority of the minority shareholders (excluding the Chairwoman Parties and CyberLink).
- · The company's Class A ordinary shares will be delisted from the NYSE and deregistered under the Securities Exchange Act of 1934.
10-07-2026
CyberLink International Technology Corp. and its parent CyberLink Corp. filed an amended Schedule 13D disclosing that on July 10, 2026, Perfect Corp. entered into a merger agreement with a merger sub controlled by Chairwoman Alice H. Chang. Under the deal, public shareholders will receive $2.00 per share in cash, while CyberLink International's 36,960,961 Class A shares will be retained as continuing shares and not cancelled. CyberLink International terminated its prior consortium agreement with the Chairwoman Parties and will have a limited, passive role as a continuing shareholder, supporting the merger via a voting and support agreement.
- · CyberLink International terminated its prior consortium agreement with the Chairwoman Parties on July 10, 2026, and will not participate as a consortium member.
- · CyberLink International entered into a Voting and Support Agreement to vote all its securities in favor of the merger and waive appraisal rights.
- · The merger consideration of $2.00 per share is a $0.05 increase from the preliminary non-binding proposal of $1.95 per share made on March 18, 2026.
- · The merger is expected to be funded through available cash of the Issuer.
- · Upon completion, Perfect Corp.'s Class A ordinary shares will be delisted from the NYSE and the company will become privately held.
10-07-2026
TowerView LLC, a 7.3% shareholder of StealthGas Inc. (GASS), filed an amended Schedule 13D disclosing an activist campaign urging the board to consider an orderly wind-down or liquidation of the company. TowerView argues that StealthGas has not paid a dividend since 2009 and that reinvestment has failed to create shareholder value, proposing a management incentive of 20% of distributions above $10 per share. The filing also reveals recent open-market trading activity, including a sale of 10,800 shares at $10.49 and purchases of 28,427 and 21,673 shares at $9.43 and $9.22, respectively, indicating mixed near-term positioning.
- · TowerView sent a letter to the board on July 8, 2026 requesting consideration of a wind-down or liquidation.
- · TowerView's aggregate purchase price for its stake is $10,589,264.
- · Recent trades: sold 10,800 shares at $10.49 on May 20, 2026; bought 28,427 shares at $9.43 on May 28, 2026; bought 21,673 shares at $9.22 on May 29, 2026.
- · TowerView claims a wind-down could yield $20 per share or more for shareholders.
- · No dividends have been paid to common shareholders since 2009.
10-07-2026
Franklin Resources Inc. and its wholly-owned subsidiary BSP Fund HoldCo (Debt Strategy) L.P. disclosed a 59.6% beneficial ownership stake in Franklin BSP Lending Fund via 75,000 Class I shares acquired on January 29, 2026 for $750,000. The filing is an amendment to Schedule 13D, with no transactions in the past 60 days and no current plans for further acquisitions or dispositions.
- · HoldCo is a wholly-owned subsidiary of Franklin Resources Inc.
- · Charles B. Johnson and Rupert H. Johnson Jr. are the principal stockholders of FRI and disclaim any pecuniary interest in the Shares.
- · The Reporting Persons disclaim being a 'group' under Rule 13d-5.
- · No transactions in the past 60 days.
- · The filing includes a joint filing agreement and limited powers of attorney for Section 13 and 16 reporting obligations.
10-07-2026
Liberty Mutual Holding Company Inc. and its subsidiaries filed a Schedule 13G with the SEC on July 10, 2026, disclosing aggregate beneficial ownership of 1,311,341 common shares of Office Properties Income Trust (OPIRQ), representing 6.0% of the 21,953,577 shares outstanding. The filing is a routine passive ownership disclosure under Rule 13d-1(b), with no indication of any intent to change or influence control of the issuer.
- · Liberty Mutual Holding Company Inc. disclaims beneficial ownership of all shares held by its subsidiaries.
- · Individual holdings range from 29,815 shares (Liberty Specialty Markets Bermuda Limited, 0.1%) to 404,928 shares (Peerless Insurance Company, 1.8%).
- · The filing is made pursuant to Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not with the purpose of changing or influencing control.
- · A Joint Filing Agreement dated July 9, 2026 was attached as Exhibit A.
10-07-2026
Biotechnology Value Fund L.P. and affiliated entities (BVF, BVF2, Trading Fund OS, and related persons) filed a Schedule 13G on July 10, 2026, disclosing aggregate beneficial ownership of 8,336,902 shares of Pyxis Oncology common stock, representing approximately 9.99% of the outstanding shares. The filing notes that the group holds Warrants exercisable for an additional 7,840,062 shares at $3.289 per share, but a 9.99% blocker provision limits immediate exercisability to only 496,840 of those warrant shares. While the overall holding is substantial, the effective ownership is constrained by the blocker, and BVF2 and Trading Fund OS hold smaller stakes of 3.7% and 0.6%, respectively.
- · The Warrants expire on July 2, 2029.
- · Exercise of Warrants is further limited by a 9.99% blocker provision, restricting current exercisability to 496,840 shares out of 7,840,062.
- · BVF2 held 3,083,847 shares but owns no warrant shares due to the blocker (all 3,083,847 underlying warrants excluded).
- · Trading Fund OS held 518,280 shares with all 518,280 underlying warrants excluded.
- · BVF GP Holdings LLC is deemed to beneficially own 7,695,734 shares (9.2%) as sole member of BVF GP and BVF2 GP.
- · The denominator for percentage calculations includes 63,355,482 shares outstanding as of May 13, 2026, plus 19,600,153 shares issued in a June 30, 2026 placement, plus 496,840 shares issuable upon exercise of certain warrants.
10-07-2026
Wexford Capital LP and related parties filed an amended Schedule 13G disclosing beneficial ownership of 894,436 ordinary shares of Mobilicom Ltd, representing 7.08% of the 12,633,371 shares outstanding as of March 22, 2026. The filing is an amendment to the initial Schedule 13G filed on April 14, 2026, and the ownership percentage remains unchanged from the prior filing. No new acquisitions or dispositions are reported; the filing clarifies the reporting structure among Wexford entities and individuals.
- · The filing is an amendment (No. 1) to the initial Schedule 13G filed on April 14, 2026.
- · The reporting persons disclaim beneficial ownership of the securities held by the Wexford Funds except to the extent of their pecuniary interests.
- · The securities are held by Wexford Spectrum Trading Limited, Wexford Catalyst Trading Limited, and Wexford Focused Trading Limited (collectively, the 'Wexford Funds').
- · Wexford Capital LP serves as sub-advisor to WST and WCT and investment manager to WFT.
- · The filing certifies that the securities were not acquired to change or influence control of Mobilicom Ltd.
10-07-2026
Alta Partners LLC disclosed a 6.5% beneficial ownership stake in Real Messenger Corp as of June 30, 2026, holding 1,153,324 Class A ordinary shares. The position consists of 195,886 shares directly owned and 957,438 shares issuable upon exercise of warrants. The filing is an amendment to Schedule 13G, indicating the stake is held for passive investment purposes.
- · The filing is an amendment to Schedule 13G, filed under Rule 13d-1(c) (passive investor exemption).
- · Alta Partners LLC is a New York limited liability company with its principal business address in Garden City, New York.
- · The filing certifies that the securities were not acquired with the purpose of changing or influencing control of the issuer.
10-07-2026
Alta Partners LLC filed an amended Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 1,743,558 Class A ordinary shares of Borealis Foods Inc., representing 7.53% of the outstanding shares. The shares are issuable upon exercise of warrants, and the filing certifies the securities were not acquired for the purpose of changing or influencing control of the issuer.
- · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(c).
- · Alta Partners LLC is a New York limited liability company.
- · The shares are held for investment purposes, not to influence control.
- · The filing date is July 10, 2026, with an event date of June 30, 2026.
10-07-2026
CastleKnight Master Fund LP and related entities filed a Schedule 13G disclosing beneficial ownership of 1,797,525 shares of Alta Equipment Group Inc. common stock, representing 5.5% of the outstanding shares as of July 2, 2026. The filing is a routine disclosure of a passive stake (Rule 13d-1(c)), indicating the fund does not intend to influence control of the company. No prior period comparison is available as this is an initial filing.
- · The filing is made pursuant to Rule 13d-1(c), confirming a passive investment intent.
- · All reporting entities disclaim sole voting power over 0 shares, indicating shared voting/dispositive power over the entire 1,797,525 shares.
- · Aaron Weitman is identified as a control person of CastleKnight Management LP.
- · The beneficial ownership date is July 2, 2026, and the filing was made on July 10, 2026.
10-07-2026
Boxer Capital Management, LLC and related entities disclosed a 13.30% beneficial ownership stake in Q32 Bio Inc. as of June 30, 2026, holding 3,149,310 shares of common stock. The filing is a routine Schedule 13G by a passive institutional investor, indicating no intent to influence control of the company.
- · The filing is made under Rule 13d-1(b), indicating the securities were acquired in the ordinary course of business and not to influence control.
- · Boxer Capital Management, LLC is an investment adviser (IA) and Boxer Holdings, LP is a holding company (HC).
- · The total outstanding shares used for percentage calculation includes 6,725,000 shares issued in a private placement that closed on May 28, 2026.
10-07-2026
VR Advisory Services Ltd and related entities filed a Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 7,024,019 shares of ProPetro Holding Corp. (PUMP) common stock, representing approximately 5.7% of the 122,616,976 shares outstanding as of April 24, 2026. The filing indicates a passive investment intent, with the shares held in the ordinary course of business and not for changing or influencing control of the issuer.
- · The filing is made under Rule 13d-1(b) and Rule 13d-1(c) of the Securities Exchange Act of 1934.
- · VR Global Partners, L.P. directly holds the 7,024,019 shares; the other reporting persons may be deemed to beneficially own them through control relationships.
- · The reporting persons certify that the securities were acquired and are held in the ordinary course of business and not for changing or influencing control of the issuer.
- · A Joint Filing Agreement was included as Exhibit 99.1, executed by all reporting persons.
10-07-2026
Melco International Development Ltd., its wholly-owned subsidiary Melco Leisure and Entertainment Group Ltd., and Chairman/CEO Lawrence Yau Lung Ho filed Amendment No. 8 to their Schedule 13D, disclosing that as of April 5, 2026, Melco Leisure directly owns 687,360,906 ordinary shares (56.3% of the issuer) and Mr. Ho beneficially owns 713,800,992 ordinary shares (58.5%). The filing updates ownership percentages due to vesting of restricted shares and a reduction in total shares outstanding from share repurchases, and reaffirms the Reporting Persons' majority control over Melco Resorts & Entertainment Ltd.
- · The filing amends and restates the Schedule 13D originally filed on February 6, 2017 (Amendment No. 8).
- · Ownership percentages are based on 1,220,376,014 ordinary shares outstanding as of December 31, 2025 (per Form 20-F filed March 13, 2026).
- · Melco Leisure was a founding shareholder, receiving 500,000,000 ordinary shares in March 2005.
- · The Reporting Persons control a majority of the board: 3 of 7 board members are current officers or board members of Melco International and Melco Leisure.
- · The Credit Facility (June 2021) is secured by 677,360,904 ordinary shares held by Melco Leisure.
- · No transactions in ordinary shares were effected by Reporting Persons during the past 60 days (except as disclosed in Schedule B).
- · Melco International and Melco Leisure have customary demand and piggyback registration rights under a Registration Rights Agreement dated December 11, 2006 (amended February 2017 and May 2017).
10-07-2026
Thomas J. Herzfeld Advisors, Inc. filed a Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 51,335 Class I Common Shares of PennantPark Enhanced Income Fund, representing an 8.88% stake. The filing indicates the shares were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
- · The filing is made under Rule 13d-1(b), indicating the filer is a passive investor.
- · Thomas J. Herzfeld Advisors, Inc. is a Florida corporation and an investment adviser (IA).
- · The filing date is July 10, 2026, with an event date of May 28, 2026.
10-07-2026
Whitebox Advisors LLC and its affiliate Whitebox General Partner LLC filed a Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 4,109,846 Trust Certificates of Copper Property CTL Pass Through Trust, representing approximately 5.5% of the outstanding shares. This is an increase from their prior beneficial ownership of 3,799,922 Trust Certificates (approximately 5.1%) as of April 15, 2026. The filing indicates a passive investment intent, as the securities were not acquired to change or influence control of the issuer.
- · The filing is made pursuant to Rule 13d-1(c), indicating a passive investment.
- · Whitebox Advisors LLC is an investment adviser (IA) and Whitebox General Partner LLC is an other entity (OO).
- · The Trust Certificates have no par value.
- · The issuer's total outstanding Trust Certificates were 75,000,000 as of both March 31, 2026 and June 25, 2026.
- · The filing includes a joint filing agreement between the Reporting Persons.
10-07-2026
Millennium Management LLC, Millennium Group Management LLC, and Israel A. Englander filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 325,550 shares of Byrna Technologies Inc. common stock, representing 1.4% of the outstanding shares as of June 30, 2026. The filing indicates a passive investment intent, with no purpose or effect of changing or influencing control of the issuer.
- · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(c), indicating passive investment intent.
- · The reporting persons disclaim beneficial ownership of securities held by entities under their control, except to the extent of their pecuniary interest.
- · The joint filing agreement was executed on July 9, 2026, by Millennium Management LLC, Millennium Group Management LLC, and Israel A. Englander.
10-07-2026
Alafi Capital Company LLC and its managing member Christopher D. Alafi filed a Schedule 13D with the SEC on July 10, 2026, disclosing a 17.1% beneficial ownership stake in CalciMedica, Inc. (CALC) as of June 25, 2026. The filing details a series of open-market purchases in 2024-2025 totaling approximately $3.6 million and a significant participation in a June 2026 private placement, where Alafi Capital purchased 3,529,192 units for about $2.8 million. The filing also describes the terms of warrants received in prior private placements and the new private placement, including pre-funded warrants, Series A warrants, and Series B warrants, all subject to various exercise prices and expiration dates.
- · The Reporting Persons previously reported ownership on Schedule 13G filed April 1, 2025 and amended August 5, 2025.
- · The remaining common stock warrant from the January 2024 private placement expires on the earlier of December 31, 2026 or 30 days after disclosure of topline Phase 2 results for acute kidney injury.
- · The Series A warrants expire 18 months after the private placement closing or 30 days after FDA clearance of CM5480's IND, whichever is earlier.
- · The Series B warrants expire five years from the private placement closing.
- · The Issuer must file a resale registration statement with the SEC within 30 days after the private placement closing.
- · The pre-funded warrants have no expiration date and an exercise price of $0.0001.
- · The beneficial ownership limitation for the pre-funded warrants and Series A/B warrants can be set up to 19.99%.
10-07-2026
Endeavor Blockchain, LLC and related parties (collectively, the Reporting Persons) filed Amendment No. 11 to Schedule 13D, disclosing aggregate beneficial ownership of 3,652,288 shares (47.8% on a fully diluted basis) of Big Digital Energy, Inc. (formerly Mawson Infrastructure Group Inc.). The amendment was filed solely to include exhibits omitted from Amendment No. 10, and reports that on June 30, 2026, Six Thirty AI, LLC purchased 16,700 shares of Series D Convertible Preferred Stock for $15,030,000 (90% of the $16,700,000 face amount), funded by a loan from YA II PN, LTD. Excluding shares issuable upon conversion of the Series D, the Reporting Persons' ownership remains unchanged at 1,657,067 shares (30.0%).
- · The Series D Convertible Preferred Stock and underlying shares are pledged to YA II PN, LTD under a Loan and Guaranty Agreement dated June 30, 2026.
- · The conversion price floats at 95% of the lowest daily VWAP in the five trading days prior to notice of conversion, with a floor price of $1.80.
- · A 19.99% cap on conversion applies until shareholder approval is obtained.
- · The Reporting Persons include Endeavor Blockchain, Joshua Kilgore, Cody Smith, PM Squared, Phillip Stanley, and Six Thirty AI, all of whom are party to a group agreement.
- · The amendment was filed solely to include exhibits omitted from Amendment No. 10 (filed July 2, 2026).
10-07-2026
Ava Investors SA and related parties filed a Schedule 13G/A disclosing a 4.90% beneficial ownership stake in Blaize Holdings, Inc., representing 6,973,432 shares of common stock held by Ava Private Markets S.a r.l. and affiliates. The filing notes that the transaction was a distribution of common stock for no consideration, and the percentage is based on 142,299,461 shares outstanding as of the issuer's most recent quarterly report.
- · The filing is an amendment to Schedule 13G, indicating a change in the prior filing.
- · The transaction was a distribution of common stock for no consideration.
- · The percentage is based on 142,299,461 shares outstanding as per the issuer's Form 10-Q filed July 2, 2026, before giving effect to an additional 2,000,000 shares issued per a Form 8-K filed July 9, 2026.
- · Ava Investors S.A. is the investment manager of Ava Private Markets S.a r.l. and exercises investment power over the securities.
- · Each reporting person disclaims beneficial ownership except to the extent of any pecuniary interest.
10-07-2026
Integrated Core Strategies (US) LLC, an affiliate of Millennium Management, disclosed a 1.7% beneficial ownership stake in Jasper Therapeutics, Inc. in an amended Schedule 13G/A filed July 10, 2026. The filing covers 486,454 voting common shares held directly by Integrated Core Strategies, with Millennium Management LLC, Millennium Group Management LLC, and Israel A. Englander also reporting aggregate beneficial ownership of 486,933 shares (1.7%). The filing indicates the shares were not acquired for the purpose of changing or influencing control of the issuer, consistent with a passive investment.
10-07-2026
Viking Global Investors LP and related entities filed an amended Schedule 13D disclosing that as of July 9, 2026, they ceased to be beneficial owners of more than 5% of BridgeBio Pharma's common stock, now holding approximately 4.9951% (9,792,219 shares). The filing details multiple open-market sales of shares during the past 60 days, including 157,000 shares sold on July 9, 2026 at a weighted average price of $90.3952 per share. This reduction in stake may signal decreased confidence or portfolio rebalancing by the major shareholder.
- · Viking Global sold shares in multiple transactions from May 22 to July 9, 2026, with the largest single-day sale of 251,937 shares on June 25, 2026 at $69.8404 per share.
- · The weighted average sale price on July 9, 2026 was $90.3952 per share, significantly higher than earlier sales in May and June (ranging from $66.09 to $72.88).
- · The filing is Amendment No. 12 to the original Schedule 13D filed on July 8, 2019.
10-07-2026
Harper Asset Management LLC filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 3,748,030 common shares of Innovative Food Holdings Inc (IVFH), representing 6.86% of the outstanding shares. The filing indicates the shares were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
- · Harper Asset Management LLC has sole voting power over 2,923,785 shares and shared voting power over 824,245 shares.
- · The filing is an amendment (13G/A) to a previous Schedule 13G.
- · The securities were acquired and are held in the ordinary course of business, not for control purposes.
10-07-2026
Kendall Brazos Duncan filed a Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 1,172,600 ordinary shares of Alpha Compute Corp (formerly AlphaTON Capital Corp), representing 5.3% of the company's outstanding shares. The filing indicates a passive investment intent under Rule 13d-1(c), with no intention to change or influence control of the issuer.
- · Filing type is Schedule 13G (passive investment, not activist).
- · Filing date: July 10, 2026; ownership date: July 3, 2026.
- · Kendall Brazos Duncan is a self-employed individual based in Aurora, Colorado.
- · The company is incorporated in the British Virgin Islands (D8) and classified under SIC 6199 (Finance Services).
- · The company has undergone multiple name changes: from BONTAN CORP INC to PORTAGE BIOTECH INC. to AlphaTON Capital Corp to Alpha Compute Corp.
10-07-2026
Goldenwise Capital Group Ltd, a Hong Kong-based investment manager, disclosed a 6.6% beneficial stake in Phunware, Inc. (1,354,510 shares) via a Schedule 13D/A filed July 10, 2026. The filing reveals an activist campaign: Goldenwise sent an open letter to the board criticizing governance, high director compensation (Chairman Elliot Han estimated at >$250,000/year), and prolonged operating losses, and proposed expanding the board with four new director candidates. The board has not engaged constructively, and Goldenwise may pursue a proxy contest or other shareholder remedies if reforms are not adopted.
- · Goldenwise sent more than 10 emails to Chairman Elliot Han over three months with no reply.
- · The board has relied on two outside counsel to manage all communications with the reporting person.
- · Goldenwise may nominate director candidates and conduct a proxy solicitation for the 2026 Annual Meeting if no resolution is reached.
- · The reporting person is also evaluating the exercise of shareholder rights, including inspection of books and records.
- · Shares were purchased using working capital, which may include margin loans from brokerage firms.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 52,126 shares of First Trust Exchange-Traded Fund VI, representing 5.49% of the fund's outstanding shares. The filing indicates Truist holds these shares through its subsidiary Truist Advisory Services, Inc., a registered investment advisor, and certifies the securities were acquired in the ordinary course of business without intent to change or influence control of the issuer.
- · Truist Financial Corp's beneficial ownership is held through Truist Advisory Services, Inc., a registered investment advisor.
- · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(b).
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The filing certifies that the securities were not acquired with the purpose of changing or influencing control of the issuer.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 425,661 shares (5.13%) of Federated Hermes ETF Trust as of June 30, 2026. The filing is made under Rule 13d-1(b) and indicates the shares are held in the ordinary course of business, not for control purposes.
- · Filing type is an amendment (Schedule 13G/A) to a prior beneficial ownership report.
- · Truist Financial Corp is the parent holding company for Truist Advisory Services, Inc., a registered investment advisor.
- · The filing certifies the securities were acquired and are held in the ordinary course of business, not for changing or influencing control of the issuer.
10-07-2026
Instruments Financers Per A Empreses Innovadores, S.L. Unipersonal (IFEM) filed a Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 3,124,999 Class A ordinary shares of Wallbox N.V., representing 12.8% of the outstanding shares. The filing indicates that IFEM holds these shares for investment purposes and not to influence control of the issuer.
- · The filing is made under Rule 13d-1(c), indicating passive investment intent.
- · IFEM's address is Gran Via de les Corts Catalanes, 635 - 61, 08010, Barcelona, Spain.
- · The percentage calculation includes shares issuable upon exercise of warrants beneficially owned by IFEM (1,041,666 shares).
- · The filing certifies that the securities were not acquired to change or influence control of the issuer.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 193,577 shares of First Trust Exchange-Traded Fund VIII, representing a 6.91% stake. The filing is an amendment to a prior Schedule 13G and indicates the shares are held in the ordinary course of business, not for control purposes.
- · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(b).
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The shares are held by Truist Advisory Services, Inc., an affiliated registered investment advisor, with Truist Financial Corp as the parent holding company.
- · The filing certifies that the securities were acquired and are held in the ordinary course of business, not to change or influence control of the issuer.
10-07-2026
A group of shareholders led by L.I.A. Pure Capital Ltd. (controlled by Kfir Silberman) and Invest Pro Shukai Hon Ltd. (controlled by Ron Yair Peled) filed a Schedule 13D on July 10, 2026, disclosing a combined 16.7% voting stake in Evogene Ltd. The group has demanded a special general meeting to remove all current board members except Ofer Haviv and elect their own nominees, citing a need to enhance shareholder value and improve oversight. The filing reveals an activist campaign aimed at reshaping the company's board.
- · The group acquired shares on July 10, 2026 at $0.49 per ADS/share.
- · Pure Capital holds 1,470,000 ADSs and 56,100 Ordinary Shares; Invest Pro holds 500,000 ADSs.
- · The group has entered into an oral voting agreement to share voting power on matters submitted to shareholders.
- · The demand letter requests removal of all current board members except Ofer Haviv, and election of the group's nominees.
- · The filing states that the group believes changes to the board are necessary to enhance shareholder value and improve oversight.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 90,725 shares of Nomura ETF Trust (formerly Macquarie ETF Trust), representing 3.86% of the outstanding shares. The filing indicates Truist holds these shares through its subsidiary Truist Advisory Services, Inc. as a registered investment advisor, and certifies the shares were acquired in the ordinary course of business without intent to influence control.
- · The filing is an amendment (SCHEDULE 13G/A) to a previous beneficial ownership report.
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The filing certifies that the securities were not acquired to change or influence control of the issuer.
- · Nomura ETF Trust was formerly known as Macquarie ETF Trust, name changed on March 17, 2023.
10-07-2026
Owl Creek Asset Management, L.P. and Jeffrey A. Altman filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing that they beneficially own 0 shares of Bitcoin Depot Inc. Class A Common Stock as of June 30, 2026. This represents a complete exit from their previous position in the company.
- · The filing is an amendment (Schedule 13G/A) indicating a change in ownership from a prior filing.
- · Owl Creek Asset Management, L.P. acts as investment manager for Owl Creek Credit Opportunities Master Fund, Ltd.
- · The filing certifies that the securities were acquired and held in the ordinary course of business and not for changing or influencing control of the issuer.
10-07-2026
Harper Asset Management LLC filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 3,748,030 common shares of Innovative Food Holdings Inc (IVFH), representing 6.86% of the outstanding shares. The filing indicates the shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of the issuer.
- · The filing is an amendment (Schedule 13G/A) to a previous beneficial ownership report.
- · Harper Asset Management LLC has sole voting power over 2,923,785 shares and sole dispositive power over 824,245 shares.
- · The filing is made under Rule 13d-1(b), indicating the filer is an institutional investment manager.
- · The subject company, Innovative Food Holdings Inc, is incorporated in Florida and has its business address in Broadview, Illinois.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 160,019 shares of First Trust Exchange-Traded Fund VIII, representing a 3.2% stake. The filing is an amendment to a previous 13G and indicates the shares are held in the ordinary course of business, not for control purposes.
- · The filing is an amendment (13G/A) to a previous Schedule 13G.
- · Truist Financial Corp is the parent holding company for Truist Advisory Services, Inc., a registered investment advisor.
- · The filing certifies the securities were acquired in the ordinary course of business and not for changing or influencing control of the issuer.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 32,485 shares of Zacks Trust, representing 1.02% of the outstanding shares. The filing indicates that Truist holds these shares through its subsidiary Truist Advisory Services, Inc. as a registered investment advisor, and the securities were acquired in the ordinary course of business without the purpose of changing or influencing control of the issuer.
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The filing is made under Rule 13d-1(b) (passive investment exemption).
- · Truist Financial Corp qualifies as a Parent Holding Company (HC) and an Investment Adviser (IA) for filing purposes.
- · The filing date is July 10, 2026, with the date of change also July 10, 2026.
- · The CUSIP for the security is 98888G808.
10-07-2026
Truist Financial Corp filed an amended Schedule 13G with the SEC on July 10, 2026, disclosing beneficial ownership of 74,203 shares of ETF Opportunities Trust, representing 2.01% of the outstanding shares. The filing is made under Rule 13d-1(b) and indicates the shares are held in the ordinary course of business without intent to influence control.
- · The filing is an amendment (SCHEDULE 13G/A) to a previous beneficial ownership report.
- · Truist Financial Corp acts as Parent Holding Company for Truist Advisory Services, Inc., an affiliated Registered Investment Advisor.
- · The filing is made under Rule 13d-1(b), indicating the holder is a passive investor not seeking control.
- · Truist Financial Corp is incorporated in North Carolina; Truist Advisory Services, Inc. is a Delaware corporation.
- · No securities are held on behalf of other persons (sole voting power and sole dispositive power both 74,203 shares).
10-07-2026
ArrowMark Colorado Holdings LLC disclosed a 3.67% beneficial ownership stake in PMV Pharmaceuticals, Inc. as of June 30, 2026, holding 1,959,579 shares of common stock. The filing is an amendment to Schedule 13G, indicating the shares were acquired in the ordinary course of business and not for control purposes.
- · The filing is an amendment to Schedule 13G (SC 13G/A), filed on July 10, 2026.
- · ArrowMark Colorado Holdings LLC is an investment adviser (IA) and holds the shares in the ordinary course of business.
- · The filing certifies that the securities were not acquired for the purpose of changing or influencing control of the issuer.
10-07-2026
Min H. Kao and Yu-Fan C. Kao each reported beneficial ownership of 18,667,740 registered shares of Garmin Ltd, representing a 9.68% stake as of June 30, 2026. The filing is an amendment to Schedule 13G and reflects no change in the number of shares or percentage owned compared to the prior filing. The shares are held through various trusts and a family foundation, with the Kao family maintaining a stable, long-term ownership position.
- · The 18,667,740 shares are held across three entities: 6,226,093 in the M&F Trust (co-trustees), 11,927,217 in revocable trusts for children Jennifer and Kenneth Kao, and 514,430 in the Kao Family Foundation.
- · Both Min H. Kao and Yu-Fan C. Kao disclaim beneficial ownership of the shares held by the Kao Family Foundation.
- · The filing is made pursuant to Rule 13d-1(d) and includes a joint filing agreement between the two reporting persons.
10-07-2026
SIT Investment Associates Inc. and its affiliate SIT Fixed Income Advisors II LLC filed Amendment No. 7 to their Schedule 13D, disclosing beneficial ownership of 10,985,233 shares of Aberdeen Government Markets Income Fund (formerly MFS Government Markets Income Trust), representing 33.7% of the outstanding shares. The filing details a series of transactions over the past 60 days, including 30 buy transactions and 1 sell transaction, with share prices ranging from $2.83 to $2.93. The aggregate ownership percentage remains high at 33.7%, indicating continued significant influence by the Sit Entities.
- · The filing is Amendment No. 7, following a series of amendments filed between February and June 2026.
- · The Sit Entities conducted 30 buy transactions and 1 sell transaction in the past 60 days, with the sell transaction of 100,000 shares on May 28, 2026 at $2.83 per share.
- · The largest buy transaction was 248,772 shares on May 11, 2026 at $2.92 per share.
- · The share price during the transaction period ranged from $2.83 (sell) to $2.93 (buy).
- · None of SIA's or SFI's client accounts own more than 5% of the shares outstanding, and none of their directors or executive officers own shares directly.
10-07-2026
Emirates Telecommunications Group (e&) and its affiliates filed a Schedule 13G/A, disclosing beneficial ownership of 3,944,743,685 ordinary shares of Vodafone Group, representing 17.13% of voting rights as of July 10, 2026. The filing reflects a change in intent from active influence to passive investment following the termination of a relationship agreement and the resignation of e&'s director from Vodafone's board. The stake remains unchanged from prior filings, indicating no recent accumulation or disposal.
- · The relationship agreement between e& and Vodafone was terminated on July 10, 2026.
- · Hatem Dowidar ceased to serve as a director of Vodafone on July 10, 2026.
- · The filing is an amendment converting a prior Schedule 13D (active investor) to Schedule 13G (passive investor) under Rule 13d-1(c).
- · e& is 60% owned by EIA, which is a UAE federal government entity.
- · Atlas Holdings is a wholly-owned subsidiary of e&.
10-07-2026
Four Kids Investment Funds LLC and related custodial accounts managed by Jonathan Honig filed a Schedule 13G disclosing beneficial ownership of 1,484,500 common shares of GrabAGun Digital Holdings Inc., representing 5.049% of the 29,400,073 shares outstanding as of May 11, 2026. The filing indicates a passive investment intent under Rule 13d-1(c), with no aim to change or influence control of the issuer.
- · The filing was made pursuant to Rule 13d-1(c), indicating a passive investment intent.
- · Jonathan Honig holds voting and dispositive power over all 1,484,500 shares through his roles as manager and custodian.
- · The beneficial ownership is reported as of June 18, 2026, with the filing dated July 10, 2026.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 345 shares of J.P. Morgan Exchange-Traded Fund Trust as of June 30, 2026. This represents 0.2% of the outstanding shares, a decrease from the prior filing where the amount was 0 shares. The filing is made under Rule 13d-1(b) and Truist certifies the shares were acquired in the ordinary course of business without intent to influence control.
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The filing is an amendment (Schedule 13G/A) to a prior Schedule 13G.
- · Truist Financial Corp acts as a parent holding company for Truist Advisory Services, Inc., an affiliated registered investment advisor.
- · The filing includes certifications that the securities were not acquired to change or influence control of the issuer.
10-07-2026
Truist Financial Corp filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing beneficial ownership of 399,701 shares of Sterling Capital Funds, representing 30.56% of the outstanding shares. The filing reflects a decrease from the prior period, with 313,815 shares held directly and 18,530 shares held indirectly, while 0 shares are held with shared voting power.
- · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(b).
- · Truist Financial Corp is the parent holding company for Truist Advisory Services, Inc. (a registered investment advisor) and Truist Bank (in various fiduciary capacities).
- · The securities were acquired and are held in the ordinary course of business, not for changing or influencing control of the issuer.
- · The filing date is July 10, 2026, with the date of change also July 10, 2026.
10-07-2026
Truist Financial Corp disclosed a 0.42% beneficial ownership stake in First Trust Exchange-Traded Fund as of June 30, 2026, holding 7,074.80 shares. The filing is an amendment to Schedule 13G, indicating passive investment intent under Rule 13d-1(b). No change in ownership percentage was reported from the prior period.
- · Truist Financial Corp is a North Carolina corporation; Truist Advisory Services, Inc. is a Delaware corporation.
- · The filing is made by Truist Financial Corp as Parent Holding Company for Truist Advisory Services, Inc., an affiliated Registered Investment Advisor.
- · The securities were acquired and are held in the ordinary course of business, not for changing or influencing control of the issuer.
10-07-2026
Pinetree Capital Ltd. and L6 Holdings Inc. filed a Schedule 13D/A with the SEC on July 10, 2026, reporting that as a result of the merger of TruBridge, Inc. with a subsidiary of Inventurus Knowledge Solutions, Inc., which closed on July 9, 2026, they no longer beneficially own any shares of TruBridge. Each share they held was converted into the right to receive $26.25 per share in cash. The reporting persons ceased to be beneficial owners of more than 5% of TruBridge's outstanding shares as of July 9, 2026.
- · The merger was originally announced on April 23, 2026, via an Agreement and Plan of Merger.
- · The reporting persons (L6 Holdings Inc. and Pinetree Capital Ltd.) reported no transactions in TruBridge securities during the 60 days prior to the filing.
- · The filing is an amendment (13D/A) to a previously filed Schedule 13D.
10-07-2026
Four Kids Investment Funds LLC and related custodial accounts for Jonathan Honig's children filed a Schedule 13G/A with the SEC on July 10, 2026, disclosing aggregate beneficial ownership of 1,459,500 shares of GrabAGun Digital Holdings Inc. common stock, representing 4.964% of the 29,400,073 shares outstanding as of May 11, 2026. The filing is a routine beneficial ownership update under Rule 13d-1(c) and does not indicate any change in control intent.
- · The filing is an amendment (13G/A) to a previous Schedule 13G.
- · The reporting persons disclaim beneficial ownership of securities held in the custodial accounts for the children.
- · The filing was made pursuant to Rule 13d-1(c), indicating the reporting persons are passive investors not seeking to influence control.
- · The address for Four Kids Investment Funds LLC is 17582 BOCAIRE WAY, BOCA RATON, FL 33487.
- · The address for the custodial accounts is 5825 Windsor Court, Boca Raton, FL 33496.
10-07-2026
Truist Financial Corp disclosed a 6.92% beneficial ownership stake in Lion Copper & Gold Corp. as of June 30, 2026, holding 29,838,341 shares of common stock. The shares are held by Truist Bank in various fiduciary capacities, and the filing certifies they were acquired in the ordinary course of business without intent to influence control. No prior-period comparison is available in this filing, so no period-over-period changes are reported.
- · The filing is an amendment (SCHEDULE 13G/A) filed on July 10, 2026, with a date of change of July 10, 2026.
- · Truist Financial Corp is a North Carolina corporation and the parent holding company for Truist Bank, a North Carolina commercial banking association.
- · The shares are held in various fiduciary capacities, not for the purpose of changing or influencing control of the issuer.
- · The issuer's former name was Quaterra Resources Inc., changed on September 23, 2005.
- · The issuer's SIC code is 1000 (Metal Mining) and Truist's SIC code is 6021 (National Commercial Banks).
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