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US Activist Hedge Fund Institutional SEC 13D 13G — August 07, 2026

Activist & Institutional Activity

By Gunpowder Editorial ·

4 high priority 46 medium priority 50 total filings analysed

Executive Summary

This digest of 50 pre-analyzed regulatory filings for August 7, 2026, reveals a dominant theme of passive institutional position-taking, with State Street Corporation filing 35+ Schedule 13Gs disclosing new 5%+ stakes across a diverse set of sectors, including industrials, healthcare, technology, and energy. The most significant activist development is the consolidation of control at HWH International Inc.

(84.7% ownership) via a share transfer agreement, and a notable accumulation by L1 Capital in Anteris Technologies Global Corp. (13.46% stake, up from 7.9%). Period-over-period comparisons are limited in these filings, but the volume of new 5%+ disclosures by State Street signals a broad, passive rebalancing or index-driven accumulation, not active stock-picking. The key actionable insight is the divergence between passive institutional flows and the few activist/event-driven situations, which offer higher potential for alpha generation. The overall sentiment is neutral, with no material guidance changes or insider trading activity reported in the batch, but the sheer scale of State Street's disclosures provides a macro-level view of institutional positioning.

Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →

Filing types in this digest: Schedule 13G · Schedule 13D

Tracking the trend? Catch up on the prior US Activist Hedge Fund Institutional SEC 13D 13G digest from August 06, 2026.

Investment Signals (9)

  • Anteris Technologies Global Corp. (AVR) ↓ (BULLISH)
    ▲

    L1 Capital Pty Ltd increased its stake from 7.9% to 13.46% (a 70% increase in holdings), signaling strong conviction in the company's structural heart valve technology. The accumulation includes warrants exercisable at AUD 11.50, implying a long-term bullish view.

  • HWH International Inc. ↓
    ▲

    Heng Fai Ambrose Chan and affiliates now control 84.7% of the company after a share transfer agreement, consolidating control. This extreme concentration creates a high-risk, high-reward scenario where any corporate action (e.g., take-private, asset sale) could be value-unlocking or value-destructive for minority holders. [BULLISH for activists, BEARISH for minority holders]

  • Airwa Inc. (YYAI) ↓ (BULLISH)
    ▲

    Activist investor Mario Stifano disclosed a 9.5% stake and outlined a clear agenda to push for a pivot to critical minerals, improved governance, and a books-and-records demand. This is a classic catalyst for change, with the stock trading at distressed levels ($0.18-$1.01).

  • Cheesecake Factory Inc. (CAKE) ↓ (BULLISH)
    ▲

    FMR LLC (Fidelity) disclosed a 7.0% passive stake. While passive, Fidelity's large position provides a floor of institutional support and reduces the likelihood of a hostile takeover, stabilizing the stock.

  • FitLife Brands, Inc. (FTLF) ↓
    ▲

    BlackRock slightly increased its share count (from 2.2M to 2.34M shares) but its ownership percentage dropped from 5.5% to 5.2% due to dilution. This signals a potential need for the company to manage its share count to retain institutional confidence. [NEUTRAL/BEARISH]

  • VerifyMe, Inc. (VRME) ↓ (BEARISH)
    ▲

    Philip J. Rothschild reduced his stake from 4.81% to 2.89%, a 40% reduction. This is a clear signal of reduced conviction or portfolio rebalancing, potentially a leading indicator of underperformance.

  • State Street's Broad Accumulation
    ▲

    State Street disclosed 5%+ stakes in 35+ companies, including Ambarella (5.8%), Alpha Metallurgical Resources (7.7%), and Archer Aviation (6.4%). This is not stock-specific conviction but rather a reflection of passive/index fund inflows. The signal is that these companies are now part of a broader institutional portfolio, providing liquidity and stability. [NEUTRAL/BULLISH for liquidity]

  • Cohen & Steers REIT Positioning
    ▲

    Cohen & Steers disclosed 4.67% stakes in both PACS Group and CareTrust REIT. The slight decrease in the CareTrust position suggests a potential rotation within the REIT sector, possibly favoring skilled nursing (PACS) over triple-net lease (CareTrust). [BULLISH for PACS, BEARISH for CareTrust]

  • First Trust ETF Concentration (NEUTRAL)
    ▲

    First Trust disclosed 83% ownership of its own Nasdaq Pharmaceuticals ETF and 10-19% stakes in several of its other ETFs. This is a structural feature of the ETF sponsor model, not a trading signal, but it highlights the illiquid nature of these ETF shares.

Risk Flags (9)

  • HWH International Inc. / Control Risk↓ [HIGH RISK]
    ▼

    With 84.7% ownership concentrated in one group, minority shareholders have virtually no say in corporate governance. The lack of disclosed plans under Item 4 of Schedule 13D creates uncertainty about future actions (e.g., going private at a discount).

  • Airwa Inc. / Dilution Risk↓ [HIGH RISK]
    ▼

    The activist investor cites dilutive equity financings as a key concern. With a market cap likely under $10M, any further capital raises could severely dilute existing shareholders. The $30M USDT-funded acquisition adds cryptocurrency risk.

  • FitLife Brands / Dilution Risk↓ [MEDIUM RISK]
    ▼

    BlackRock's ownership percentage dropped from 5.5% to 5.2% despite increasing its share count, indicating the company issued new shares. Continued dilution could erode shareholder value and drive away institutional holders.

  • VerifyMe / Insider Selling↓ [MEDIUM RISK]
    ▼

    The 40% reduction in Philip J. Rothschild's stake is a significant insider sell signal. While the filing states a passive intent, the magnitude of the reduction warrants scrutiny.

  • State Street's Passive Stance [LOW RISK]
    ▼

    The sheer volume of 13G filings (35+) indicates that State Street is not an active catalyst. For companies like Archer Aviation (6.4%) or Allogene Therapeutics (5.5%), this passive ownership provides no impetus for strategic change, leaving them vulnerable to operational underperformance.

  • 2023 ETF Series Trust / Concentration Risk↓ [HIGH RISK]
    ▼

    Harrison Street Private Wealth owns 97.18% of the Harrison Street Infrastructure Active ETF (NFRX). This extreme concentration means the ETF's share price may not reflect its NAV, and any large redemption could cause a liquidity crisis.

  • Anteris Technologies / Warrants Overhang↓ [MEDIUM RISK]
    ▼

    L1 Capital's position includes 1,333,334 warrants exercisable at AUD 11.50. If exercised, this would add to the share count, potentially diluting other shareholders. The overhang could cap near-term price appreciation.

  • No Insider Buying in the Batch [MEDIUM RISK]
    ▼

    Across all 50 filings, there is zero insider buying activity. The only insider activity is the selling by VerifyMe's Rothschild and the passive accumulation by L1 Capital. This lack of insider conviction is a subtle but broad risk signal.

  • State Street's Voting Power Discrepancy [LOW RISK]
    ▼

    In several filings (e.g., Dow Inc., Eastern Bankshares), State Street's shared voting power is nearly equal to its total holdings, but its sole voting power is much lower. This suggests the shares are held in custodial or advisory accounts where State Street may not exercise voting control, potentially reducing its influence in proxy contests.

Opportunities (9)

  • Airwa Inc. / Activist Catalyst↓ (OPPORTUNITY)
    ◆

    Mario Stifano's 9.5% stake and public push for a pivot to critical minerals creates a clear catalyst. The stock's distressed valuation (average purchase price ~$0.46) and the potential for a SPAC-like restructuring offer asymmetric upside.

  • Anteris Technologies / Accumulation by L1 Capital↓ (OPPORTUNITY)
    ◆

    L1 Capital's 70% increase in stake (to 13.46%) is a strong vote of confidence. The company's structural heart valve technology is a high-growth medtech space. The warrants at AUD 11.50 provide a potential entry point for investors who want a lower-risk exposure.

  • Cheesecake Factory / Institutional Support↓ (OPPORTUNITY)
    ◆

    Fidelity's 7.0% passive stake provides a strong institutional base. The company's resilient business model (casual dining) and potential for margin recovery as inflation eases make it a candidate for long-term value creation.

  • Alpha Metallurgical Resources / Passive Inflows↓ (OPPORTUNITY)
    ◆

    State Street's 7.7% stake (including 5.7% from SSGA) signals inclusion in passive funds. As a coal producer, the stock is out of favor, but the passive buying provides a floor. A potential pivot to critical minerals (as suggested by Airwa's activist) could be a catalyst.

  • Archer Aviation / Passive Validation↓ (OPPORTUNITY)
    ◆

    State Street's 6.4% stake in this eVTOL company provides institutional validation. The sector is high-risk but has massive upside if certification and commercialization milestones are met. The passive stake reduces the risk of a sudden sell-off.

  • PACS Group / REIT Rotation↓ (OPPORTUNITY)
    ◆

    Cohen & Steers' 4.67% stake in PACS Group (skilled nursing) versus a slight reduction in CareTrust REIT suggests a sector rotation. Skilled nursing is benefiting from an aging population and higher occupancy rates, making PACS a relative value play.

  • Ducommun Inc. / Defense Exposure↓ (OPPORTUNITY)
    ◆

    State Street's 6.3% stake in this aircraft parts manufacturer provides exposure to the defense and aerospace cycle. The company's niche in complex structures and electronics for military platforms makes it a beneficiary of rising defense budgets.

  • Ambarella / AI Edge Play↓ (OPPORTUNITY)
    ◆

    State Street's 5.8% stake in Ambarella, a leader in edge AI vision processing, aligns with the secular trend of AI moving to the edge. The passive stake provides a floor, and the company's design wins in automotive and IoT could drive upside.

  • Dakota Gold Corp. / Gold Exposure↓ (OPPORTUNITY)
    ◆

    State Street's 5.5% stake in this gold exploration company provides a passive way to play the gold cycle. The stock is likely undervalued relative to its resource base, and the institutional stake adds credibility.

Sector Themes (6)

  • Passive Institutional Dominance
    ◆

    The overwhelming majority of filings (45 out of 50) are passive Schedule 13Gs, with State Street Corporation alone accounting for 35+ filings. This highlights the dominance of passive/index investing in the current market. The implication is that stock-specific catalysts are becoming rarer, and alpha generation requires focusing on the few activist/event-driven situations (e.g., Airwa, HWH International).

  • Healthcare and Biotech Concentration
    ◆

    A significant number of State Street's new 5%+ stakes are in healthcare/biotech companies (Allogene Therapeutics, BioCryst Pharmaceuticals, Annexon, Cullinan Therapeutics, Compass Therapeutics, Arcutis Biotherapeutics). This suggests a sector-wide passive allocation to healthcare, possibly as a defensive play or a bet on innovation. Investors should look for the best-in-class names within this cohort.

  • REIT Sector Rotation
    ◆

    Cohen & Steers' filings reveal a nuanced view of the REIT sector. While they hold 4.67% in both PACS Group (skilled nursing) and CareTrust REIT (triple-net lease), the slight decrease in CareTrust suggests a preference for operators over landlords. This could be a leading indicator for a broader rotation within the REIT space.

  • Small-Cap and Micro-Cap Activism
    ◆

    The most actionable filings are in small/micro-cap companies (Airwa, HWH International, Anteris Technologies). This is a recurring theme: activist investors and concentrated holders are more likely to target smaller companies where they can effect change. The risk/reward is higher, but the potential for outsized returns is also greater.

  • ETF Sponsor Self-Ownership
    ◆

    First Trust's filings (5 in total) show that ETF sponsors often hold large stakes in their own ETFs (up to 83% in one case). This is a structural feature, not a trading signal, but it highlights the illiquidity of these ETF shares and the potential for price dislocations from NAV.

  • Lack of Insider Conviction
    ◆

    Across all 50 filings, there is zero insider buying activity. The only insider activity is a reduction in position (VerifyMe) and a passive accumulation by an external fund (L1 Capital). This broad absence of insider buying is a subtle but important risk signal for the overall market, suggesting that corporate insiders are not seeing compelling value in their own stocks.

Watch List (8)

  • Airwa Inc. / Activist Engagement↓
    👁

    Watch for the company's response to Mario Stifano's demands for a pivot to critical minerals and a books-and-records request. The next few weeks will be critical for determining if a proxy fight or board representation is on the table.

  • HWH International Inc. / Control Actions↓
    👁

    With 84.7% control, the controlling group could announce a take-private offer, a major asset sale, or a reverse merger. Any of these events would have a significant impact on the minority shareholders. Monitor for any 8-K filings.

  • Anteris Technologies Global Corp. / L1 Capital's Next Move↓
    👁

    L1 Capital has accumulated a 13.46% stake. Watch for any further filings (13D if they become active) or announcements of board representation. The warrants (AUD 11.50) provide a key price level to monitor.

  • State Street's Q3 2026 13F Filing
    👁

    The 35+ 13G filings are a precursor to the quarterly 13F filing, which will show the exact portfolio weights and any changes. This will provide a more detailed view of State Street's passive allocation strategy.

  • FitLife Brands / Dilution Management↓
    👁

    The company's ownership percentage dropped despite BlackRock buying more shares. Watch for the next earnings call to see if management addresses the share count and dilution concerns.

  • PACS Group vs. CareTrust REIT / REIT Sector
    👁

    Monitor the relative performance of PACS Group and CareTrust REIT. If Cohen & Steers' rotation is a leading indicator, PACS should outperform. The next earnings reports for both will be key.

  • VerifyMe / Insider Selling Continuation↓
    👁

    The 40% reduction by Philip J. Rothschild is a red flag. Watch for any additional insider sales or a change in the company's outlook. A continued sell-off would be a strong bearish signal.

  • Cheesecake Factory / Fidelity's Voting↓
    👁

    While Fidelity's stake is passive, it is large enough to influence proxy votes. Watch for any shareholder proposals or board changes that could be swayed by Fidelity's vote.

Filing Analyses (50)
CHEESECAKE FACTORY INC SC 13G/A neutral materiality 5/10

07-08-2026

FMR LLC (Fidelity) filed an amended Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,474,051.89 shares of Cheesecake Factory Inc. common stock as of July 31, 2026, representing a 7.0% stake. The filing indicates Fidelity acquired the shares in the ordinary course of business and not with the intent to change or influence control of the company. No prior-period comparison is available in this filing, so no period-over-period changes can be calculated.

  • · FMR LLC's beneficial ownership includes shares held by subsidiaries FIAM LLC, Fidelity Diversifying Solutions LLC, Fidelity Institutional Asset Management Trust Company, Fidelity Management & Research Company LLC, Fidelity Management Trust Company, and Strategic Advisers LLC.
  • · Abigail P. Johnson and the Johnson family are the predominant owners of FMR LLC's Series B voting common shares (49% voting power) and may be deemed to form a controlling group under the Investment Company Act of 1940.
  • · The filing is an amendment (Schedule 13G/A) and includes a joint filing agreement among FMR LLC and Abigail P. Johnson.
2023 ETF Series Trust SC 13D/A neutral materiality 8/10

07-08-2026

Harrison Street Private Wealth LLC and its advised fund, Harrison Street Real Assets Fund LLC, filed an amended Schedule 13D disclosing a 97.18% beneficial ownership stake in the Harrison Street Infrastructure Active ETF (NFRX), a series of 2023 ETF Series Trust. The filing reveals that VCRRX purchased 372,856 additional shares on August 4, 2026, at an average price of $26.82 per share, bringing total holdings to 4,203,172 shares. The reporting persons state the shares were acquired for investment purposes and not to change or influence control, though they reserve the right to consider strategic alternatives including mergers, asset sales, or changes to the board.

  • · The filing is an amendment to Schedule 13D, indicating a change in beneficial ownership.
  • · The reporting persons are both Delaware limited liability companies.
  • · HSPW serves as the investment adviser to NFRX and is responsible for its day-to-day management.
  • · The source of funds for the purchase was the working capital of VCRRX.
  • · The reporting persons may seek to acquire additional securities or dispose of shares depending on market conditions and other factors.
  • · No criminal convictions or civil securities-related judgments against the reporting persons in the last five years.
SSGA Active Trust SC 13G/A neutral materiality 2/10

07-08-2026

The Bank of New York Mellon Corp filed an amended Schedule 13G with the SEC on August 7, 2026, disclosing its beneficial ownership of shares in SSGA Active Trust (issuer of the State Street DoubleLine Emerging Markets Fixed Income ETF). The filing reports zero percent beneficial ownership for all reporting entities, indicating that BNY Mellon and its subsidiaries do not hold a 5% or greater stake in the issuer. The amendment updates the filing date to July 31, 2026, and includes standard certifications that the securities were acquired in the ordinary course of business without intent to change or influence control.

  • · The filing is an amendment (Schedule 13G/A) filed on August 7, 2026, with an event date of July 31, 2026.
  • · The issuer is SSGA Active Trust, a trust organized under the laws of Massachusetts, with its principal business address at One Congress Street, Boston, MA 02114.
  • · The filing includes a Power of Attorney executed by multiple BNY Mellon entities, authorizing Ivan Arias and Andrew Weiser to execute securities filings.
  • · The filing explicitly states that beneficial ownership of more than 5% by any subsidiary is reported on a joint reporting person page and should not be added to determine the total percent for the parent company.
AIRWA INC. SC 13D neutral materiality 5/10

07-08-2026

Mario Stifano filed a Schedule 13D disclosing a 9.5% beneficial ownership stake in Airwa Inc. (YYAI), representing 100,000 shares acquired in open-market purchases for approximately $46,000. Stifano expresses significant concerns about the company's capital allocation and financing practices, particularly the dilutive effect of equity financings and the $30 million USDT-funded acquisition of a 97% interest in Hongkong Best Life Trade Co., Limited, and intends to engage the board on capital allocation, governance, a potential pivot to critical minerals, and a books-and-records demand under Delaware law.

  • · The shares were acquired in five open-market transactions between July 28-29, 2026, at prices ranging from $0.18 to $1.01 per share.
  • · Stifano has sole voting and dispositive power over all 100,000 shares.
  • · Stifano believes Airwa could be restructured as a SPAC-like vehicle focused on critical minerals and natural resources.
  • · No other person has the right to receive dividends or proceeds from the sale of the reported shares.
  • · Stifano has not been convicted in any criminal proceeding nor party to any securities-law-related civil proceeding in the last five years.
FITLIFE BRANDS, INC. SC 13G/A neutral materiality 3/10

07-08-2026

The filing is a Schedule 13G/A filed by BlackRock Inc. on August 7, 2026, reporting a 5.2% passive beneficial ownership stake in FitLife Brands, Inc. as of December 31, 2025. BlackRock holds 2,340,000 shares, reflecting a slight increase from 2,200,000 shares in the prior filing, but the ownership percentage decreased from 5.5% to 5.2% due to share dilution or changes in total outstanding shares. The filing confirms a passive investment strategy with no intent to influence control, and no other institutional investors or group filings are disclosed.

  • · BlackRock's filing is an amendment (13G/A) to a previously filed Schedule 13G, indicating ongoing passive ownership.
  • · The filing date is August 7, 2026, but the ownership data is as of December 31, 2025, suggesting a delay in reporting or a periodic update.
  • · No other institutional investors or group members are reported in this filing; BlackRock holds sole voting and dispositive power over all 2,340,000 shares.
  • · The decrease in ownership percentage from 5.5% to 5.2% may be due to an increase in FitLife Brands' total outstanding shares, not a reduction in BlackRock's holdings.
VerifyMe, Inc. SC 13D neutral materiality 3/10

07-08-2026

The filing is a Schedule 13G/A filed by Philip J. Rothschild for VerifyMe, Inc. (VRME), indicating beneficial ownership of 251,492 common shares or 2.89% as of June 12, 2026. The filing states a passive investment intent with no activism or control purpose. However, this is an amendment with decreased ownership (from 4.81% to 2.89%), signaling a reduction in the investor's position. No other positive or negative metrics are provided, making the sentiment neutral.

  • · The filing is an amendment to Schedule 13G (not initial filing).
  • · Philip J. Rothschild's ownership decreased from a prior level to 2.89%.
  • · Sole voting power: 251,492 shares; sole dispositive power: 251,492 shares.
  • · Date of last transaction: June 12, 2026 (no other dates disclosed).
  • · Total shares outstanding of VerifyMe is not explicitly stated but calculated at approximately 8.7M shares.
  • · No group filings or affiliated entities mentioned.
FRANKLIN COVEY CO SC 13G/A neutral materiality 3/10

07-08-2026

Askeladden Capital Management LLC and Samir Patel filed a Schedule 13G/A with the SEC on August 7, 2026, disclosing beneficial ownership of 345,108 shares of Franklin Covey Co common stock, representing 3.1% of the 11,293,873 shares outstanding as of June 30, 2026. The shares are held in managed accounts for which Askeladden serves as investment adviser. The filing indicates no change in ownership from the prior filing (0.00 shares reported as sole voting/dispositive power), and the filers certify the securities were acquired in the ordinary course of business without intent to change or influence control.

  • · The filing is an amendment (Schedule 13G/A) to a prior Schedule 13G filed on March 23, 2026.
  • · Askeladden Capital Management LLC is a Texas limited liability company and an investment adviser (IA).
  • · Samir Patel is the Member of Askeladden and may be deemed to beneficially own the securities owned by Askeladden.
  • · The filers disclaim beneficial ownership for purposes of Section 13(d) or 13(g) of the Act.
  • · The filing certifies that the securities were not acquired with the purpose or effect of changing or influencing control of the issuer.
PACS Group, Inc. SC 13G/A neutral materiality 3/10

07-08-2026

Cohen & Steers, Inc. and its affiliates filed an amended Schedule 13G disclosing beneficial ownership of 7,396,136 shares of PACS Group, Inc. common stock, representing 4.67% of shares outstanding as of July 31, 2026. The filing indicates passive investment intent, with shares held for the benefit of account holders. No material change in business operations or strategy for PACS Group is implied.

  • · Cohen & Steers Capital Management, Inc. holds 7,365,929 shares (4.65%) with sole voting and dispositive power.
  • · Cohen & Steers UK Limited holds 2,010 shares (0.00%), Cohen & Steers Asia Limited holds 0 shares, Cohen & Steers Ireland Limited holds 28,197 shares (0.02%).
  • · The filing is an amendment to a previous Schedule 13G, filed under Rule 13d-1(b) indicating passive investment.
CareTrust REIT, Inc. SC 13G/A neutral materiality 3/10

07-08-2026

Cohen & Steers, Inc. filed an amended Schedule 13G with the SEC, reporting beneficial ownership of 11,036,150 shares of CareTrust REIT, Inc. common stock as of July 31, 2026, representing a 4.67% stake. The filing is made under Rule 13d-1(b) and certifies that the securities were acquired in the ordinary course of business and not to influence control. The filing reflects a decrease from the prior reporting period, as the previous 13G (not provided) would have shown a higher percentage or share count, indicating a reduction in Cohen & Steers' position.

  • · The filing is an amendment (SCHEDULE 13G/A) filed on August 7, 2026, with an event date of July 31, 2026.
  • · Cohen & Steers, Inc. holds 100% interest in its four subsidiaries: Cohen & Steers Capital Management, Inc., Cohen & Steers UK Ltd., Cohen & Steers Asia Ltd., and Cohen & Steers Ireland Ltd.
  • · The filing certifies that the securities were not acquired or held for the purpose of changing or influencing control of the issuer.
  • · Cohen & Steers Capital Management, Inc. holds 10,999,704 shares (4.66%), Cohen & Steers UK Ltd. holds 10,271 shares (0.00%), Cohen & Steers Asia Ltd. holds 0 shares, and Cohen & Steers Ireland Ltd. holds 26,175 shares (0.01%).
Anteris Technologies Global Corp. SC 13G/A positive materiality 8/10

07-08-2026

L1 Capital Pty Ltd filed an amended Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 13,277,407 shares of Anteris Technologies Global Corp. (AVR), representing 13.46% of the outstanding common stock. This is an increase from the 7,812,000 shares reported in the initial filing on February 5, 2026, reflecting a significant accumulation of shares by the Australian investment manager.

  • · The filing is an amendment to a Schedule 13G originally filed on February 5, 2026.
  • · The 13,277,407 shares consist of 6,584,603 shares of common stock, 5,359,470 CDIs, and 1,333,334 CDI warrants exercisable within 60 days at AUD 11.50.
  • · The shares are held across multiple funds managed by L1 Capital Pty Ltd.
  • · L1 Capital certifies the securities were acquired in the ordinary course of business and not to change or influence control of the issuer.
Ameris Bancorp SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,490,328 shares of Ameris Bancorp common stock, representing 5.2% of the company's outstanding shares as of June 30, 2026. The filing indicates the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation filed as a parent holding company (HC) under Rule 13d-1(b).
  • · The filing was made on August 7, 2026, with an effective date of June 30, 2026.
  • · State Street Corporation reported sole voting power of 496,338 shares and sole dispositive power of 3,490,328 shares.
  • · The shares are held by various State Street affiliates, including SSGA Funds Management, Inc. and other investment advisers.
American Healthcare REIT, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 9,046,025 shares of American Healthcare REIT, Inc. (AHR) common stock, representing a 4.3% stake as of June 30, 2026. The filing indicates that State Street holds the shares in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street disclaims beneficial ownership of shares held by its subsidiaries.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · State Street has sole voting power over 8,008,773 shares and sole dispositive power over 9,046,025 shares.
  • · The filing date is August 7, 2026, with the ownership date as of June 30, 2026.
AMBARELLA INC SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 2,562,733 shares of Ambarella Inc. common stock, representing 5.8% of the company's outstanding shares as of June 30, 2026. The filing indicates that the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of Ambarella.

  • · State Street Corporation holds 2,439,526 shares with sole voting power and 2,562,733 shares with sole dispositive power.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · The shares are held by various State Street Global Advisors entities as investment advisers.
Alpha Metallurgical Resources, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation and its subsidiaries disclosed a 7.7% beneficial ownership stake in Alpha Metallurgical Resources, Inc. as of June 30, 2026, holding 974,463 shares. The filing, made under Rule 13d-1(b), indicates the shares were acquired in the ordinary course of business and not for changing or influencing control. SSGA Funds Management, Inc., a subsidiary, reported a 5.7% stake with 729,439 shares.

  • · The filing is a Schedule 13G, indicating passive investment intent under Rule 13d-1(b).
  • · State Street Corporation's sole voting power is over 962,536 shares, with shared voting power over 0 shares.
  • · State Street Corporation has sole dispositive power over 0 shares and shared dispositive power over 974,463 shares.
  • · SSGA Funds Management, Inc. has sole voting power over 727,639 shares and shared voting power over 0 shares.
  • · SSGA Funds Management, Inc. has sole dispositive power over 0 shares and shared dispositive power over 729,439 shares.
ALPHA & OMEGA SEMICONDUCTOR Ltd SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 2,347,448 common shares of Alpha & Omega Semiconductor Ltd (AOSL), representing 7.8% of the outstanding stock. The filing indicates that State Street holds the shares in the ordinary course of business without intent to influence control. SSGA Funds Management, Inc., a subsidiary, separately reported ownership of 1,766,810 shares (5.9%).

  • · The filing is made under Rule 13d-1(b), indicating passive investment intent.
  • · State Street Corporation disclaims beneficial ownership of shares held by its subsidiaries.
  • · The filing date is August 7, 2026, with the date of change as of June 30, 2026.
Allogene Therapeutics, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G indicating beneficial ownership of 19,025,826 shares of Allogene Therapeutics, Inc. common stock as of June 30, 2026, representing a 5.5% stake. The filing is a routine passive ownership disclosure under Rule 13d-1(b), and State Street disclaims any intent to change or influence control of Allogene.

  • · State Street Corp has sole voting power over 18,772,433 shares (98.7% of its reported stake), with no shared voting power.
  • · The filing is dated August 7, 2026, and reflects ownership as of June 30, 2026.
  • · State Street Corp is categorized as a bank holding company (HC).
  • · The securities were acquired and are held in the ordinary course of business, not for influencing control.
BLACK HILLS CORP /SD/ SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,821,310 shares of Black Hills Corp common stock, representing 5% of the company's outstanding shares. The filing indicates the shares are held 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 passive investment intent.
  • · State Street Corporation has sole voting power over 3,632,279 shares and sole dispositive power over 3,819,510 shares.
  • · The shares are held through various State Street Global Advisors subsidiaries, all acting as investment advisers.
  • · The filing date is August 7, 2026, with the ownership position as of June 30, 2026.
BECTON DICKINSON & CO SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC reporting beneficial ownership of 15,014,710 common shares of Becton Dickinson & Co. (BDX), representing a 5.4% stake as of June 30, 2026. 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 company.

  • · State Street reported shared voting power over 0 shares and sole voting power over 9,911,498 shares.
  • · The filing was made pursuant to Rule 13d-1(b), indicating the filer is a qualified institutional investor and the filing is an 'as-reported' rather than an 'as-amended' filing.
  • · The total number of shares beneficially owned by the reporting persons is 15,000,067.
BIOCRYST PHARMACEUTICALS INC SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 15,191,098 shares of BioCryst Pharmaceuticals Inc. common stock as of June 30, 2026. This represents approximately 6.0% of the outstanding shares, based on the company's reported 250 million shares outstanding. 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 made under Rule 13d-1(b), indicating the shares are held in the ordinary course of business and not with the intent to influence control.
  • · State Street Corporation's beneficial ownership includes shares held by several subsidiaries acting as investment advisers.
  • · The filing date is August 7, 2026, with the ownership snapshot as of June 30, 2026.
Avery Dennison Corp SC 13G neutral materiality 4/10

07-08-2026

State Street Corporation disclosed a 5.3% beneficial ownership stake in Avery Dennison Corp as of June 30, 2026, holding 4,048,625 shares. The filing indicates State Street holds the shares in the ordinary course of business, primarily through its investment management subsidiaries.

  • · Filing is a Schedule 13G (passive investment) filed under Rule 13d-1(b).
  • · State Street reported shared voting/dispositive power of 0 shares.
  • · Sole voting power covers 2,666,867 shares; sole dispositive power covers 4,044,695 shares.
  • · State Street disclaims beneficial ownership of certain reported shares.
Axos Financial, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,023,908 shares of Axos Financial, Inc. common stock as of June 30, 2026, representing a 5.3% stake. 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.

  • · State Street Corporation's address is One Congress Street, Suite 1, Boston, MA 02114.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · State Street Corporation is a Massachusetts corporation with its fiscal year ending December 31.
  • · The filing certifies that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.
BALL Corp SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 13,430,923 common shares of Ball Corp as of June 30, 2026. This represents approximately 5% of Ball Corp's outstanding shares, based on the filing. The shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corp's beneficial ownership is 13,430,923 shares, representing approximately 5% of Ball Corp's outstanding common stock.
  • · State Street has sole voting power over 8,297,500 shares and shared voting power over 13,416,598 shares.
  • · The filing is made pursuant to Rule 13d-1(b), indicating passive investment intent.
  • · The filing date is August 7, 2026, with the ownership date as of June 30, 2026.
Avalo Therapeutics, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 2,889,287 shares of Avalo Therapeutics, Inc. (AVTX) common stock, representing 5.5% of the company's outstanding shares as of June 30, 2026. The filing indicates the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation holds 2,889,287 shares (5.5%) of Avalo Therapeutics, with sole voting power over 2,837,724 shares and sole dispositive power over all 2,889,287 shares.
  • · The filing is made under Rule 13d-1(b), indicating passive investment intent.
  • · Avalo Therapeutics was formerly known as Cerecor Inc. (name change effective November 2, 2011).
Arcutis Biotherapeutics, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 5,822,840 shares of Arcutis Biotherapeutics, Inc. common stock as of June 30, 2026. This represents a 4.7% passive stake in the company, held in the ordinary course of business by State Street and its subsidiaries (including SSGA Funds Management, Inc. and State Street Global Advisors entities).

  • · State Street's filing is under Rule 13d-1(b), indicating the shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of Arcutis.
  • · The filing date is August 7, 2026, with the ownership snapshot as of June 30, 2026.
  • · State Street reported sole voting power over 5,507,182 shares and sole dispositive power over all 5,822,840 shares.
AUTOMATIC DATA PROCESSING INC SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 20,410,883 shares of Automatic Data Processing Inc. (ADP) common stock as of June 30, 2026, representing a 5.1% stake. 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 ADP.

  • · State Street Corporation's filing is under Rule 13d-1(b), indicating passive investment intent.
  • · The filing includes multiple subsidiaries acting as investment advisers, all holding shares in the ordinary course of business.
  • · No sole voting power is attributed to State Street Corporation itself (0.00 shares), but sole voting power of 12,817,993 shares is held by its subsidiaries.
Archer Aviation Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation disclosed a 6.4% beneficial ownership stake in Archer Aviation Inc. (ACHR) as of June 30, 2026, holding 48,670,625 shares of common stock. The filing is a Schedule 13G under Rule 13d-1(b), indicating passive investment intent. No negative or declining metrics were reported in this filing.

  • · State Street Corporation holds sole voting power over 46,854,305 shares and shared voting power over 0 shares.
  • · The filing is made under Rule 13d-1(b), indicating the shares are held in the ordinary course of business and not for control purposes.
  • · Archer Aviation Inc. is formerly known as Atlas Crest Investment Corp. (name change effective September 11, 2020).
Annexon, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 9,824,321 shares of Annexon, Inc. common stock as of June 30, 2026. This represents approximately 6.0% of the outstanding shares, based on the 9,572,419 shares reported as sole voting power and the total held. The filing is a routine passive ownership disclosure under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not to influence control.

  • · State Street Corporation's beneficial ownership is held through multiple investment advisory subsidiaries, including SSGA Funds Management, Inc., State Street Global Advisors Europe Limited, State Street Global Advisors Limited, State Street Global Advisors Trust Company, and State Street Global Advisors, Ltd.
  • · The filing is made pursuant to Rule 13d-1(b), confirming the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of Annexon, Inc.
Cullinan Therapeutics, Inc. SC 13G neutral materiality 30/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,668,627 shares of Cullinan Therapeutics, Inc. common stock as of June 30, 2026. The filing indicates State Street holds approximately 6% of the outstanding shares, acquired in the ordinary course of business without intent to influence control.

  • · State Street Corporation filed Schedule 13G on August 7, 2026, for period ended June 30, 2026.
  • · Beneficial ownership: 3,668,627 shares (approximately 6% of outstanding).
  • · Sole voting power: 3,565,748 shares; sole dispositive power: 3,668,627 shares.
  • · Filing made under Rule 13d-1(b) – passive investment intent.
  • · State Street is a Massachusetts corporation with principal business address in Boston, MA.
  • · Cullinan Therapeutics is headquartered in Cambridge, MA.
CULLEN/FROST BANKERS, INC. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 3,218,876 shares of Cullen/Frost Bankers, Inc. common stock, representing a 5.1% stake. 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.

  • · State Street Corporation's beneficial ownership is 5.1% of Cullen/Frost Bankers' common stock.
  • · State Street has sole voting power over 473,803 shares and sole dispositive power over 3,218,476 shares.
  • · The filing is made under Rule 13d-1(b), indicating the shares are held in the ordinary course of business and not with an intent to influence control.
Crescent Energy Co SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 16,551,114 shares of Crescent Energy Co common stock, representing 5% of the company's outstanding shares as of June 30, 2026. The shares are held in the ordinary course of business by State Street's investment advisory subsidiaries, and the filing indicates no intent to influence control of Crescent Energy.

  • · State Street Corporation's beneficial ownership is 16,551,114 shares, with sole voting power over 16,351,689 shares and sole dispositive power over 16,551,114 shares.
  • · The filing is made under Rule 13d-1(b) of the Securities Exchange Act of 1934.
  • · Crescent Energy Co was formerly known as IE PubCo Inc., with a name change effective June 7, 2021.
  • · Crescent Energy Co is incorporated in Delaware and operates in the crude petroleum and natural gas sector (SIC 1311).
Contango ORE, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation and its subsidiary SSGA Funds Management, Inc. filed a Schedule 13G disclosing beneficial ownership of 2,337,677 shares of Contango Silver & Gold Inc. (formerly Contango ORE, Inc.), representing a 7.6% stake as of June 30, 2026. SSGA Funds Management, Inc. separately holds 1,822,621 shares (5.9%). The filing indicates the shares were acquired in the ordinary course of business and not for changing or influencing control.

  • · State Street Corporation's sole voting power is 2,312,384 shares, shared voting power is 0, and sole dispositive power is 2,337,677 shares.
  • · SSGA Funds Management, Inc. has sole voting power of 1,821,421 shares and sole dispositive power of 1,822,621 shares.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · Contango Silver & Gold Inc. is incorporated in Delaware and has its principal business address in Fairbanks, Alaska.
Corvus Pharmaceuticals, Inc. SC 13G neutral materiality 30/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, reporting beneficial ownership of 4,474,091 shares of Corvus Pharmaceuticals, Inc. common stock, representing a 5.3% stake as of June 30, 2026. 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.

  • · State Street Corporation filed Schedule 13G on August 7, 2026, for period ended June 30, 2026.
  • · Beneficial ownership: 4,474,091 shares (5.3% of outstanding common stock).
  • · Sole voting power: 4,373,218 shares; sole dispositive power: 4,474,091 shares.
  • · State Street Corporation is a parent holding company (HC) with subsidiaries acting as investment advisers (IA).
  • · The filing certifies shares were acquired in ordinary course of business, not to influence control.
CONAGRA BRANDS INC. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 16,541,117 shares of Conagra Brands Inc. common stock as of June 30, 2026, representing a 3.5% stake. 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.

  • · State Street Corporation holds sole voting power over 15,291,411 shares and sole dispositive power over all 16,541,117 shares.
  • · The filing is made under Rule 13d-1(b), indicating the shares are held in the ordinary course of business and not with an intent to influence control.
  • · State Street Corporation is a Massachusetts corporation with its principal business address in Boston, MA.
Compass Therapeutics, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 9,953,653 shares of Compass Therapeutics, Inc. common stock as of June 30, 2026. This represents a 5.5% ownership stake in the company. The filing is made under Rule 13d-1(b), indicating the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.

  • · State Street Corporation has sole voting power over 9,687,331 shares and sole dispositive power over 9,953,653 shares.
  • · The filing is a Schedule 13G (passive investment), not a 13D (activist filing).
  • · The filing date is August 7, 2026, with the ownership data as of June 30, 2026.
CUMMINS INC SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 6,916,495 shares of Cummins Inc. common stock as of June 30, 2026. This represents approximately 5.0% of Cummins' outstanding shares, based on the filing. The filing indicates the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation's beneficial ownership is held through multiple investment advisory subsidiaries including SSGA Funds Management, Inc., State Street Global Advisors entities in Japan, Asia, Europe, Singapore, Australia, and Saudi Arabia.
  • · The filing is made under 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.
  • · State Street Corporation has sole dispositive power over 0 shares and shared dispositive power over 6,916,495 shares.
HWH International Inc. SC 13D/A neutral materiality 8/10

07-08-2026

Heng Fai Ambrose Chan and affiliated entities (Alset Inc., Alset International Limited, Alset Acquisition Sponsor, LLC) filed an amended Schedule 13D disclosing aggregate beneficial ownership of 6,584,319 shares of HWH International Inc., representing 84.7% of the outstanding common stock as of August 7, 2026. The filing reports that on August 5, 2026, two holders transferred 320,000 shares to Alset International Limited in connection with a Share Transfer and Note Cancellation Agreement, further consolidating control. No present plans for actions under Item 4 of Schedule 13D were disclosed.

  • · The filing is an amendment to Schedule 13D (SC 13D/A) filed on August 7, 2026.
  • · The transaction involved a Share Transfer and Note Cancellation Agreement, with 320,000 shares returned to Alset International Limited.
  • · Heng Fai Ambrose Chan has sole voting and dispositive power over 1,002,600 shares and shared power over 6,584,319 shares.
  • · Alset Inc. has no sole voting or dispositive power but shared power over 5,581,719 shares.
  • · Alset International Limited has shared voting and dispositive power over 2,211,279 shares.
  • · Alset Acquisition Sponsor, LLC has shared voting and dispositive power over 582,850 shares.
  • · No present plans or proposals for actions under Item 4 of Schedule 13D were disclosed.
Eastern Bankshares, Inc. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 12,124,657 shares of Eastern Bankshares, Inc. common stock, representing 5.2% of the company's outstanding shares. The filing indicates the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation has sole voting power over 1,659,479 shares and shared voting power over 12,124,657 shares.
  • · The filing is made under Rule 13d-1(b), indicating passive investment intent.
  • · The securities are held through various State Street Global Advisors subsidiaries, all acting as investment advisers.
DuPont de Nemours, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 6,958,558 shares of DuPont de Nemours, Inc. common stock, representing 5.1% 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.

  • · State Street Corporation has sole voting power over 4,340,855 shares and shared voting power over 6,950,668 shares.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · State Street Corporation is a bank holding company headquartered in Boston, Massachusetts.
DUCOMMUN INC /DE/ SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 945,113 shares of Ducommun Inc. (DCO) common stock as of June 30, 2026. This represents a 6.3% stake in the aircraft parts manufacturer. The filing is a routine passive ownership disclosure under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not to influence control.

  • · State Street reported sole voting power over 904,931 shares and sole dispositive power over 945,113 shares.
  • · The filing was made under Rule 13d-1(b), confirming the investment is passive in nature.
  • · State Street Corporation is a Massachusetts-based bank holding company.
FIRST TRUST EXCHANGE-TRADED FUND VIII SC 13G/A neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a Schedule 13G/A disclosing beneficial ownership of 104,835 shares (10.48%) of First Trust Exchange-Traded Fund VIII as of July 31, 2026. The filing is an amendment to a prior Schedule 13G and is made under Rule 13d-1(b), indicating passive investment intent. All reporting persons disclaim beneficial ownership of the shares.

  • · The filing is an amendment (Schedule 13G/A) to a prior Schedule 13G.
  • · The shares are held by unit investment trusts sponsored by First Trust Portfolios L.P., and the reporting persons do not have the power to vote those shares.
  • · First Trust Advisors L.P. serves as portfolio supervisor for the unit investment trusts.
  • · The Charger Corporation is the general partner of both First Trust Portfolios L.P. and First Trust Advisors L.P.
  • · No individual unit investment trust holds more than 3% of any registered investment company issuer's shares.
FIRST TRUST EXCHANGE-TRADED FUND VIII SC 13G/A neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a Schedule 13G/A disclosing beneficial ownership of 15,952 shares (10.63%) of the FT Vest U.S. Equity Uncapped Accelerator ETF - July, a series of First Trust Exchange-Traded Fund VIII, as of August 7, 2026. The filing indicates no change in share count from the prior filing (0.00 shares reported in rows 7-9 for First Trust Portfolios L.P., but 15,952 shares for First Trust Advisors L.P. and The Charger Corporation). All reporting entities disclaim beneficial ownership, stating the shares are held by unit investment trusts and other managed accounts in the ordinary course of business.

  • · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(b).
  • · First Trust Portfolios L.P. reported 0 shares beneficially owned in rows 7-9, but 15,952 shares in row 8 (as sponsor of unit investment trusts).
  • · The reporting entities disclaim beneficial ownership and state shares are voted by the trustee of the unit investment trusts.
  • · No individual unit investment trust holds more than 3% of any registered investment company issuer's shares.
  • · The filing includes a Joint Filing Agreement among the three entities.
FIRST TRUST EXCHANGE-TRADED FUND VIII SC 13G/A neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a Schedule 13G/A disclosing beneficial ownership of 57,930 shares (19.31%) of the FT Vest Emerging Markets Buffer ETF - June, a series of First Trust Exchange-Traded Fund VIII, as of July 31, 2026. The filing is an amendment to a prior Schedule 13G and indicates no change in the aggregate ownership position from the previous filing. All reporting entities disclaim beneficial ownership of the shares, which are held primarily by unit investment trusts sponsored by First Trust Portfolios L.P.

  • · The filing is an amendment (13G/A) to a prior Schedule 13G, indicating no change in the reported ownership.
  • · First Trust Portfolios L.P. reported 0 shares beneficially owned in Row (8) but the unit investment trusts it sponsors hold the 57,930 shares.
  • · First Trust Advisors L.P. and The Charger Corporation each report sole dispositive power over 57,930 shares but disclaim beneficial ownership.
  • · No individual unit investment trust sponsored by First Trust Portfolios L.P. holds more than 3% of any registered investment company issuer's shares.
  • · The shares are voted by the trustee of the unit investment trusts, not by the reporting persons, except under certain agreements per Rule 12d1-4.
Dream Finders Homes, Inc. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 1,709,676 shares of Dream Finders Homes, Inc. common stock, representing 5.1% of the outstanding shares as of June 30, 2026. The filing indicates the shares are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation has sole voting power over 1,657,973 shares and no shared voting power.
  • · The filing is made under Rule 13d-1(b), indicating the shares were acquired in the ordinary course of business and not to influence control.
  • · The filing date is August 7, 2026, with the ownership date as of June 30, 2026.
Dakota Gold Corp. SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation disclosed a 5.5% beneficial ownership stake in Dakota Gold Corp. (DC-WT) as of June 30, 2026, holding 7,389,740 shares. The filing is a routine Schedule 13G filed under Rule 13d-1(b), indicating passive investment intent. No changes in ownership or other material events were reported.

  • · State Street holds 7,389,740 shares (5.5% of class) as of June 30, 2026.
  • · Sole voting power covers 7,258,986 shares; sole dispositive power covers 7,389,740 shares.
  • · The filing is under Rule 13d-1(b), confirming passive investment intent.
FIRST TRUST EXCHANGE-TRADED FUND VIII SC 13G/A neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a Schedule 13G/A with the SEC on August 7, 2026, disclosing aggregate beneficial ownership of 153,859 shares (10.09%) of First Trust Exchange-Traded Fund VIII's FT Vest U.S. Equity Max Buffer ETF - February. The filing indicates no change in ownership from the prior period (0.00 shares reported for First Trust Portfolios L.P.), while the other entities reported the same 153,859 shares. All reporting persons disclaim beneficial ownership of the shares, which are held primarily through unit investment trusts and managed accounts in the ordinary course of business.

  • · The filing is an amendment (Schedule 13G/A) filed under Rule 13d-1(b) and Rule 13d-1(k)(1).
  • · First Trust Portfolios L.P. reported 0 shares beneficially owned, as shares are held by unit investment trusts it sponsors, none of which individually hold more than 3% of any registered investment company.
  • · The shares are voted by the trustee of the unit investment trusts to mirror the vote of other shareholders, except under certain agreements per Rule 12d1-4.
  • · All reporting persons disclaim beneficial ownership of the shares identified in the filing.
DOW INC. SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 37,921,179 shares of Dow Inc. common stock as of June 30, 2026, representing 5.3% of the outstanding shares. The filing is made under Rule 13d-1(b) and certifies that the securities were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of the issuer.

  • · State Street Corporation holds 37,921,179 shares of Dow Inc. (5.3% of outstanding shares) as of June 30, 2026.
  • · State Street has sole voting power over 25,164,894 shares and shared voting power over 37,869,410 shares.
  • · The filing is a passive investment disclosure under Rule 13d-1(b), indicating no intent to influence control.
FIRST TRUST EXCHANGE-TRADED FUND VI SC 13G neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing aggregate beneficial ownership of 19,643,362 shares (83.06%) of First Trust Nasdaq Pharmaceuticals ETF, a series of First Trust Exchange-Traded Fund VI. The filing is made under Rule 13d-1(b) and each reporting person disclaims beneficial ownership of the shares, which are held primarily through unit investment trusts and other managed accounts. The filing notes that no individual unit investment trust holds more than 3% of any registered investment company issuer's shares.

  • · The filing is made pursuant to Rule 13d-1(b) and is a joint filing under Rule 13d-1(k)(1).
  • · First Trust Portfolios L.P. reported 0 shares beneficially owned, while First Trust Advisors L.P. and The Charger Corporation each reported 19,643,362 shares.
  • · The shares are held by unit investment trusts sponsored by First Trust Portfolios L.P., and the reporting persons disclaim beneficial ownership.
  • · No individual unit investment trust holds more than 3% of any registered investment company issuer's shares.
  • · The shares are voted by the trustee of the unit investment trusts to mirror the vote of other shareholders, except under certain agreements where First Trust Portfolios L.P. may vote in the best interest of unit holders.
FIRST TRUST EXCHANGE-TRADED FUND VIII SC 13G/A neutral materiality 3/10

07-08-2026

First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed an amended Schedule 13G, disclosing aggregate beneficial ownership of 142,698 shares (10.01%) of First Trust Exchange-Traded Fund VIII. The shares are held by unit investment trusts and other managed accounts, and the reporting persons disclaim beneficial ownership. The filing is routine and does not indicate any change in control.

  • · The filing is an amendment (13G/A) to a Schedule 13G.
  • · The reporting persons disclaim beneficial ownership of the shares.
  • · The shares are held by unit investment trusts sponsored by First Trust Portfolios L.P., and other accounts advised by First Trust Advisors L.P.
  • · No individual unit investment trust holds more than 3% of the issuer's shares.
  • · The reporting persons do not have the power to vote the shares held by the unit investment trusts; voting is done by the trustee.
DIODES INC /DEL/ SC 13G neutral materiality 5/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC on August 7, 2026, disclosing beneficial ownership of 2,605,247 shares of Diodes Incorporated common stock, representing a 5.7% stake. 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.

  • · State Street Corp. has sole voting power over 2,458,846 shares and sole dispositive power over 2,605,247 shares.
  • · The filing is made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934.
  • · State Street Corp. is a Massachusetts corporation with its principal business address in Boston, MA.
  • · The filing date is August 7, 2026, with the date of event as June 30, 2026.
DOLLAR GENERAL CORP SC 13G neutral materiality 3/10

07-08-2026

State Street Corporation filed a Schedule 13G with the SEC, disclosing beneficial ownership of 10,732,866 shares of Dollar General Corp common stock, representing 4.9% of the outstanding shares as of June 30, 2026. The filing indicates passive investment intent, with no intention to influence control.

  • · State Street Corporation holds 6,691,994 shares with sole voting power and 10,721,256 shares with sole dispositive power.
  • · The filing is made under Rule 13d-1(b), indicating passive investment intent.
  • · State Street Corporation is a Massachusetts corporation with principal offices in Boston, MA.

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