US Activist Hedge Fund Institutional SEC 13D 13G — August 28, 2026

28-08-2026

Five Narrow Lane LP and related parties filed a Schedule 13D disclosing beneficial ownership of 9.99% of Expion Energy, Inc. (formerly Expion360 Inc.) common stock, based on 962,335 shares outstanding as of August 6, 2026. The filing reports the purchase of a $4,500,000 8% Convertible Debenture due 2029 and a warrant to purchase up to 1,058,609 common shares, with an additional investment right of up to $91,000,000 in convertible preferred stock. The company has changed its name from Expion360 Inc. to Expion Energy, Inc. and plans to use proceeds for oil and gas asset acquisitions in Eastern Louisiana.

• · The company changed its name from Expion360 Inc. to Expion Energy, Inc. on August 24, 2026.
• · Proceeds from the private placement are intended for acquisition of oil and gas assets in Eastern Louisiana and general corporate purposes.
• · The Convertible Debenture matures on August 21, 2029 and is unsecured; interest is payable quarterly in cash.
• · The initial conversion price for Series A-1 Preferred Stock is $4.25 per share, subject to anti-dilution adjustments.
• · Joseph Hammer served as a director of the Issuer until the filing date.
• · The beneficial ownership is capped at 9.99% due to a contractual restriction; full conversion/exercise would exceed this limit.

28-08-2026

Situational Awareness LP and affiliated entities filed a Schedule 13D disclosing beneficial ownership of 8,070,950 shares of SharonAI Holdings Inc. Class A Ordinary Common Stock, representing 21.1% of the outstanding shares as of August 27, 2026. The position consists of 5,396,127 common shares and prefunded warrants for 2,674,823 shares, acquired for a total of $523,882,863.18. The filing states the investment was made because the stock was undervalued and that the reporting persons do not intend to change or influence control of the company.

• · The prefunded warrant was originally for 6,374,823 shares at $0.0001 per share, immediately exercisable with no expiration.
• · On August 27, 2026, stockholders approved removal of the 19.99% beneficial ownership limitation on the prefunded warrant.
• · The Fund entered into a Registration Rights Agreement on June 17, 2026 requiring the Issuer to file a resale registration statement; failure triggers liquidated damages of 1.0% of subscription amount per month (max 5.0%).
• · All reporting persons disclaim membership in a group and beneficial ownership beyond their pecuniary interest.
• · No transactions in the stock occurred in the 60 days prior to the filing other than the June 30 warrant exercise.

28-08-2026

This Schedule 13D/A filing reports non-market changes in beneficial ownership for Rezolve AI plc (RZLVW). Daniel Wagner's aggregate beneficial ownership increased to 55,029,792 shares (13.8% of 398,827,587 outstanding shares) due to the expiration of a call option over 2,025,496 shares and a non-cash distribution of 542,993 shares from the Estate of John Wagner to DBLP. No open-market purchases or sales were involved in these changes.

• · The filing is Amendment No. 4 to the original Schedule 13D filed on August 26, 2024.
• · Bradley Wickens exercised a pre-existing call option to acquire 1,566,697 shares at $1.48 per share, which did not reduce DBLP's beneficial ownership because those shares were already excluded.
• · A separate call option held by Bradley Wickens over 2,025,496 shares at $3.00 per share expired unexercised, and those shares are now included in DBLP's beneficial ownership.
• · The Estate of John Wagner distributed 543,993 shares to DBLP on July 10, 2026, for no consideration.
• · No Reporting Person effected any open-market purchase or sale in connection with these events.
• · The business address of the Estate of John Wagner is in Pathum Thani, Thailand.

28-08-2026

On August 24, 2026, PJ Millennium I Limited and PJ Millennium II Limited (wholly owned subsidiaries of PJ Millennium Limited Partnership) acquired 195,127,260 Class A ordinary shares of VNET Group, Inc. from Choice Faith Group Holdings Limited for an aggregate consideration of US$282,654,841 (US$1.4486 per share). This represents 11.4% of VNET's outstanding ordinary shares. The acquisition is part of a larger Share Purchase Agreement dated May 13, 2026, under which the Purchasers agreed to acquire a total of 650,424,192 Class A shares from two sellers for US$942,182,804; the remaining 455,296,932 shares from Success Flow International Investment Limited are still pending closing. The filing also reveals that Lochpine Capital Limited, the ultimate parent of the Purchasers, is 45% owned by CATL Investment Limited (a subsidiary of Contemporary Amperex Technology Co., Ltd., stock codes 300750.SZ and 03750.HK), 35% by Mr. Wang Hongbo, and 20% by Mr. Yee Chun Keung.

• · The per share price for the acquisition was US$1.4486 per Class A ordinary share.
• · Each of PJ Millennium I Limited and PJ Millennium II Limited acquired 97,563,630 Class A shares at the Seller B Shares Closing.
• · The remaining 455,296,932 Seller A Shares are to be acquired in a subsequent closing, with each Purchaser taking 227,648,466 shares.
• · Lochpine Capital Limited is the ultimate parent of the Purchasers and is held 45% by CATL Investment Limited (a CATL subsidiary), 35% by Mr. Wang Hongbo, and 20% by Mr. Yee Chun Keung.
• · VNET's ADSs, each representing six Class A ordinary shares, are listed on the Nasdaq Global Select Market under the symbol 'VNET'.

28-08-2026

HOLD Alapkezelo Zrt. filed a Schedule 13G/A with the SEC disclosing beneficial ownership of 1,348,323 common shares of MediWound Ltd., representing 10.4% of the outstanding shares as of August 27, 2026. The filing is a routine passive ownership disclosure under Rule 13d-1(c) and does not indicate any change in control intent.

• · The filing is an amendment (SC 13G/A) to a prior Schedule 13G.
• · The shares are held for passive investment purposes, not to influence control.
• · The outstanding share count of 12,910,278 is based on the issuer's 6-K filed on August 13, 2026.

28-08-2026

Ninja Trescado, LLC and Triple Shot Capital, LLC filed a Schedule 13G disclosing a combined 10.51% beneficial ownership stake in Mixed Martial Arts Group Ltd (MMA), representing 4,000,000 ordinary shares. Ninja Trescado holds 3,750,000 shares (9.85%) and Triple Shot Capital holds 250,000 shares (0.66%). The filing indicates the two entities may be deemed a group due to informal coordination and familial/business relationships, though each retains sole voting and dispositive power over its own shares.

• · The filing is made under Rule 13d-1(c) (passive investor exemption).
• · The Reporting Persons disclaim beneficial ownership of each other's shares except for pecuniary interest.
• · The group is not party to any written or formal agreement regarding acquisition, holding, voting or disposition of securities.
• · The issuer's ordinary shares have no par value and are listed under symbol Q0266F107.
• · The company changed its name from Alta Global Group Ltd on June 14, 2023.

28-08-2026

Lind Global Fund III LP, along with its general partner Lind Global Partners III LLC and managing member Jeff Easton, filed a Schedule 13G disclosing beneficial ownership of 1,094,890 shares of Dare Bioscience, Inc. common stock, representing 5.65% of the outstanding shares. The filing also notes ownership of an equal number of Series A and Series B warrants, but beneficial ownership is limited to 1,094,890 shares due to a 4.99% conversion cap. This is a passive investment disclosure with no indication of intent to change or influence control.

• · The filing is made under Rule 13d-1(c), indicating a passive investment.
• · The warrants include a provision limiting conversion to prevent beneficial ownership exceeding 4.99% of the company.
• · The reporting persons' address is 444 Madison Ave, Floor 41, New York, NY 10022.
• · The issuer's principal executive offices are at 3655 Nobel Drive, Suite 260, San Diego, CA 92122.

28-08-2026

WhiteRock Wealth Design LLC filed a Schedule 13G disclosing beneficial ownership of 76,125 shares of Security Midwest Bancorp, Inc. (SBMW) common stock, representing an 8.6% stake as of June 30, 2026. The filing is made under Rule 13d-1(b) and certifies that the securities were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.

• · The filing is a Schedule 13G (passive investment, not activist intent).
• · WhiteRock Wealth Design LLC is an investment adviser (IA) based in Fayetteville, Arkansas.
• · The filing date is August 28, 2026, with the ownership date as of June 30, 2026.
• · Only one filing entity reported; no group or joint filers.

28-08-2026

Streeterville Capital LLC disclosed beneficial ownership of 5,518,004 ordinary shares of Xiao-I Corp (AIXI), representing 9.99% of the 55,235,284 shares outstanding as of December 31, 2025. The stake is held under a Convertible Promissory Note dated August 26, 2026, with a contractual ownership cap of 9.99%. The filing is an amendment (SC 13G/A) and certifies the shares were not acquired to influence control.

• · The Convertible Promissory Note was dated August 26, 2026.
• · The ownership cap is contractually set at 9.99%.
• · The filing certifies the shares were not acquired to change or influence control of the issuer.
• · Streeterville Management, LLC is the manager of Streeterville Capital LLC; John M. Fife is the sole member of Streeterville Management, LLC.

28-08-2026

WhiteRock Wealth Design LLC filed a Schedule 13G with the SEC on August 27, 2026, disclosing beneficial ownership of 138,972 shares of PFS Bancorp, Inc. common stock, representing 9% 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 made under Rule 13d-1(b), indicating the filer is an institutional investment manager.
• · WhiteRock Wealth Design LLC is organized under the laws of Arkansas.
• · The filing date is August 28, 2026, with the beneficial ownership date as of June 30, 2026.
• · The filer disclaims any purpose or effect of changing or influencing control of the issuer.

28-08-2026

Uemura Holdings Co., Ltd. filed a Schedule 13G with the SEC on August 28, 2026, disclosing beneficial ownership of 28,732,860 shares of Advasa Holdings, Inc. (ADBT) common stock, representing a 5.90% stake as of August 11, 2026. The filing is a passive investment disclosure under Rule 13d-1(c), indicating the shares were not acquired to influence control of the issuer.

• · The filing is a Schedule 13G (passive investment disclosure), not a 13D (activist filing).
• · Uemura Holdings Co., Ltd. is based in Yamaguchi, Japan.
• · The beneficial ownership was reported as of August 11, 2026.
• · The issuer's total outstanding shares (487,065,702) are based on the Form 10-Q filed August 12, 2026.

28-08-2026

CastleKnight Master Fund LP and related entities disclosed a 8.1% beneficial ownership stake in Suja Life, Inc. as of August 21, 2026, holding 1,922,385 shares of Class A common stock. The filing is a Schedule 13G under Rule 13d-1(c), indicating the shares were not acquired to influence control of the issuer. Aaron Weitman is identified as a control person of the reporting entities.

• · The filing date is August 28, 2026, with the event date of beneficial ownership as August 21, 2026.
• · Each reporting person disclaims beneficial ownership except for pecuniary interest.
• · The filing is made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · No shares are held with sole power to vote or dispose; all 1,922,385 shares are held with shared power to vote and dispose.

28-08-2026

Sean Goodrich and his SPV, Goodrich ILMJS LLC, filed Amendment No. 2 to their Schedule 13D, disclosing beneficial ownership of 5,136,121 shares of Boost Run Inc. Class A Common Stock, representing 10.28% of the outstanding shares as of August 17, 2026. The filing also details that all 1,968,750 SPV Earnout Shares were issued to the SPV on June 11, 2026, based on achieving VWAP performance thresholds. No transactions in the stock were effected by the Reporting Persons during the past 60 days.

• · The SPV purchased 1,272,885 Founder Shares (27.5% of Sponsor's 4,628,674 Founder Shares) and 1,101,986 Private Warrants (27.5% of Sponsor's 4,007,222 Private Warrants) at $1.75 per Founder Share.
• · The Earnout Agreement allowed the SPV to earn up to 1,968,750 additional shares based on VWAP thresholds of $12.50, $15.00, and $17.50 per share during a three-year period following the Business Combination closing.
• · All 1,968,750 SPV Earnout Shares were issued on June 11, 2026.
• · No transactions in Class A Common Stock were effected by the Reporting Persons during the past 60 days.
• · The Reporting Persons have sole voting and sole dispositive power over 5,136,121 shares (Mr. Goodrich) and shared voting and shared dispositive power over the same shares (Goodrich ILMJS LLC).

28-08-2026

Miguel Matias Galuccio filed an amended Schedule 13D with the SEC on August 28, 2026, disclosing beneficial ownership of 6,739,892 Series A shares (6.1%) of Vista Energy, S.A.B. de C.V. This includes 3,309,936 Series A shares, 2,935,735 ADSs, and 494,221 shares from vested stock options. Notably, on July 13, 2026, 281,186 vested stock options were canceled by the company at $66.30 per share, reducing his potential stake, but no other acquisitions or dispositions occurred in the past 60 days.

• · The filing is Amendment No. 2 to the original Schedule 13D filed on February 15, 2022.
• · Galuccio has sole voting and dispositive power over all 6,739,892 Series A shares.
• · The cancellation of 281,186 vested stock options on July 13, 2026, at $66.30 per share reduced his potential ownership but did not affect the reported 6.1% stake as of the filing date.
• · No other acquisitions or dispositions of Series A shares or ADSs occurred in the past 60 days.

28-08-2026

Lianyi Holding Ltd and its director Yu Chen filed a Schedule 13D disclosing beneficial ownership of 1,034,483 ordinary shares of iOThree Ltd, representing 34.12% of the 3,032,199 shares outstanding as of July 20, 2026. The shares were purchased at $0.87 per share for an aggregate of $900,000 under a Securities Purchase Agreement dated January 10, 2026. No other transactions were effected in the past 60 days, and no proposals for changes at the issuer have been made.

• · The purchase price was paid from the personal funds of Yu Chen; no portion was borrowed.
• · Yu Chen acquired no ordinary shares directly and is deemed to beneficially own the shares held by Lianyi Holding Ltd by virtue of his control of that entity.
• · No other person is known to have the right to receive or direct the receipt of dividends or proceeds from the sale of the Reporting Persons' securities.
• · A Joint Filing Agreement was executed on August 28, 2026, between Lianyi Holding Ltd and Yu Chen.

28-08-2026

Orca Capital AG filed an amended Schedule 13G with the SEC, disclosing beneficial ownership of 39,945 shares of Jupiter Neurosciences, Inc. common stock, representing a 3.3% stake as of August 21, 2026. The filing indicates Orca Capital AG is a passive investor, certifying that the shares were not acquired to influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) filed on August 28, 2026.
• · The ownership percentage is calculated based on 1,220,601 shares outstanding after the issuer's registered offering (Prospectus Supplement filed August 24, 2026).
• · Orca Capital AG is based in Hettenshausen, Germany.
• · The filing is made under Rule 13d-1(c), indicating passive investment intent.

28-08-2026

Orca Capital AG filed a Schedule 13G/A with the SEC on August 28, 2026, disclosing beneficial ownership of 47,894 Class A Ordinary Shares of Elong Power Holding Ltd., representing 4.9% of the company's outstanding shares. The filing indicates Orca Capital AG acquired these shares for investment purposes and not to influence control of the issuer. The ownership percentage is calculated based on 929,541 ordinary shares outstanding as of August 19, 2026, and is subject to a 4.99% blocker on warrant exercises.

• · The filing is an amendment (Schedule 13G/A) to a previous beneficial ownership report.
• · Orca Capital AG is based in Pfaffenhofen, Germany.
• · The shares are held for investment purposes, with no intent to change or influence control of the issuer.
• · The 4.99% blocker prevents Orca Capital AG from exercising warrants that would push its ownership above 4.99% of outstanding common stock.

28-08-2026

Orca Capital AG filed a Schedule 13G with the SEC on August 28, 2026, disclosing beneficial ownership of 51,000 Class A ordinary shares of NFT Ltd, representing 9.9% of the outstanding shares. The filing is made under Rule 13d-1(c) and certifies that the securities were not acquired for the purpose of changing or influencing control of the issuer.

• · The filing is made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · Orca Capital AG is based in Pfaffenhofen, Germany.
• · The beneficial ownership calculation excludes shares issuable upon exercise of warrants due to blockers (9.99% and 4.99%).
• · The total outstanding shares figure (510,729) is as of the completion of the issuer's registered offering per a prospectus supplement filed August 24, 2026.

28-08-2026

BRC Group Holdings, Inc., B. Riley Principal Capital, LLC, and Bryant R. Riley filed a Schedule 13D disclosing beneficial ownership of 460,080 shares of Biomerica Inc. common stock, representing 10.03% of the outstanding shares as of August 20, 2026. The shares were acquired for an aggregate purchase price of $736,128, funded by BRPC's working capital. The filing also notes that BRPC is entitled to appoint a board representative and that Biomerica entered into a 24-month engagement letter with B. Riley Securities, Inc. for exclusive financial advisory services regarding strategic transactions.

• · The filing is a Schedule 13D, indicating active investment intent and potential for future actions such as changes in operations, governance, or capitalization.
• · BRPC is entitled to appoint a representative to Biomerica's Board of Directors.
• · Biomerica entered into a 24-month engagement letter with B. Riley Securities for exclusive financial advisory services regarding strategic transactions.
• · The Reporting Persons reserve the right to acquire additional shares or dispose of shares in the open market or through private transactions.
• · No transactions in Biomerica common stock were engaged in by the Reporting Persons during the past 60 days, except for the initial acquisition.

28-08-2026

Jonathan M. Rothberg and affiliated entities filed Amendment No. 5 to their Schedule 13D, disclosing combined beneficial ownership of 14,376,415 Class A shares (7.20% of Class A outstanding) and 19,937,500 Class B shares (100% of Class B outstanding). The amendment also reveals that trusts for Rothberg's children have adopted a Rule 10b5-1 trading plan to sell up to 8,947,746 Class A shares between January 15, 2027 and January 15, 2028, subject to minimum price parameters, with no assurance of sales. This represents a potential overhang on the stock, though the plan is structured to comply with insider trading rules.

• · The Rule 10b5-1 plan was entered into on August 26, 2026 with Jefferies LLC as broker.
• · The plan's sales period begins on January 15, 2027 (142 days after the effective date) and ends on January 15, 2028, or earlier upon sale of all 8,947,746 shares.
• · The plan covers shares held by trusts for Rothberg's children: NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, EJR TR, LLC, and GBR TR, LLC.
• · The plan includes minimum price parameters, and there is no assurance any shares will be sold.
• · Rothberg's beneficial ownership includes 669,737 shares from exercisable stock options.
• · The filing is Amendment No. 5 to the original Schedule 13D dated June 18, 2021, with prior amendments filed on September 13, 2023, September 17, 2024, December 31, 2024, and September 11, 2025.
• · The issuer was formerly known as HighCape Capital Acquisition Corp. until June 29, 2020.

28-08-2026

James A. Bianco, M.D., President, CEO, and director of TuHURA Biosciences, Inc., filed a Schedule 13D/A (exit filing) on August 28, 2026, reporting that his beneficial ownership fell below 5% due to dilution from the issuance of 1,878,287 shares to Parkview Holdings One LLC. As of August 18, 2026, Dr. Bianco beneficially owns 3,085,519 shares (4.6% of outstanding common stock), down from a prior above-5% stake, though he continues to serve as President, CEO, and director.

• · The filing is an exit filing under Schedule 13D, terminating Dr. Bianco's reporting obligations under Section 13(d) of the Exchange Act.
• · Dr. Bianco's decrease in ownership percentage was solely due to dilution from the issuance of shares to Parkview, not from any sale or acquisition by him.
• · Dr. Bianco retains sole voting and dispositive power over all 3,085,519 shares (including options).
• · The original Schedule 13D was filed on October 25, 2024.

28-08-2026

Feis Equities LLC and Lawrence M. Feis filed a Schedule 13G disclosing beneficial ownership of 745,684 ordinary shares of Southern Cross Acquisition II Corp., representing a 9.74% stake as of August 25, 2026. The filing indicates passive investment intent under Rule 13d-1(c), with no aim to change or influence control of the issuer.

• · The filing is a Schedule 13G (passive investment), not a Schedule 13D (activist intent).
• · The shares were acquired and are held without the purpose of changing or influencing control of the issuer.
• · The filing was made jointly by Feis Equities LLC and Lawrence M. Feis under a Joint Filing Agreement dated August 27, 2026.
• · The issuer is a blank check company (SIC 6770) incorporated in the Cayman Islands (E9).

28-08-2026

Imperial Petroleum Inc. filed Amendment No. 13 to its Schedule 13D for C3is Inc., disclosing beneficial ownership of 6,136,475 shares of common stock, representing 80.5% of the outstanding shares. The amendment updates ownership due to a conversion price adjustment of Series A Convertible Preferred Stock to $2.4444 following a 1-for-40 reverse stock split effective August 19, 2026, and the end of a warrant adjustment period on August 26, 2026. Harry N. Vafias, Chairman and CEO of Imperial Petroleum, also serves as Non-Executive Chairman of C3is and beneficially owns 19 shares of common stock through entities.

• · The original Schedule 13D was filed on July 28, 2023, and this is the 13th amendment.
• · The conversion price adjustment was triggered by a 1-for-40 reverse stock split effective August 19, 2026.
• · The warrant adjustment period ended on August 26, 2026.
• · Imperial Petroleum may acquire additional securities or sell shares in open market, block trades, or private transactions.
• · Harry N. Vafias beneficially owns 19 shares of common stock through Arethusa Properties LTD and Flawless Management, Inc.

28-08-2026

This Schedule 13D/A filing reports that following the death of Charles C. Anderson on June 24, 2026, and a sale of 148,524 shares by Anderson CBP LLC on August 20, 2026, the combined beneficial ownership of the Anderson family and related entity has fallen below 5% of First US Bancshares, Inc. common stock. The reporting group now holds 232,553 shares (4.2% of outstanding shares), down from a prior position above 5%. Harold M. Anderson remains the largest individual holder with 142,500 shares (2.6%), while Terrence Anderson holds 90,053 shares (1.6%) and Anderson CBP LLC holds 49,252 shares (less than 1%).

• · Charles C. Anderson passed away on June 24, 2026; Terrence Anderson became estate representative.
• · The sale of 148,524 shares on August 20, 2026 was in connection with the administration of Charles C. Anderson's estate.
• · Charles C. Anderson (through his estate) no longer holds any shares directly.
• · The reporting group's aggregate ownership dropped below the 5% threshold, triggering this amendment.
• · No other purchases or sales of the issuer's stock by the reporting persons occurred within 60 days besides the reported sale.

28-08-2026

Longview Asset Management, LLC filed an amended Schedule 13D with the SEC on August 28, 2026, disclosing beneficial ownership of 27,096,788 shares of General Dynamics Corp common stock, representing approximately 10.0% of outstanding shares. The filing indicates Longview may sell up to 12.5% of its holdings (about 3.4 million shares) for portfolio diversification purposes, but notes this is unrelated to any matter pertaining to the issuer. The filing also states the reporting person may increase or decrease its position depending on market conditions and other factors.

• · The filing is Amendment No. 30 to the original Schedule 13D filed on January 2, 1970.
• · Longview Asset Management's ownership percentage is calculated based on 270,557,195 shares outstanding as of July 5, 2026.
• · The potential sale of up to 12.5% of holdings is described as driven by internal portfolio allocation considerations, not by any issuer-related matters.
• · The reporting person may also enter into transactions to hedge economic exposure without affecting beneficial ownership.

28-08-2026

Andreessen Horowitz funds (AH Bio Fund II, L.P. and Andreessen Horowitz LSV Fund II, L.P.) filed a Schedule 13D/A disclosing aggregate beneficial ownership of 7,684,932 shares of Nautilus Biotechnology, Inc. common stock, representing 6.0% of shares outstanding as of July 24, 2026. However, the filing reveals significant open-market selling activity over the past 60 days, with AH Bio II selling 1,272,473 shares and AH LSV II selling 105,847 shares at prices ranging from $0.90 to $1.06 per share, indicating a reduction in their positions.

• · The filing is Amendment No. 3 to the original Schedule 13D filed June 30, 2021.
• · AH Bio II sold 1,272,473 shares in 16 separate open-market transactions between July 31 and August 27, 2026.
• · AH LSV II sold 105,847 shares in the same transactions.
• · Sale prices ranged from $0.90 to $1.06 per share, with most recent sales around $0.93-$0.96.
• · The percentage ownership is based on 127,255,223 shares outstanding as of July 24, 2026 (per Form 10-Q).
• · Marc Andreessen and Benjamin Horowitz are deemed to have shared voting and dispositive power over all 7,684,932 shares.

28-08-2026

Neil S. Subin and affiliated entities (MILFAM LLC, MILFAM GP, LLC, Dark Mirage, LP) filed an amended Schedule 13G disclosing beneficial ownership of 19,549,309 Class A Common Shares of Optimum Communications, Inc., representing 11.9% of the outstanding Class A shares as of July 28, 2026. The filing is a passive investment disclosure under Rule 13d-1(c), with no intent to change or influence control of the issuer.

• · The filing is an amendment (Schedule 13G/A) filed on August 28, 2026.
• · The beneficial ownership date is July 28, 2026.
• · All reporting persons disclaim beneficial ownership except to the extent of pecuniary interest.
• · The filing is made under Rule 13d-1(c), indicating passive investment intent.
• · The issuer was formerly known as Altice USA, Inc. (name changed April 3, 2017).

28-08-2026

PPF Group a.s. and related entities filed an amended Schedule 13D with the SEC on August 28, 2026, disclosing that an internal reorganization completed on August 27, 2026 transferred 14,782,275 ordinary shares of Autolus Therapeutics plc from PPF Biotech B.V. to PPF IM Ltd. The transfer did not change ultimate beneficial ownership, and the group continues to hold approximately 5.6% of Autolus' outstanding shares. The filing also includes updated joint filing agreements and powers of attorney.

• · The internal reorganization was completed on August 27, 2026.
• · The transfer price was equal to the closing price of the ordinary shares on the date immediately preceding the transfer date, using PPF IM's working capital.
• · No funds were expended by PPF IM or PPF Group in connection with the acquisition of beneficial ownership as a result of the transfer.
• · The reporting persons disclaim beneficial ownership except to the extent of their respective pecuniary interest.
• · No transactions in the ordinary shares were effected by the reporting persons during the past 60 days except for the intercompany transfer.
• · The filing includes a power of attorney for PPF IM Ltd. authorizing Lubomir Kral and Radomir Johanna to execute Section 16 and Schedule 13D/G filings.

28-08-2026

Kouji Eguchi, founder and CEO of Medirom Healthcare Technologies Inc., filed an amended Schedule 13D disclosing a 25.11% beneficial ownership stake as of August 27, 2026. The filing reflects a net reduction in his holdings due to a gratuitous transfer of 79,945 common shares to an unrelated third party on August 27, 2026, partially offset by the grant of 36,500 stock options (exercisable at $1.74 per share, subject to revenue targets). Despite the transfer, Eguchi remains the largest shareholder with 2,031,558 common shares (including options exercisable within 60 days).

• · Eguchi transferred 79,945 common shares to an unrelated third party for no consideration on August 27, 2026.
• · Eguchi was granted 36,500 stock options on July 18, 2025, with an exercise price of $1.74 per share, exercisable from July 18, 2026, to July 17, 2030, subject to revenue targets.
• · Eguchi also holds 150,000 stock options granted on October 30, 2020, exercisable at JPY 2,000 per share, expiring September 30, 2026.
• · COZY LLC, wholly owned by Eguchi, holds 47,543 common shares (0.60% of outstanding).
• · The filing is an amendment to the Schedule 13D originally filed on January 25, 2023.

28-08-2026

L.I.A. Pure Capital Ltd. and Invest Pro Shukai Hon Ltd., collectively holding 19.35% of Evogene Ltd.'s ordinary shares, filed an amended Schedule 13D to report a shareholder communication urging support for their board nominees at the upcoming annual meeting. The filing criticizes Evogene's track record of limited commercial results and shareholder value erosion, framing the vote as a choice between accountability and continued underperformance.

• · This is Amendment No. 5 to the Schedule 13D, filed on August 28, 2026.
• · The reporting persons' communication was in response to Evogene's press release dated August 25, 2026.
• · The filing includes an exhibit titled 'Response of L.I.A. Pure Capital and Invest-Pro to Evogene's August 25, 2026 Press Release'.
• · The reporting persons criticize the incumbent board for 'years of limited commercial realization and significant erosion of shareholder value'.
• · They argue that board refreshment should be measured by outcomes, not headcount.

28-08-2026

Saba Capital Management, L.P. and affiliates filed Amendment No. 4 to their Schedule 13D, disclosing beneficial ownership of 2,155,133 common shares (14.32%) of Gabelli Healthcare & WellnessRx Trust (GRX), based on 15,050,683 shares outstanding as of 12/31/25. The filing reflects recent open-market purchases totaling approximately $20.77 million, including 36,932 shares bought in August 2026. The position is held across Saba Capital, its GP, and Boaz R. Weinstein, with no recent criminal or civil securities proceedings disclosed.

• · Amendment No. 4 amends Items 3, 5, and 7 of the Schedule 13D.
• · All recent transactions were open-market purchases; no sales were reported in the past 60 days.
• · The position is held in margin accounts, with shares pledged as collateral for debit balances.
• · Saba Capital and affiliates have not been convicted in criminal proceedings or subject to securities-related civil judgments in the last five years.
• · The filing was made jointly by Saba Capital, Saba GP, and Boaz R. Weinstein.

28-08-2026

Pinnacle Family Office Investments L.P. and Barry M. Kitt filed a Schedule 13G with the SEC on August 28, 2026, disclosing beneficial ownership of 625,000 shares of SUNation Energy, Inc. common stock, representing a 9.6% stake. The filing indicates the shares were acquired in the ordinary course of business and not with the purpose of changing or influencing control of the issuer.

• · The filing is made pursuant to Rule 13d-1(c) under the Securities Exchange Act of 1934.
• · The filers disclaim any purpose or effect of changing or influencing control of the issuer.
• · A Joint Filing Agreement was executed on August 28, 2026, between Pinnacle Family Office Investments L.P. and Barry M. Kitt.

28-08-2026

J. David Rosenberg, a senior partner at Keating Muething and Klekamp PLL, filed a Schedule 13D with the SEC on August 28, 2026, disclosing beneficial ownership of 54,452 shares of Gouverneur Bancorp, Inc. common stock, representing 5.14% of the outstanding shares. The filing indicates that Rosenberg acquired the shares for investment purposes and may engage in discussions with management regarding extraordinary corporate transactions, though no specific plans are currently in place.

• · Rosenberg has sole voting and dispositive power over all 54,452 shares.
• · The shares were purchased with personal funds.
• · Rosenberg may acquire additional shares, sell shares, or enter into Rule 10b5-1 trading plans in the future.
• · He may also pledge shares under margin or loan agreements.
• · Rosenberg has not been convicted in any criminal proceeding or been party to any adverse civil securities-related proceeding in the last five years.

28-08-2026

Streeterville Capital LLC, along with Streeterville Management LLC and John M. Fife, filed a Schedule 13G/A disclosing beneficial ownership of 1,390,443 shares of Empery Digital Inc. common stock, representing 4.9% of the 28,110,111 shares outstanding as of August 6, 2026. The filing indicates no change in the number of shares held compared to the prior filing, and the stake remains just below the 5% threshold.

• · The filing is an amendment (13G/A) to a previously filed Schedule 13G.
• · Streeterville Capital LLC directly holds all 1,390,443 shares; Streeterville Management LLC and John M. Fife are indirect beneficial owners.
• · The filers certify the shares were not acquired with the purpose of changing or influencing control of the issuer.
• · The filing date is August 28, 2026, with a date as of change also August 28, 2026.

28-08-2026

MAK Capital One LLC, MAK Capital Fund LP, and Michael A. Kaufman filed an amended Schedule 13G with the SEC, reporting beneficial ownership of 1,016,047 shares of Perma-Fix Environmental Services Inc. common stock, representing a 4.8% stake as of August 28, 2026. The filing indicates no change in ownership from the prior reporting period, with the group maintaining the same number of shares and percentage ownership.

• · The filing is an Amendment No. 2 to Schedule 13G, filed under Rule 13d-1(c).
• · The reporting persons disclaim group status for purposes of Regulation 13D-G.
• · MAK Capital Fund LP is a Bermuda limited partnership; MAK Capital One LLC is a Delaware limited liability company; Michael A. Kaufman is a U.S. citizen.
• · The securities were not acquired with the purpose or effect of changing or influencing control of the issuer.

28-08-2026

The Gebbia family group filed Amendment 31 to their Schedule 13D, reporting aggregate beneficial ownership of 17,060,603 shares of Siebert Financial Corp. common stock, representing approximately 42% of the 41,150,936 shares outstanding as of August 28, 2026. The filing notes gifts from the Gebbia Living Trust to individuals outside the control group and an acquisition of shares by a family member within the group, but does not disclose any material change in the group's overall ownership percentage or control intent.

• · The Gebbia Living Trust owns 9,804,994 shares (24%) of Siebert Financial Corp.
• · Richard Gebbia directly owns 3,078,127 shares (8%) and may be deemed to share indirect beneficial ownership of 576,273 additional shares.
• · John M. Gebbia directly owns 1,921,891 shares (5%) and may be deemed to share indirect beneficial ownership of 490,000 additional shares.
• · David Gebbia directly owns 1,415,318 shares (3%) and may be deemed to share indirect beneficial ownership of 374,000 additional shares.
• · Gloria E. Gebbia and John J. Gebbia do not directly own any shares but may be deemed to have indirect beneficial ownership of the 9,804,994 shares held by the Gebbia Living Trust.
• · The filing reports gifts from the Gebbia Living Trust to individuals not included within the control group and an acquisition of shares by a family member of the control group.
• · No transactions in the common stock were effected by the reporting persons during the last 60 days, except as described in the amendment.

28-08-2026

Howard Amster filed an amended Schedule 13D disclosing beneficial ownership of 2,406,467 shares of CBL & Associates Properties Inc. common stock, representing 7.8% of the outstanding shares as of August 3, 2026. The filing also reports that Mr. Amster sold a total of 291,050 shares in open-market transactions between June 30 and August 27, 2026, at prices ranging from $52.08 to $58.82 per share. The filing reflects a reduction in his ownership from the prior filing, with no new purchases reported.

• · The filing is Amendment No. 2 to the initial Schedule 13D filed March 14, 2023.
• · Mr. Amster's direct ownership is 1,376,435 shares; additional shares are held through various entities and trusts.
• · The largest single sale was 43,000 shares on July 31, 2026 at $58.32 per share.
• · No purchases were reported in the past 60 days; all transactions were sales.
• · The denominator for percentage calculation is based on 30,942,757 shares outstanding as of August 3, 2026.

28-08-2026

Amit Mohan Agarwal filed a Schedule 13G with the SEC on August 28, 2026, disclosing beneficial ownership of 1,700,000 Class A shares of biote Corp., representing a 5.92% stake. The filing indicates the shares were acquired in the ordinary course of business and not with the intent to change or influence control of the company.

• · Amit Agarwal is a private investor based in Tampa, FL.
• · The filing was made under Rule 13d-1(c), indicating passive investment intent.
• · Agarwal has sole voting and dispositive power over all 1,700,000 shares.