US Activist Hedge Fund Institutional SEC 13D 13G — October 29, 2026

29-10-2026

Mark B. Lucky filed Amendment No. 2 to his Schedule 13D, reporting beneficial ownership of 119,746,869 shares, or 9.43% of Visium Technologies' common stock (based on 1,269,509,667 shares outstanding per the FY2026 10-K). The amendment corrects Item 4 to reflect that Lucky's counsel extended the cure period on his October 26, 2026 Good Reason notice to the later of November 25, 2026 or 30 days after a special committee is constituted, but no later than March 1, 2027; he has not resigned. Lucky, acting as sole director, intends to add two independent directors and form a special committee, and has proposed a negotiated mutual separation, though no agreement has been reached.

• · Reporting Person delivered a Good Reason notice under Section 4(c) of his Executive Employment Agreement dated March 28, 2026 on October 26, 2026
• · Cure period extended to the later of November 25, 2026 and 30 days after special committee constitution, but not later than March 1, 2027
• · If not cured, resignation for Good Reason would take effect the day after the cure period ends, ending his officer and director roles
• · Lucky intends to fix the board at three directors and elect two independent directors; no director has been elected yet
• · Special committee would oversee related-party transactions and any dealings with PT Smart Green Technologies or Adler Capital Limited
• · Amendment No. 1 was filed October 29, 2026; original Schedule 13D filed May 1, 2026
• · Issuer formerly named NuSTATE Energy Holdings, Inc. (name change 20071227), Fittipaldi Logistics, Inc. (20061024), and POWER2SHIP INC (20030516)
• · Issuer business address: 4094 Majestic Lane, Suite 360, Fairfax, VA 22033

29-10-2026

Bain Capital Life Sciences Opportunities IV, L.P. filed a Schedule 13G disclosing beneficial ownership of 14,825,625 Common Shares of ADC Therapeutics SA, equal to 9.99% of outstanding shares as of October 22, 2026, capped by a Beneficial Ownership Blocker. The position consists of 7,000,000 Common Shares plus pre-funded warrants for up to 22,703,927 shares, of which only 7,825,625 are counted as exercisable under the 9.99% cap. The filing is a passive-ownership disclosure (Rule 13d-1(c)) with no stated intent to influence control, and the percentage is calculated on 127,667,695 shares outstanding as of August 3, 2026 plus 12,911,347 shares sold in an October 22, 2026 private placement.

• · Filing made under Rule 13d-1(c) as a passive investor disclosure; certifies securities not held to change or influence control
• · Beneficial Ownership Blocker prohibits exercising pre-funded warrants if it would push ownership above 9.99%
• · Reporting Person's address: 200 Clarendon Street, Boston, MA 02116; Issuer address: Route de la Corniche 3B, 1066 Epalinges, Switzerland
• · Issuer SIC classification: Pharmaceutical Preparations [2834]; SEC file number 005-91517
• · Ownership percentage denominator includes 127,667,695 shares (Aug 3, 2026) plus 12,911,347 private-placement shares (Oct 22, 2026) plus 7,825,625 warrant shares under the blocker

29-10-2026

Bigger Capital Fund LP and affiliated reporting persons (Bigger Capital Fund GP LLC, District 2 Capital Fund LP, District 2 Capital LP, District 2 GP LLC, District 2 Holdings LLC, and Michael Bigger) filed a Schedule 13G/A disclosing that, as of October 29, 2026, they owned no securities of BTC Digital Ltd. All beneficial ownership figures on the cover pages are reported as 0.00, indicating a full exit of any prior position. The filing is a passive-investor disclosure under Rule 13d-1(c) with no intent to influence control.

• · All six reporting entities and Michael Bigger report 0.00 shares and 0.00% beneficial ownership
• · Filing made under Rule 13d-1(c) (passive investor exemption)
• · Issuer BTC Digital Ltd. is a Shenzhen, China-based crypto-asset company (SIC 6199 Finance Services) formerly named DTC Digital Ltd. (renamed 2023-08-16), Meten Holding Group Ltd. (2021-09-01), and Meten EdtechX Education Group Ltd. (2019-12-11)
• · Reporting persons' addresses: Bigger Capital entities in Las Vegas, NV; District 2 entities in Huntington, NY
• · Filing signed October 29, 2026 by Michael Bigger on behalf of all reporting persons
• · A prior 13G/A filing (accession 0000921895-26-001739) is referenced as previously filed

29-10-2026

Westlake BioPartners entities and Dr. Beth C. Seidenberg filed a Schedule 13G disclosing beneficial ownership of Latigo Biotherapeutics, Inc. as of September 30, 2026. In aggregate, Seidenberg may be deemed to beneficially own 13,199,669 shares (19.9%), comprising 5,944,009 shares (9.0%) held by Westlake Fund I, 5,160,847 shares (7.8%) held by Westlake Fund II, and 2,094,813 shares (3.2%) held by Westlake Opportunity Fund I. The filing is a passive ownership disclosure under Rule 13d-1(d) and reflects no reported change in position, with all shares carrying sole voting and dispositive power.

• · Filing made under Rule 13d-1(d), indicating a passive investor position with no reported change in holdings
• · All 13,199,669 shares reported with sole voting and sole dispositive power; no shared voting or dispositive power disclosed
• · Issuer Latigo Biotherapeutics is classified under SIC 2834 (Pharmaceutical Preparations) and incorporated in Delaware
• · Issuer principal address: 1300 Rancho Conejo Boulevard, Suite 305, Thousand Oaks, CA 91320
• · Reporting persons' principal office: c/o Westlake BioPartners, LLC, 3075 Townsgate Road, Suite 140, Westlake Village, CA 91361
• · Filing signed October 27, 2026; event date of ownership snapshot September 30, 2026
• · Exhibits include a Joint Filing Agreement and three Powers of Attorney dated February 6, 2024

29-10-2026

Westlake BioPartners entities and Dr. Beth C. Seidenberg filed a Schedule 13G disclosing beneficial ownership in Electra Therapeutics, Inc. as of September 30, 2026, under Rule 13d-1(d). Westlake BioPartners Fund I holds 3,527,136 shares (5.6%) and Fund II holds 2,820,403 shares (4.5%), while Seidenberg, as sole managing director of both general partners, may be deemed to beneficially own the combined 6,347,539 shares (10.1%). The filing is a passive ownership disclosure with no reported transactions, so it reflects a static stake rather than any change in position.

• · Filing made under Rule 13d-1(d) as a passive investor disclosure, dated October 29, 2026, with ownership measured as of September 30, 2026
• · Each Reporting Person disclaims beneficial ownership except to the extent of pecuniary interest
• · Issuer Electra Therapeutics is classified under SIC 2836 (Biological Products, no diagnostic substances) and incorporated in Delaware
• · Issuer address: 230 East Grand Avenue, Suite S-100, South San Francisco, CA 94080
• · Reporting persons' principal office: c/o Westlake BioPartners, LLC, 3075 Townsgate Road, Suite 140, Westlake Village, CA 91361
• · Filing executed October 27, 2026 pursuant to Powers of Attorney dated February 6, 2024
• · No transactions in the issuer's securities were reported in this filing

29-10-2026

Keith Kosow and Cedar Holdings Mgmt LLC filed a joint Schedule 13G reporting beneficial ownership of 6,304,348 shares of Alpha Modus Holdings Class A Common Stock, representing 9.88% of the 63,820,133 shares outstanding following the company's October 2026 offering. The shares are held entirely by Cedar, with Kosow deemed beneficial owner via his role as Chief Investment Officer; both report sole voting and dispositive power over the full stake and no other ownership. The filing is a passive-investor disclosure under Rule 13d-1(c) certifying the securities were not acquired to influence control.

• · Reporting persons' principal business address is 100 South Pointe Drive #2010, Miami Beach, FL 33139 (cover page lists #1610)
• · Ownership percentage calculated on 63,820,133 shares outstanding post-offering per prospectus supplement dated October 21, 2026 (Form S-3, File No. 333-292606, effective January 16, 2026)
• · Filing made under Rule 13d-1(c) with a Joint Filing Agreement as Exhibit 1
• · Issuer formerly named Insight Acquisition Corp. /DE (name change May 14, 2021) and Alpha Modus Holdings, Inc. (name change December 19, 2024)
• · Issuer SIC code 6794 (Patent Owners & Lessors), incorporated in Delaware, EIN 863386030
• · Kosow holds no shares directly; all 6,304,348 shares are held by Cedar

29-10-2026

Bubble Holdings, LLC (controlled by GP Investments, Ltd. and GP Cash Management, Ltd.) filed a Schedule 13D disclosing beneficial ownership of approximately 16.1% of Zevia PBC's Class A common stock, represented by 13,812,154 shares issuable upon conversion of up to 20,000 shares of Series A Preferred Stock at $1.448/share. The investment totals up to $20 million, with $15 million funded at the October 22, 2026 initial closing and a further $5 million deferred, conditioned on Zevia achieving 2026 net sales of at least $172.5 million and Adjusted EBITDA of at least negative $3 million. The deal grants Bubble board representation, protective rights, and standstill/transfer restrictions, but the deferred tranche remains contingent on financial targets that imply a demanding sales threshold.

• · Conversion price of $1.448 per Class A share, subject to anti-dilution adjustments
• · Aggregate conversion cap of 14,428,844 shares
• · Issuer may force conversion from third anniversary if shares trade at least 150% of conversion price for 20 of 30 consecutive trading days
• · Investor redemption price generally greater of Accreted Value and 1.5x original issuance price, exercisable after fourth anniversary or on Fundamental Changes
• · Preferred shares and underlying common subject to 12-month transfer restriction with right of first offer to Issuer
• · Protective rights require preferred holder approval for actions including >$25 million acquisitions/divestitures
• · Registration rights include two demand rights, piggyback rights, one underwritten shelf takedown per quarter, and up to two block trades per 12 months
• · Ownership percentage calculated on 72,136,516 Class A shares outstanding as of July 31, 2026
• · No Reporting Person has engaged in other Common Stock transactions in past 60 days
• · Board increased to eight directors at initial closing

29-10-2026

FOXO Technologies Inc. filed a Schedule 13D disclosing agreements signed October 25, 2026 to acquire 5,000,000 shares of Ludwig Enterprises' Convertible Preferred Stock (3,000,000 from The Thomas E. Terwilliger Revocable Trust, 2,000,000 from Vasaio Capital) in exchange for 2,250,000 shares of new FOXO Series F Convertible Preferred with an aggregate stated value of $2,250,000. If closed, FOXO would hold ~71.4% of outstanding Preferred Stock and ~57.7% of combined voting power, and may be deemed to beneficially own 500,000,000 underlying Common Shares (~74.9% under Rule 13d-3(d)(1)(i)). However, no transaction has closed, no consideration has been paid, and closing is conditioned on Nasdaq listing approval, a completed financing, due diligence and other approvals, with Sellers able to terminate if listing/offering is not completed within 120 days.

• · Neither acquisition has closed and no consideration has been paid or delivered; FOXO holds no record ownership or dispositive power over the Subject Preferred Shares
• · Closing conditions include Nasdaq listing approval for FOXO common stock, completion of a financing satisfactory to FOXO's board, satisfactory due diligence on Ludwig, capitalization verification, and simultaneous closing of both SPAs
• · Sellers may generally terminate if the listing and related public offering are not completed within 120 days after signing
• · FOXO expects to fund the $500,000 cash portion of the Note Purchase Agreement from proceeds of its contemplated listing/capital raise, which has not been completed and from which no proceeds have been received
• · Ludwig's interim CEO has offered to resign and a director has offered to resign from the board while continuing as CFO; neither resignation has been accepted, and Mark White may be invited as director and interim CEO
• · FOXO may consider transactions making Ludwig a subsidiary of FOXO and may convert some or all Subject Preferred Shares into Common Stock
• · Neither Rennova nor Seamus Lagan beneficially owns any Ludwig securities or effected transactions in the past 60 days
• · Stated value of Series F Preferred is a contractual term and does not represent a determination of fair value
• · Consideration consists solely of FOXO securities; no borrowed funds or cash will be used for the Preferred purchase

29-10-2026

TB Alternative Assets Ltd. and related Reporting Persons filed Amendment No. 3 to Schedule 13D, the final amendment, reporting that following the merger of Cloopen Group Holding Limited (RAASY) with Merger Sub (effective October 28, 2026), the Reporting Persons no longer beneficially own any Ordinary Shares or ADSs and have ceased to be beneficial owners of more than 5% of the Issuer's shares. The Issuer became a privately held, wholly-owned subsidiary of HoldCo, its ADSs will no longer be quoted on the OTC Pink Market, and the ADS program will be terminated.

• · The EGM was held on September 24, 2026; the Merger was effective October 28, 2026 upon registration with the Cayman Islands Registrar of Companies
• · Excluded Shares were cancelled without consideration; Dissenting Shares are entitled only to fair value under Section 238 of the Companies Act (As Revised) of the Cayman Islands
• · The Issuer intends to file Form 15 with the SEC to suspend Exchange Act reporting obligations
• · Reporting Persons reported zero beneficial ownership as of October 28, 2026, and no transactions in the prior 60 days beyond those previously disclosed
• · Original Schedule 13D was filed December 30, 2025, with Amendment No. 1 on May 13, 2026 and Amendment No. 2 on July 31, 2026

29-10-2026

CICC and its affiliated reporting persons filed an amended Schedule 13G (Amendment) disclosing that they no longer beneficially own any Class A ordinary shares of uCloudlink Group Inc. (UCL), with 0 shares reported across all cover-page rows, reflecting a full exit from their prior holding. The filing is a routine ownership disclosure with no reported acquisition, sale amount, or price, and the filing does not state the size of the position that was disposed of.

• · Event date reported as 08/17/2026, which precedes the October 29, 2026 filing date, indicating the exit occurred roughly ten weeks before the disclosure
• · Filing is made under Rule 13d-1(c), a passive-investor certification, and the filer certifies the shares were not acquired to influence control of the issuer
• · Filing has a 'LIVE' amendment designation and references a prior Schedule 13G (accession 0000950103-24-005752), indicating an earlier 2024 position was held before this final exit
• · Filing includes a Joint Filing Agreement (Exhibit 99.1) among the four reporting persons under Rule 13d-1(k)(1)
• · Principal business address of CICC parent is in Beijing, PRC; subsidiaries and holding entities are based in Hong Kong

29-10-2026

Sumitomo Mitsui Trust Group, Inc. filed an amended Schedule 13G reporting beneficial ownership of 121,591,698 shares of Mizuho Financial Group common stock as of September 30, 2026, equal to 5.0% of the class. The filing reflects holdings through its asset management subsidiaries, with 114,648,798 shares reported as having shared voting power and no sole voting or dispositive power reported as a discrete figure. The filing is a routine passive beneficial ownership disclosure made under Rule 13d-1(b) and does not indicate a change of control intent.

• · Nikko Asset Management Co., Ltd. changed its name to Amova Asset Management Co., Ltd. effective September 1, 2025.
• · Filing is made under Rule 13d-1(b) as a parent holding company and certifies the shares were acquired and held in the ordinary course of business without intent to influence control.
• · Reporting person identifies itself as a non-U.S. institution and investment adviser for certain subsidiaries.

29-10-2026

Sumitomo Mitsui Trust Group, Inc. and its subsidiary Amova Asset Management Co., Ltd. filed an amended Schedule 13G reporting beneficial ownership of 1,689,107 shares of Arcturus Therapeutics Holdings Inc. common stock, representing 5.9% of the class, with sole voting and dispositive power held through Amova Asset Management Americas, Inc. The filing is a passive institutional disclosure under Rule 13d-1(b) with no stated intent to influence control of the issuer.

• · The filing is an amendment (SCHEDULE 13G/A) citing a prior statement, with the reported event date of 09/30/2026 and filing date of 10/29/2026
• · Voting and dispositive power is reported as zero sole and 1,689,107 shared for both reporting persons
• · The filing is made under Rule 13d-1(b) as a parent holding company, non-U.S. institution, and group, and includes a certification that the shares are held in the ordinary course of business without intent to influence control

29-10-2026

KW Capital Partners Ltd. filed a Schedule 13G reporting beneficial ownership of 945,589 common shares of Nuran Wireless Inc., representing 7.2% of the issuer's outstanding shares, as of 09/03/2026. The filing is made under Rule 13d-1(c), with a passive-investment certification stating the shares were not acquired to influence control of the issuer.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(c), a passive investor certification
• · Reporting person is a Canadian (Ontario) entity headquartered in Toronto
• · Shares are held with sole voting and sole dispositive power (no shared power)
• · Filing is dated October 29, 2026, with the event date listed as 09/03/2026

29-10-2026

UBS Group AG filed an amended Schedule 13G (Amendment, Rule 13d-1(b) filer, event date 09/30/2026) for APEX Tech Acquisition Inc. (TRAD), reporting zero beneficial ownership of the company's units (each consisting of one ordinary share and one right) across all reported voting and dispositive categories. The filing indicates UBS no longer holds a reportable stake, and the filing was signed by Andrew Johnson, Director, on 10/29/2026. The filing contains no amounts, percentages of ownership in dollar terms, or financial results.

• · The filing is made under Rule 13d-1(b), indicating UBS is filing as a qualified institutional holder (bank) rather than as a passive 13d-1(c) investor.
• · The filing is a Schedule 13G/A with the reported event date of 09/30/2026, and the document is signed 10/29/2026.
• · The filing states it is made on behalf of UBS Group AG and its wholly owned subsidiaries UBS Financial Services Inc. and UBS Securities LLC.
• · The filing lists APEX Tech Acquisition Inc. as a blank check company (SIC 6770), with fiscal year end 0831, located in Houston, Texas.
• · The certification states the securities were acquired and held in the ordinary course of business and not for the purpose of influencing control of the issuer.

29-10-2026

Royce & Associates LP filed a Schedule 13G/A reporting beneficial ownership of 719,648 shares of Andersen Group Inc. Class A Common Stock as of September 30, 2026, representing 3.91% of the class, with sole voting and dispositive power over all reported shares. The filing is a routine amended passive-investor disclosure under Rule 13d-1(d) and contains no change in control intent.

• · Filing made under Rule 13d-1(d), indicating a passive investor certification that the shares are not held to influence control of the issuer
• · Royce & Associates LP is an indirect majority-owned subsidiary of Franklin Templeton, Inc. (renamed from Franklin Resources, Inc. effective August 17, 2026)
• · Reporting person disclaims beneficial ownership attribution to Franklin Templeton's principal shareholders and disclaims any group relationship

29-10-2026

Royce & Associates LP, an investment adviser and indirect subsidiary of Franklin Templeton, Inc., filed an amended Schedule 13G reporting beneficial ownership of 700,750 shares of NN, Inc. common stock as of September 30, 2026, representing 0.848% of the class. The filing reflects passive, ordinary-course holdings under Rule 13d-1(d), with sole voting and dispositive power held by RALP, and includes a disclaimer of group status and pecuniary interest. The filing is a routine beneficial ownership disclosure with no transaction, control change, or regulatory action described.

• · Filing made under Rule 13d-1(d), indicating an exempt investor reporting under Section 13(d)(6)(B) rather than an active 5%+ position change
• · Effective August 17, 2026, Franklin Resources, Inc. was renamed Franklin Templeton, Inc.
• · RALP disclaims pecuniary interest and group membership with FTI affiliates and the Johnson principal shareholders
• · Filing certifies holdings are in the ordinary course of business and not for the purpose of changing or influencing control of the issuer

29-10-2026

Royce & Associates LP filed a Schedule 13G/A reporting beneficial ownership of 1,244,479 shares of Aetherion Technologies Inc. (formerly Westport Fuel Systems Inc.), representing 6.55% of the outstanding common stock as of September 30, 2026. The filing is a passive, ordinary-course disclosure made under Rule 13d-1(d) with sole voting and dispositive power held by RALP, an indirect majority-owned subsidiary of Franklin Templeton, Inc.; it does not indicate any acquisition or change of control intent.

• · Filing is a Schedule 13G/A amendment filed under Rule 13d-1(d), indicating a passive investor position rather than an active 13D filer
• · Royce disclaims pecuniary interest and beneficial ownership attribution to Franklin Templeton principal shareholders
• · Effective August 17, 2026, Franklin Resources, Inc. was renamed Franklin Templeton, Inc.

29-10-2026

Principal Global Investors, together with Principal Real Estate Investors, LLC and Principal Funds, Inc., filed an amended Schedule 13G reporting aggregate beneficial ownership of 3,895,754 shares of Hyatt Hotels Corp Class A Common Stock, or 9.4%, as of September 30, 2026. The filing is a passive ownership disclosure made under Rule 13d-1(b) with a certification that the shares were not acquired to influence control of the issuer.

• · Reporting persons certify the shares were acquired and held in the ordinary course of business, not to change or influence control of the issuer.
• · The filing is made jointly under a Joint Filing Agreement filed as Exhibit 99.1.

29-10-2026

Aberdeen Group plc (via its subsidiary abrdn Inc.) filed an amended Schedule 13G reporting beneficial ownership of 656,676 shares of Freenome, Inc. common stock (formerly Perceptive Capital Solutions Corp, PCSC), representing approximately 0.61% of the class as of 09/30/2026. The filing is a passive, ordinary-course disclosure made under Rule 13d-1(b), with the filer certifying the shares were not acquired to influence control of the issuer.

• · Filing is a 13G/A amendment with a stated event date of 09/30/2026, filed 10/29/2026 under Rule 13d-1(b) by an investment adviser (abrdn Inc.) and its parent holding company.
• · Aberdeen Group plc is the parent; abrdn Holdings Limited is the intermediate holding company for abrdn Inc.; holdings are made on behalf of underlying clients, each below the 5% reporting threshold.
• · Freenome, Inc. was formerly named Perceptive Capital Solutions Corp (name change dated 03/28/2024), which explains the PCSC reference.

29-10-2026

Wells Fargo & Company filed an amended Schedule 13G (Amendment No. 9) reporting beneficial ownership of 257,820 common shares of Ellsworth Growth and Income Fund Ltd (ECF-PA), representing 1.9% of the class, as of September 30, 2026. The filing reports zero sole voting or dispositive power and 257,820 shares held with shared voting and shared dispositive power, and is made under Rule 13d-1(b) on behalf of Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC. The filing is a routine beneficial ownership disclosure with no reported change in control intent, and no price, transaction value, or performance metrics are disclosed.

• · Filing is Amendment No. 9 to a Schedule 13G, filed under Rule 13d-1(b) by a holding company (HC) classification
• · Ownership is reported as shared voting and shared dispositive power; sole voting and sole dispositive power are both zero
• · Certification states the securities were acquired and held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer
• · Subject company CUSIP is 289074106; reporting person is a Delaware corporation headquartered in San Francisco, CA

29-10-2026

Wells Fargo & Company filed an amended Schedule 13G reporting beneficial ownership of 3,953,017 common shares of BlackRock Resources & Commodities Strategy Trust (BCX), representing 5.2% of the class as of 09/30/2026. The filing is a passive ownership disclosure made under Rule 13d-1(b) with a sole-voting and dispositive power certification, and does not describe any acquisition, sale, or change in control intent.

• · Filing is an amendment (SC 13G/A) reporting holdings as of 09/30/2026, with the holding reported as held on a sole-voting and sole-dispositive basis (0 shared).
• · Reporting is made on behalf of Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC, both registered broker-dealers.
• · Filing is made under Rule 13d-1(b), a passive-investor certification that the shares were acquired in the ordinary course of business and not to influence control.

29-10-2026

A group of related reporting persons led by Carson, LLC (with affiliates Momentis, LLC, Carson Group, Inc., the Omani R. Carson Living Trust, the Jeanine M. Carson Living Trust, Omani R. Carson and Jeanine M. Carson) filed a Schedule 13G on October 29, 2026 disclosing beneficial ownership of 1,017,066 shares of GAIA, Inc. Class A common stock, equal to 5.1% of the class. The filing is made under Rule 13d-1(c) and includes a certification that the shares were not acquired for the purpose of changing or influencing control of the issuer. The stake is reported as a passive holding with no change in control intent.

• · Carson, LLC is the direct holder; the other reporting persons are reported as sharing beneficial ownership of the same 1,017,066 shares through their control relationships
• · Reporting persons' principal business address is 14600 Branch Street, Omaha, Nebraska; GAIA, Inc. is headquartered in Louisville, Colorado
• · Filing made under Rule 13d-1(c) (passive investor), with a Joint Filing Agreement (Exhibit 99.1) dated October 29, 2026
• · Reported date of event requiring filing is October 27, 2026

29-10-2026

Wells Fargo & Company filed an amended Schedule 13G (Amendment reporting ownership as of 09/30/2026) disclosing beneficial ownership of 1,887,415 shares of common stock of RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. (OPP-PC), representing 7.6% of the class. The filing is made under Rule 13d-1(b) by a holding company (HC) on its own behalf and on behalf of its broker-dealer subsidiaries Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC. The filing is a routine beneficial ownership disclosure with no stated change of control intent.

• · Filing is made under Rule 13d-1(b), indicating a qualified institutional holder filing in the ordinary course of business
• · Wells Fargo reports sole voting power and sole dispositive power over 1,887,415 shares, with no shared power
• · Certification states the shares were acquired and held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer
• · Filing is a LIVE amendment under the SEC form type SCHEDULE 13G/A, signed 10/28/2026 and submitted 10/29/2026
• · Filing references the issuer's former name, RiverNorth/DoubleLine Strategic Allocation Fund, Inc. (name change dated 06/24/2016)

29-10-2026

Wells Fargo & Company filed a Schedule 13G reporting beneficial ownership of 5,119,640 shares of Cosmos Health Inc. (COSM) common stock as of September 30, 2026, representing 5.1% of the class. The filing is made on a passive basis under Rule 13d-1(b), with Wells Fargo reporting sole voting power over 4,846,640 shares and sole dispositive power over 5,119,640 shares, held through subsidiaries Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC. No change in control intent is asserted.

• · Filing is a LIVE Schedule 13G under Rule 13d-1(b), indicating a passive institutional holder certifying no control intent
• · Event date is 09/30/2026; filing signed 10/28/2026 and submitted 10/29/2026
• · Issuer CUSIP is 221413305; the filing is made on Wells Fargo's own behalf and that of its broker-dealer subsidiaries

29-10-2026

Wells Fargo & Company filed an amended Schedule 13G reporting beneficial ownership of 857,872 common shares of BlackRock MuniYield Pennsylvania Quality Fund (MPA), representing 6.6% of the class, as of September 30, 2026. The filing is made under Rule 13d-1(b) as a passive holder (HC — holding company), with shared voting and dispositive power over the reported shares, and reflects holdings through Wells Fargo subsidiaries acting as a registered broker-dealer and clearing firm. The filing is administrative in nature and contains no indication of a control intent.

• · Filing is a Schedule 13G/A under Rule 13d-1(b), indicating a passive, ordinary-course holding certification rather than a 13D activist filing
• · Reported event/holdings date is September 30, 2026; filed October 29, 2026
• · Reporting persons include Wells Fargo subsidiaries Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC, both registered broker-dealers
• · Filing signed October 28, 2026 by designated signer Ally Pecarro

29-10-2026

Wells Fargo & Company filed an amended Schedule 13G reporting beneficial ownership of 1,794,173 common shares of Ares Dynamic Credit Allocation Fund, Inc. (ARDC), representing 7.8% of the class as of September 30, 2026. The filing is a passive institutional disclosure made under Rule 13d-1(b) by a bank holding company, with holdings held through its subsidiaries Wells Fargo Bank, N.A. and affiliated broker-dealers. The filer certifies the shares were acquired and are held in the ordinary course of business, not to influence control of the issuer.

• · Filing is an amendment (SC 13G/A) reporting holdings as of September 30, 2026, with the report signed October 28, 2026 and filed October 29, 2026
• · Wells Fargo reports sole voting and sole dispositive power over all 1,794,173 shares, with no shared voting or dispositive power
• · Filing is made under Rule 13d-1(b), the provision for qualified institutional investors such as banks and broker-dealers, rather than as an activist 13D filing

29-10-2026

Moshe Moalem filed a Schedule 13D reporting beneficial ownership of 6,675,413 Ordinary Shares of Nano-X Imaging Ltd. (NNOX), representing 8.49% of the class based on 78,609,485 shares outstanding as of August 17, 2026. He is dissatisfied with the issuer's performance and the decline in its share price, and intends to vote against the proposed increase in authorized share capital from 150,000,000 to 450,000,000 Ordinary Shares at the November 18, 2026 special meeting, while potentially seeking to block share issuances before the November 2, 2026 record date.

• · Reporting person intends to vote against the authorized share capital increase and may solicit other shareholders, including through a potential contested director election or shareholder proposals
• · Reporting person intends to request the issuer refrain from issuing additional voting shares before the November 2, 2026 record date and may consider legal action to protect shareholder rights
• · Reporting person may seek board changes, nominate director candidates, and coordinate with other shareholders; no candidates identified yet
• · No transactions in the issuer's shares were effected by the reporting person in the past sixty days; no contracts or arrangements with the issuer disclosed

29-10-2026

Sky Frontier Foundation filed Amendment No. 3 to its Schedule 13D reporting beneficial ownership of approximately 9.99% (8,115,087 shares) of Stablecoin Development Corp (formerly NovaBay Pharmaceuticals), with the stake change driven solely by an increase in outstanding shares to 73,117,016 as of October 21, 2026, not by any purchase or Warrant exercise. The Reporting Person holds a Warrant for 10,000,000 shares (first and second tranches exercisable) but is capped at 9.99% by a Beneficial Ownership Limitation and has not exercised any portion. Separately, the Reporting Person exercised its board nomination right, with David Garcia Rios appointed a Class II director effective September 2, 2026, term expiring at the 2027 annual meeting.

• · Schedule 13D originally filed May 27, 2026; amended July 22, 2026 (No. 1) and August 21, 2026 (No. 2)
• · Issuer changed name from NovaBay Pharmaceuticals, Inc. to Stablecoin Development Corp (name change date 20070209)
• · Reporting Person has not effected any transaction in the Common Stock during the past 60 days
• · Reporting Person disclaims beneficial ownership of Warrant shares exceeding the 9.99% limitation
• · David Garcia Rios appointed Class II director on September 2, 2026, term expiring at 2027 annual meeting
• · Outstanding share count sourced from Pre-Effective Amendment No. 3 to Form S-3 (File No. 333-298229) filed October 26, 2026

29-10-2026

Fouad Ahmed, an individual investor based in North Attleboro, Massachusetts, filed a Schedule 13G disclosing beneficial ownership of 573,090 common shares of Robin Energy Ltd. (RBNE), representing 43% of the class as of October 22, 2026. The filing was made under Rule 13d-1(c) and includes a certification that the securities were not acquired for the purpose of changing or influencing control of the issuer. No prior-period ownership figures were disclosed, so no period-over-period comparison is possible.

• · Filing made under Rule 13d-1(c) (passive investor exemption)
• · Date of event triggering filing: 10/22/2026; filing date 10/29/2026
• · Issuer SIC classification: Deep Sea Foreign Transportation of Freight [4412]
• · Issuer incorporated in Cyprus (state code 1T), address 223 Christodoulou Chatzipavlou Street, Hawaii Royal Gardens, Limassol 3036
• · Reporting person address: 37 Oak Knoll Drive, North Attleboro, MA 02760
• · SEC file number 005-94959; film number 261501269
• · Filer certified securities were not acquired with the purpose or effect of changing or influencing control of the issuer

29-10-2026

Deutsche Telekom AG and its subsidiaries filed Amendment No. 36 to their Schedule 13D, disclosing aggregate beneficial ownership of 592,065,875 T-Mobile shares (55.9% of outstanding) as of October 23, 2026. The percentage stake rose passively — not through new purchases — because T-Mobile's series of share repurchases reduced total shares outstanding; the Reporting Persons effected no transactions in the prior 60 days. Of the total, 582,065,875 shares are held directly by DT Holding and 10,000,000 by SoftBank's Signal Bright LLC subject to a proxy and call options granted to Deutsche Telekom.

• · Ownership percentage increase was driven solely by T-Mobile's buybacks reducing shares outstanding, not by new purchases by Deutsche Telekom
• · Reporting Persons have shared (not sole) voting and dispositive power over all 592,065,875 shares
• · Deutsche Telekom disclaims beneficial ownership of shares held by SoftBank entities not subject to the proxy
• · No transactions in Common Stock were effected by Reporting Persons in the 60 days preceding the filing
• · Original Schedule 13D was filed May 10, 2013; this is the 36th amendment
• · T-Mobile share count reference date is October 23, 2026, per its Form 10-Q filed October 28, 2026

29-10-2026

Blumberg Capital III, L.P. and affiliates (BCM III, David J. Blumberg) filed a Schedule 13G/A disclosing beneficial ownership of 258,632 shares of Katapult Holdings common stock as of September 30, 2026, representing 0.3% of the 84,849,055 shares outstanding. The stake consists of 224,479 shares directly held plus 34,153 Earnout Shares that vest only upon achieving stock-price thresholds before June 9, 2027, and over which BC III holds voting but not dispositive power. The filing is a routine passive-holder disclosure with no change in control intent and no transaction activity reported.

• · BC III holds sole voting power over 258,632 shares but sole dispositive power over only 224,479 shares, reflecting voting-only rights on unvested Earnout Shares
• · Earnout Shares (34,153) vest only if stock-price thresholds are met prior to June 9, 2027
• · BCM III is sole general partner of BC III and owns no shares directly; Blumberg owns no shares directly
• · Reporting Persons expressly disclaim status as a 'group' and certify securities were not acquired for control purposes
• · Filing made under Rule 13d-1(c); issuer formerly known as FinServ Acquisition Corp. (name changed August 14, 2019)
• · Issuer address: 400 Galleria Parkway SE, Suite 300, Atlanta, GA 30339; Reporting Person address: 580 Howard Street, Suite 101, San Francisco, CA 94105

29-10-2026

Decheng Capital entities filed a Schedule 13G/A disclosing beneficial ownership in BeyondSpring Inc. as of September 30, 2026, with Dr. Xiangmin Cui reporting aggregate beneficial ownership of 3,065,702 ordinary shares, or 7.5% of the company. The stake is split between Fund III (1,448,293 shares, 3.5%) and Fund II (1,617,409 shares, 3.9%), while the Global Healthcare Fund entities reported 0 shares (0.0%). The filing is a passive-ownership disclosure under Rule 13d-1(c) with no stated intent to influence control, and no change in share counts versus prior holdings is disclosed in this amendment.

• · Ownership percentages are based on 41,119,820 ordinary shares outstanding as of August 24, 2026, per the definitive proxy statement filed September 3, 2026
• · Decheng Capital Global Healthcare Fund (Master), LP and Healthcare GP each reported 0 shares and 0.0% ownership
• · Reporting persons expressly disclaim status as a 'group' under Schedule 13G/A
• · Filing made under Rule 13d-1(c) with certification that securities were not acquired for the purpose of changing or influencing control
• · Joint Filing Agreement dated November 14, 2024 incorporated by reference
• · Reporting persons' address is c/o Decheng Capital, 3000 Sand Hill Road, Building 2, Suite 110, Menlo Park, CA 94025

29-10-2026

Trails Edge Capital Partners, LP, Trails Edge Biotechnology Master Fund, LP, and CIO Ortav Yehudai filed a joint Schedule 13G reporting beneficial ownership of 2,803,761 shares of Avalo Therapeutics common stock, representing 5.2% of the 53,629,989 shares outstanding as of August 3, 2026. The filing is a passive ownership disclosure under Rule 13d-1(c), with all shares held directly by Trails Edge Biotechnology and no sole voting or dispositive power reported separately by the other filers. The position crosses the 5% threshold, making Trails Edge a new major shareholder, though the filing explicitly certifies the securities were not acquired to influence control of the issuer.

• · Event Date for the ownership position is October 22, 2026; filing date is October 29, 2026
• · All 2,803,761 shares are held directly by Trails Edge Biotechnology Master Fund, LP; Trails Edge Capital and Mr. Yehudai may be deemed beneficial owners as investment manager and CIO respectively
• · Filing made under Rule 13d-1(c) with a certification that securities were not acquired for the purpose of changing or influencing control of the issuer
• · Issuer is a Delaware corporation (formerly Cerecor Inc.) classified as Pharmaceutical Preparations [2834], headquartered in Wayne, PA
• · Filers' address is 3445 Peachtree Road NE, Suite 900, Atlanta, GA 30326
• · Ownership percentage based on shares outstanding as of August 3, 2026, per the Issuer's Form 10-Q filed August 6, 2026

29-10-2026

Community Savings Bank Employee Stock Ownership Plan Trust filed a Schedule 13G reporting beneficial ownership of 112,235 shares of CSB Financial Inc. common stock, representing 8.0% of the class as of September 30, 2026. The filing was made under Rule 13d-1(b) and the filer certified the shares were acquired in the ordinary course of business and not for the purpose of changing or influencing control of the issuer. The trust holds sole voting and sole dispositive power over all 112,235 shares, with no shared voting or dispositive power reported.

• · Filing made pursuant to Rule 13d-1(b) under the Securities Exchange Act of 1934
• · Event date (as of) September 30, 2026; filing date October 29, 2026
• · Trustee is Community Bank of Pleasant Hill, dba First Trust of MidAmerica, 3500 N Village Dr. Suite 220, St. Joseph, Missouri 64506
• · Issuer address: 503 West Plane Street, Bethel, Ohio 45106
• · Issuer state of incorporation: Maryland; filer organized in Ohio
• · CUSIP identifier: 12590S109
• · Filer certified securities were not acquired for the purpose of or with the effect of changing or influencing control of the issuer

29-10-2026

Decheng Capital Global Life Sciences Fund IV, L.P. filed a Schedule 13G/A disclosing beneficial ownership of 2,724,868 shares of Upstream Bio common stock, representing 4.98% of the 54,771,041 shares outstanding as of September 30, 2026. The stake sits just below the 5% threshold, with voting and investment authority shared among Fund IV, its general partner Decheng Capital Management IV (Cayman), LLC, and manager Dr. Xiangmin Cui; the filing reports no change in share count versus prior disclosures.

• · Filing is made under Rule 13d-1(d) and the Reporting Persons expressly disclaim status as a 'group'
• · Fund IV is a Cayman Islands entity; GP IV is a Cayman Islands entity; Dr. Cui is a United States person
• · Reporting Persons' principal address is 3000 Sand Hill Road, Building 2, Suite 110, Menlo Park, CA 94025
• · Issuer is a Delaware corporation classified under SIC 2834 (Pharmaceutical Preparations), headquartered at 890 Winter Street, Suite 200, Waltham, MA 02451
• · Ownership percentage is based on shares outstanding as of August 4, 2026, per the Issuer's Form 10-Q filed August 11, 2026
• · Joint Filing Agreement executed October 29, 2026

29-10-2026

Bradford T. Whitmore and affiliated entities (SUNRAY I, LLC, Whitmore Holdings, LLC, Zistar Management, LLC, Bradford Whitmore Trust) filed Amendment No. 11 to their Schedule 13D, disclosing aggregate beneficial ownership of 6,502,920 shares, or 39.0% of Ultralife Corp. The filing follows the October 27, 2026 Agreement and Plan of Merger under which EnerSys will acquire Ultralife via a cash tender offer at $16 per share, with the Filers entering a Tender and Support Agreement to tender all their shares. Whitmore Holdings separately purchased 108,878 shares between May 21 and May 26, 2026, and a 1% SLLC equity interest was distributed from WHLLC to the Whitmore Trust and contributed to Zistar Management.

• · Tender offer price of $16 per share is net to seller in cash, without interest, subject to withholding taxes
• · Merger Agreement dated October 27, 2026 among Ultralife, EnerSys and EnerSys Mergersub Inc.
• · Filers disclaim any status as part of a group with the Acquirer under the Merger Agreement or Support Agreement
• · Whitmore is sole Trustee of the Whitmore Trust and manager of WHLLC and ZMLLC
• · Percentage ownership calculated on 16,663,269 shares outstanding as of August 3, 2026
• · Filers have no plans or proposals relating to Item 4(a)-(j) beyond the Merger and Support Agreements
• · Business address of Whitmore: 5005 Maryland Way, Ste 260, Brentwood, TN 37027

29-10-2026

Hack Seed Fund II LP and affiliates (Hack Seed Fund II GP LLC and Alexander Pack) filed a Schedule 13G disclosing beneficial ownership of 2,000,000 shares of Exascale Labs Holdings Inc. Class A common stock, representing 5.9% of the 33,689,050 shares outstanding as of September 25, 2026. The filing was made under Rule 13d-1(c) with the reporting persons expressly disclaiming group status and certifying the securities were not acquired to influence control. The issuer, formerly D. Boral ARC Merger Corp, changed its name to Exascale Labs Holdings Inc. effective February 5, 2026.

• · Filing made under Rule 13d-1(c) with reporting persons expressly disclaiming status as a 'group'
• · Issuer name changed from D. Boral ARC Merger Corp to Exascale Labs Holdings Inc. effective February 5, 2026
• · Hack Seed Fund II GP LLC is the general partner of Hack Seed Fund II LP; Alexander Pack is sole manager of the GP
• · Reporting persons have shared voting and dispositive power over all 2,000,000 shares; sole voting and dispositive power is 0
• · Issuer's CUSIP is 30066G102 and it is incorporated in Delaware with fiscal year ending June 30
• · Outstanding share count sourced from the Issuer's Form 10-K filed September 28, 2026
• · Hack Seed II and Hack Seed II GP are Cayman Islands entities; Pack is a US person
• · Event date of 08/27/2026 reported on the cover page

29-10-2026

Allen Family Capital, LLC and Byron Allen Folks filed Amendment No. 1 to their Schedule 13D disclosing that they no longer beneficially own any Common Shares of Starz Entertainment Corp., having disposed of 1,803,786 shares in a series of open-market transactions between August 7 and September 29, 2026. The Reporting Persons ceased to be beneficial owners of more than 5% of the Common Shares as of September 17, 2026, fully exiting their position. Sale prices ranged from roughly $21.06 to $28.20 per share, with the bulk of disposals occurring in August at higher prices and the final tranche in late September at lower prices.

• · Sale prices ranged from $21.0590 (Sep 29, 2026) to $28.1983 (Aug 13, 2026) per share
• · Largest single-day disposal: 363,786 shares at $21.0590 on Sep 29, 2026
• · Other large disposals: 200,000 shares at $26.2022 (Sep 21), 156,705 shares at $26.5625 (Aug 21), 140,712 shares at $26.2491 (Sep 1)
• · Final tranche (Sep 28-29) sold at notably lower prices ($21.06-$21.79) versus August sales (~$26-$28)
• · Reporting Persons undertake to provide full per-price transaction detail upon SEC, Issuer, or shareholder request
• · Amendment No. 1 amends and restates Item 5 of the original Schedule 13D filed March 12, 2026
• · No other transactions in Common Shares during the past 60 days except as disclosed

29-10-2026

A Max Holding Limited and affiliated reporting persons (3 Diamonds VCC / 8 Capital Global Equities Fund, 8 Capital Asset Management Pte. Ltd., and Heng Hwa Liang) filed a joint Schedule 13G disclosing beneficial ownership of 25,000,000 Class A Ordinary Shares of BUUU Group Ltd, representing approximately 16.80% of the 148,780,000 Class A shares outstanding as of October 25, 2026. The filing is a passive-investor disclosure under Rule 13d-1(c), with the reporting persons certifying the shares were not acquired for the purpose of changing or influencing control. No sole voting or dispositive power is held by any reporting person; all power is shared.

• · A Max Holding Limited is the record holder of all 25,000,000 shares; the other reporting persons may be deemed beneficial owners through their relationships to it.
• · A Max Holding Limited is incorporated in the British Virgin Islands; 3 Diamonds VCC and 8 Capital Asset Management Pte. Ltd. are Singapore entities; Heng Hwa Liang is a Singapore individual.
• · No reporting person has sole voting or dispositive power; each may be deemed to share power over the 25,000,000 shares.
• · Filing made under Rule 13d-1(c) with a certification that shares were not acquired to change or influence control of the issuer.
• · A Max Holding Limited was formerly named 'Max Holding Ltd' (name change effective July 27, 2026).
• · CUSIP: G1739L110; SEC file number 005-95400.

29-10-2026

Amendment No. 45 to the Schedule 13D reflects a decrease in the Reporting Persons' beneficial ownership stake in TOP Ships Inc. following the issuance of 992,064 new Common Shares on October 28, 2026 as commitment shares to an institutional investor under an October 27, 2026 securities purchase agreement, diluting holders. Family Trading Inc. and 3 Sororibus Trust each beneficially own 2,930,718 shares (~21.95%), while CEO Evangelos J. Pistiolis holds 440,711 shares (~3.30%); if aggregated as a group, the Reporting Persons would hold 3,371,429 shares (~25.25%). The filing is a routine dilution-driven ownership update, not a sale by the insiders themselves.

• · Reporting Persons' ownership decreased due to dilution from 992,064 new shares issued, not from insider selling
• · Family Trading and the Trust have shared voting/disposition power over 2,930,718 shares and sole power over 0 shares
• · Pistiolis has sole voting/disposition power over 440,711 shares
• · 3 Sororibus Trust is an irrevocable Cyprus trust and sole shareholder of Family Trading Inc.
• · No other transactions in Common Shares were effected by the Reporting Persons during the past 60 days
• · Issuer is incorporated in the Marshall Islands; principal offices in Paiania, Athens, Greece

29-10-2026

Bastion Trading Ltd and affiliates (Bastion Holdings, Lucio Holding, and Wei Zhu) filed an amended Schedule 13D disclosing aggregate beneficial ownership of 5,128,244 shares, or approximately 9.99% of SkyAI, Inc. (formerly Sharps Technology Inc.), with Bastion Trading at 4.3% and Lucio Holding at 5.8%. On October 27, 2026, the Reporting Persons entered a tender offer support and settlement agreement under which the Issuer expanded its tender offer to 100% of cash and crypto pre-funded and stapled warrants at $0.17 per stapled warrant, extended the offer to at least November 12, 2026, and removed 30% withholding for Non-U.S. Holders. In exchange, the Reporting Persons agreed to tender all their securities and accept a three-year standstill, non-disparagement, and board-aligned voting covenants, while recent open-market purchases were made at prices ranging from $1.7808 to $2.9014 per share.

• · Recent open-market purchases: 15,000 shares at $1.8568 (10/06/2026), 69,000 at $1.7808 (10/07/2026), 191,252 at $2.8044 (10/20/2026), 89,001 at $2.9014 (10/21/2026)
• · Tender offer extended until at least November 12, 2026
• · Stapled Warrants expire 36 months after issue date; Pre-Funded Warrants exercisable until fully exercised
• · Three-year standstill period from execution of the October 27, 2026 agreement
• · Reporting Persons agreed not to make block trades for a specified period post-offer, after which Issuer holds right of first refusal
• · Agreement auto-terminates if Issuer withdraws the Offer, breaches covenants, or fails to amend the Schedule TO timely
• · Company formerly named Sharps Technology Inc., name changed 2018-04-19; now SkyAI, Inc. (CIK 0001737995)

29-10-2026

Millennium Management LLC, Millennium Group Management LLC and Israel A. Englander filed an amended Schedule 13G/A disclosing beneficial ownership of 1,555,000 Class A Ordinary Shares of Ares Acquisition Corp III (SPAC), representing 3.9% of the class as of September 30, 2026. The filing is a passive-holder disclosure under Rule 13d-1(c) with no stated intent to influence control, and the cover pages show no change in share count versus the prior position (0.00 reported in the change column).

• · Filing is an amendment (13G/A) under Rule 13d-1(c), indicating passive investment intent with no control-seeking purpose
• · Issuer is a blank-check company (SIC 6770) headquartered at 245 Park Avenue, 44th Floor, New York, NY 10167
• · CUSIP for the Class A Ordinary Shares is G3303U104
• · Joint Filing Agreement dated October 28, 2026 executed by all three reporting persons
• · Shares are held by entities under voting control/investment discretion of Millennium Management LLC and affiliated managers; filing disclaims admission of beneficial ownership

29-10-2026

Millennium Management LLC, Millennium Group Management LLC, Israel A. Englander and Integrated Core Strategies (US) LLC filed a Schedule 13G/A disclosing beneficial ownership of Fortress Biotech common stock as of September 30, 2026. The Millennium entities and Mr. Englander each report 2,165,401 shares (6.5% of the class), while Integrated Core Strategies reports 2,165,122 shares (6.5%), with sole voting and dispositive power over all shares and no shared power. The filing is a passive-holder disclosure under Rule 13d-1(c) certifying the securities were not acquired to influence control of the issuer.

• · Filing is a Schedule 13G/A under Rule 13d-1(c) (passive investor exemption), not an active-control filing
• · Integrated Core Strategies (US) LLC holds 279 fewer shares than the other reporting persons (2,165,122 vs 2,165,401)
• · All reporting persons report sole voting and sole dispositive power over their shares, with 0 shared voting or dispositive power
• · Joint Filing Agreement dated October 28, 2026; filing date October 29, 2026; event date September 30, 2026
• · Fortress Biotech is a Delaware-incorporated pharmaceutical preparations company (SIC 2834), formerly named Coronado Biosciences Inc (name change March 10, 2008)
• · Reporting persons certify the securities were not acquired for the purpose of changing or influencing control of the issuer

29-10-2026

SP/R, Inc. Defined Benefit Pension Trust filed a Schedule 13G reporting beneficial ownership of 1,062,506 shares of SPAR Group, Inc. common stock, representing 3.7% of shares outstanding. This marks a decline from the 1,239,225 shares (5.3% of 23,419,744 shares outstanding) the trust held as of August 8, 2024 — a reduction of 176,719 shares and a drop of 1.6 percentage points, moving the holder below the 5% threshold. The filing is a passive ownership disclosure under Rule 13d-1(c), with the trust holding sole voting and dispositive power.

• · Reporting person holds sole voting and dispositive power over all 1,062,506 shares; shared power is zero
• · Filing made under Rule 13d-1(c) with certification that securities were not acquired for the purpose of changing or influencing control
• · Trust is incorporated in Florida; issuer SPAR Group is a Delaware corporation (CIK 0001004989, CUSIP 784933103)
• · No person is known to have rights to more than 5% of dividends or sale proceeds of the reported stock
• · Filing signed by Rory W. Brown, Trustee, on 10/29/2026

29-10-2026

D. E. Shaw affiliates (Valence and Cogence) filed Amendment No. 6 to their Schedule 13D on Gossamer Bio, disclosing combined beneficial ownership of 255,431 common shares, or approximately 4.2% of the 6,116,391 shares outstanding as of September 14, 2026. The filing reveals a steady series of open-market sales between October 9 and October 29, 2026 at prices ranging from roughly $8.37 to $11.00 per share, and notes that on October 27, 2026 Valence, DESCO LLC, DESCO LP and David E. Shaw ceased to be beneficial owners of more than 5% of the class. The reduction below the 5% threshold removes the reporting persons from major-shareholder status, though D. E. Shaw remains a meaningful holder at 4.2%.

• · Sales were executed at weighted-average prices ranging from about $8.37 to $11.00 per share across the October 9–29, 2026 window.
• · Largest single-day sale: Valence sold 5,446 shares on October 15, 2026 at a weighted-average price of $8.64.
• · Valence sold 1,000 shares on October 29, 2026 at a weighted-average price of $10.80, the highest reported price in the period.
• · D. E. Shaw & Co., L.P. and D. E. Shaw & Co., L.L.C. each report shared voting/dispositive power over 255,431 shares (4.2%).
• · None of DESCO LP, DESCO LLC, DESCO Inc., or DESCO II, Inc. owns any Common Shares directly; each disclaims beneficial ownership.
• · Dr. Shaw does not own any Common Shares directly and disclaims beneficial ownership.
• · Exhibits include a Transaction Support Agreement and Form of Voting Agreement dated May 18, 2026, and an Indenture for Senior Secured First Lien Convertible Notes due 2030 dated June 4, 2026.

29-10-2026

Feis Equities LLC and Lawrence M. Feis filed a Schedule 13G disclosing beneficial ownership of 988,523 Class A Ordinary shares of SPACCircle Acquisition Corp., representing 9.89% of the 10,000,000 Class A shares outstanding as of October 28, 2026. The filing was made under Rule 13d-1(c) and includes a certification that the securities were not acquired for the purpose of changing or influencing control of the issuer. No acquisition activity or change in control is indicated.

• · Filing made under Rule 13d-1(c) (passive investor exemption)
• · Reporting persons are Feis Equities LLC (Illinois LLC) and Lawrence M. Feis (individual)
• · Business address of reporting persons: 1740 Waukegan Road, Suite 206, Glenview, Illinois 60025
• · Issuer business address: 8795 Folsom Blvd, Sacramento, CA 95826
• · Event date of ownership change: October 27, 2026
• · Joint Filing Agreement executed October 29, 2026
• · Reporting persons certify securities not held to change or influence control of issuer

29-10-2026

Murchinson Ltd. and affiliated reporting persons (Nomis Bay Ltd., BPY Ltd., EOM Management Ltd., and individuals James Keyes, Jason Jagessar, Chaja Carlebach, Clarendon Hugh Masters, and Marc J. Bistricer) filed Amendment No. 19 to Schedule 13D on Nano Dimension Ltd. (NNDM) disclosing aggregate beneficial ownership of 20,416,500 Shares, or 10.1% of outstanding Shares, based on 201,299,884 Shares outstanding as of October 16, 2026. The filing updates purchase cost disclosures and lists open-market ADS purchases made in early September 2026 at prices of approximately $1.60 per share. No changes to control, board representation, or strategic intentions are reported in the excerpted content.

• · Filing is Amendment No. 19 to the Schedule 13D; the cover page indicates a date of event of 10/22/2026.
• · Exhibit 1 lists open-market ADS purchases on September 3-4, 2026 at prices of $1.5998 to $1.6188 per ADS.
• · Percentages are computed against 201,299,884 Shares outstanding, sourced from the Issuer's PRE 14A dated October 22, 2026.
• · Reporting persons disclaim beneficial ownership of securities they do not directly own, per Section 13(d) convention.
• · Per-share cost basis implied by disclosed totals is roughly $2.65 (Nomis Bay), $2.65 (BPY), and $2.65 (Managed Positions), well above the early-September purchase prices, suggesting earlier accumulation at different prices.

29-10-2026

Aberdeen Group plc and its subsidiary abrdn Inc. filed an amended Schedule 13G reporting beneficial ownership of 484,887 shares of Tectonic Therapeutic, Inc. (TECX) common stock, representing 2.48% of the class, as of September 30, 2026. The filing is a passive institutional holder disclosure under Rule 13d-1(b), with the filers certifying the shares were acquired in the ordinary course of business and not to influence control of the issuer.

• · Filing is a Schedule 13G/A (amendment) filed under Rule 13d-1(b), indicating a qualified institutional investor reporting position changes.
• · Aberdeen Group plc is the ultimate parent; abrdn Holdings Limited is the intermediate holding company; abrdn Inc. is the investment adviser holding the shares on behalf of underlying clients.
• · Reported holdings are sole voting and sole dispositive power with no shared power; holdings include shares held on behalf of underlying clients, and abrdn Inc. states its individual position is below 5%.
• · The cover page reporting date is 09/30/2026, while the filing and certification are dated 10/29/2026.
• · Issuer address is listed as 490 Arsenal Way, Watertown, MA, and the issuer was formerly named AVROBIO, Inc.