Executive Summary
The 11 DEF 14A filings reveal a stark divide between large-cap stability and micro-cap distress, with governance actions often serving as distress signals. Cisco stands out with record FY2026 revenue of $63.3B (+12% YoY) and GAAP EPS up 31%, yet its non-GAAP operating margin expanded only 40 bps, highlighting earnings quality concerns.
Meanwhile, five micro-cap companies (Vivos, Kindly MD, Ocean Power, Owens & Minor, Fly-E) are pursuing reverse splits or highly dilutive financings to address listing deficiencies or liquidity crunches, with potential dilution ranging from 25.9% to over 1,500% of current shares. A common theme is the use of equity incentive plan expansions (Vivos, Bonk, enVVeno) to preserve cash, often accompanied by significant share reserve increases (Bonk +70.3%). Insider control is pronounced at VASO (42.06% insider voting power) and Ocean Power (investors could hold 25.9% post-conversion), raising governance risks. Upcoming meetings cluster in December 2026, with key catalysts including reverse split approvals (Owens & Minor Dec 1, Vivos Dec 2) and say-on-pay votes (Cisco, Guidewire, enVVeno) that could signal shareholder unrest.
Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →
Filing types in this digest: DEF 14A
Tracking the trend? Catch up on the prior US Executive Compensation Proxy SEC Filings digest from October 22, 2026.
Investment Signals (11)
- Cisco Systems ↓ (BULLISH)▲
FY2026 revenue $63.3B (+12% YoY), GAAP EPS $3.33 (+31% YoY), returned $12.7B (99% of FCF) via dividends/buybacks, but non-GAAP operating margin up only 40 bps to 34.8% vs GAAP +350 bps, suggesting adjusted earnings lag
- Guidewire Software ↓ (NEUTRAL)▲
Routine proxy with no financials, but annual meeting Dec 15 and say-on-pay vote; watch for compensation-related dissent
- Owens & Minor ↓ (BEARISH)▲
Reverse split 1-for-20 to 1-for-30 to cure NYSE $1 bid deficiency; if approved Dec 1, may relieve delisting overhang but signals severe distress
- Ocean Power Technologies ↓ (BEARISH)▲
$7.8M convertible note exchange could dilute existing holders by 25.9% if approved; going-concern risk and negative sentiment
- Fly-E Group ↓ (BEARISH)▲
Proposed issuance of up to 25M shares vs 1.63M outstanding (potential 15x dilution) at prices below Nasdaq Minimum Price; extreme dilution risk
- Vivos Therapeutics ↓ (NEUTRAL)▲
Reverse split and Nevada reincorporation on Dec 2 ballot; higher majority threshold for Nevada conversion may fail, but if passed could enable strategic flexibility
- Bonk, Inc. ↓ (NEUTRAL)▲
70.3% increase in equity plan shares (1.06M to 1.8M) signals heavy reliance on stock compensation, dilutive but may align employees
- enVVeno Medical ↓ (NEUTRAL)▲
2026 Equity Incentive Plan approval sought; with only 694,826 shares outstanding, plan could be highly dilutive if shares reserved are large
- VASO Corp ↓ (NEUTRAL)▲
Insider control (42.06% voting power, Markowitz 31.83%) ensures director elections pass, but limited float and governance concerns
- T Stamp ↓ (NEUTRAL)▲
Routine proxy, no financials; virtual meeting Dec 15, broker non-votes likely on director elections
- Kindly MD ↓ (NEUTRAL)▲
1-for-40 reverse split effective May 22, 2026, share data not comparable; declassification proposal may improve governance
Risk Flags (8)
- Owens & Minor↓ [HIGH RISK]▼
NYSE non-compliance notice Oct 6, 2026 due to sub-$1 stock price; reverse split 1-for-20 to 1-for-30 proposed to avoid delisting, but if stock remains weak post-split, delisting risk persists
- Ocean Power Technologies↓ [HIGH RISK]▼
Going-concern risk, continued operating losses, and inability to make amortization payments on original notes; exchange notes mature Oct 1, 2027, with 4.5% interest (13% default)
- Fly-E Group↓ [HIGH RISK]▼
Proposed issuance of up to 25M shares (vs 1.63M outstanding) at variable prices below Nasdaq Minimum Price could lead to massive dilution and death spiral; floor of 20% of minimum price offers little protection
- Vivos Therapeutics↓ [MEDIUM RISK]▼
Nevada reincorporation requires majority of outstanding shares, higher than typical; failure could signal weak shareholder support; reverse split may be needed to maintain Nasdaq listing
- Kindly MD↓ [MEDIUM RISK]▼
1-for-40 reverse split effective May 22, 2026, but share data in annual report pre-split, creating comparability issues; declassification proposal may not pass due to majority threshold
- Bonk, Inc.↓ [MEDIUM RISK]▼
70.3% increase in equity plan shares could dilute existing holders by up to 8.5% (assuming full issuance), and Series C preferred with 52 votes per share concentrates voting power
- VASO Corp↓ [MEDIUM RISK]▼
Insider control (42.06%) and plurality voting for directors mean minority shareholders have little influence; no shareholder proposals allowed
- Cisco Systems↓ [MEDIUM RISK]▼
Non-GAAP operating margin improvement of only 40 bps vs GAAP 350 bps suggests adjusted earnings may be flattered by items excluded; watch for sustainability of margin expansion
Opportunities (8)
- Cisco Systems↓ (OPPORTUNITY)◆
Strong FCF generation ($12.8B) and 99% return ratio; if margin trends improve, stock could re-rate; say-on-pay vote Dec 15 may highlight compensation alignment
- Owens & Minor↓ (SPECULATIVE)◆
If reverse split approved and executed, potential for stock to regain NYSE compliance and attract institutional investors; however, fundamental turnaround needed
- Guidewire Software↓ (NEUTRAL)◆
Routine proxy with no surprises; annual meeting Dec 15 could be non-event, but any shareholder dissent on pay may create buying opportunity if overblown
- Vivos Therapeutics↓ (SPECULATIVE)◆
Nevada reincorporation could reduce legal costs and enable more flexible governance; if reverse split passes, may facilitate future capital raises
- enVVeno Medical↓ (SPECULATIVE)◆
Small share count (694,826) means any positive clinical or regulatory news could lead to outsized stock movement; equity plan approval provides retention tool
- Bonk, Inc.↓ (SPECULATIVE)◆
Increased equity plan may attract talent; if company executes on growth, dilution could be offset by appreciation
- T Stamp↓ (NEUTRAL)◆
Virtual meeting and routine proposals; no immediate catalyst, but low share count (5.68M) could mean volatility on any news
- Kindly MD↓ (SPECULATIVE)◆
Declassification of board could improve governance and appeal to institutional investors; if passed, may lead to better oversight
Sector Themes (5)
- Micro-Cap Distress and Reverse Splits◆
4 out of 11 filings (Vivos, Kindly MD, Owens & Minor, Ocean Power) involve reverse splits or dilutive financings to address listing deficiencies or liquidity, indicating a wave of small-cap stress in the current market environment.
- Equity Plan Expansions as Cash Preservation◆
3 companies (Vivos, Bonk, enVVeno) seek to increase equity incentive plan reserves, often by significant amounts (Bonk +70.3%), reflecting a trend of using stock-based compensation to conserve cash amid tight capital markets.
- Governance and Control Concentration◆
VASO (42.06% insider control) and Ocean Power (investors could hold 25.9% post-conversion) highlight governance risks where minority shareholders have limited influence, a common issue in micro-caps.
- Say-on-Pay and Compensation Oversight◆
Cisco, Guidewire, and enVVeno have say-on-pay votes, with Cisco's strong performance likely to yield support, but any dissent could signal compensation concerns; Vivos recommends say-on-pay every 3 years, reducing shareholder voice.
- Virtual Meetings Dominate◆
All 11 companies are holding virtual or hybrid annual meetings, with dates clustered in December 2026, reflecting the post-pandemic norm and potentially lower shareholder participation.
Watch List (8)
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Special meeting Dec 1, 2026 to approve reverse split; if passed, watch for NYSE compliance and potential delisting if stock fails to recover.
-
Annual meeting Dec 2, 2026; reverse split and Nevada reincorporation votes; high majority threshold for Nevada conversion could fail, impacting strategic plans.
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Shareholder vote on convertible note exchange; if approved, dilution of 25.9% and going-concern risk; if rejected, alternative financing may be more costly.
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Special meeting Nov 13, 2026 to approve massive dilution; outcome could set precedent for other micro-caps; watch for shareholder backlash.
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Annual meeting Dec 15, 2026; say-on-pay vote and stockholder proposals; any significant dissent on pay could signal governance issues.
-
Annual meeting Dec 11, 2026; equity plan increase and director elections; watch for dilution concerns and voting power of Series C preferred.
-
Annual meeting Dec 16, 2026 (proxy deadline); declassification proposal requires majority of outstanding shares; failure could signal weak support.
-
Annual meeting Dec 8, 2026; director elections controlled by insiders; watch for any unexpected shareholder activism despite limited influence.
Filing Analyses
(11)
29-10-2026
Vivos Therapeutics filed a DEF 14A proxy statement for its 2026 Annual Meeting on December 2, 2026, with 33,609,393 shares of Common Stock outstanding as of the record date. The proxy puts forward 10 proposals, including a reverse stock split (Proposal 5), Nasdaq Rule 5635 approvals tied to conversion of Series A preferred/warrants held by New Seneca Partners and Series C preferred issued to SOD Sciences (Proposals 6-7), an amendment to the 2024 Omnibus Equity Incentive Plan (Proposal 8), and a reincorporation from Delaware to Nevada (Proposal 9). Notably, the Board recommends a frequency of every 3 years for say-on-pay votes, and the company retained Lioness Consulting for proxy solicitation at a fee of approximately $15,000 plus expenses.
- · Annual Meeting to be held December 2, 2026; proxy materials expected to be mailed on or about October 29, 2026.
- · Series A Convertible Preferred Stock and Series B Non-Convertible Preferred Stock do not vote on the proposals; Series C Convertible Preferred Stock (first issued October 16, 2026, after the Record Date) is not entitled to vote.
- · Proposal 9 (Nevada conversion) requires the affirmative vote of a majority of the outstanding Common Stock entitled to vote, a higher threshold than the majority-of-present standard for most other proposals.
- · Holders of unlisted Series A, Series B and Series C preferred stock have appraisal rights under Section 262 in connection with Proposal 9; Common Stock holders are not expected to have appraisal rights because the stock is Nasdaq-listed.
- · Brokers may vote uninstructed shares only on Proposal 4 (auditor ratification); all other proposals are non-routine, producing broker non-votes.
- · The Board recommends a frequency of every 3 years for future advisory votes on executive compensation (Proposal 3).
- · Voting results will be published in a Current Report on Form 8-K within four business days after the Annual Meeting.
- · The proxy includes a change of independent registered public accounting firm disclosure and a delinquent Section 16(a) reports section.
29-10-2026
Kindly MD, Inc. (trading as NAKAW, now referenced as Nakamoto Inc.) filed a DEF 14A proxy statement on October 29, 2026, for its 2026 Annual Meeting, soliciting votes on four proposals: declassifying the Board via an Amended & Restated Certificate (Proposal 1), ratifying Wolf & Company, P.C. as auditor for FY2026 (Proposal 2), electing directors under two alternative slates depending on Proposal 1's outcome (Proposal 3(a)/3(b)), and approving adjournment if needed (Proposal 4). The Board recommends FOR all proposals. Notably, the filing discloses a 1-for-40 reverse stock split effective May 22, 2026, and warns that the Annual Report's share data is presented pre-split and not comparable to this split-adjusted Proxy Statement, a material caveat for investors.
- · Record Date for voting is close of business October 26, 2026; proxy materials distributed on or about October 29, 2026
- · Internet/telephone proxies must be received by 11:59 p.m. Eastern Time on December 16, 2026
- · Proposal 1 (declassification) requires a majority of all outstanding shares entitled to vote; abstentions and broker non-votes count as votes Against
- · Proposal 2 (auditor ratification) is a routine matter allowing broker discretionary voting; director elections and charter amendment are non-routine (no broker discretionary vote)
- · If Proposal 1 passes, all six nominees stand for terms expiring at the 2027 Annual Meeting; if it fails, only two Class II nominees (Evans, Blackburn) stand until the 2029 annual meeting
- · Company contact for proxy materials: General Counsel, Nakamoto Inc., 300 10th Ave South, Nashville, TN 37203, (615) 676-8668
- · Annual Report share/per-share data is pre-split and NOT adjusted for the 1-for-40 reverse split, creating comparability risk versus split-adjusted proxy figures
29-10-2026
Ocean Power Technologies filed a DEF 14A proxy statement seeking stockholder approval under NYSE American Rule 713(a) to issue shares upon conversion of $7,797,343 in Series D Senior Convertible Notes (Exchange Notes) issued September 25, 2026 to certain investors, in exchange for cancellation of Series C-1 Senior Convertible Notes of equal principal and accrued interest. Approval would allow conversion of more than 19.99% of outstanding common stock; full conversion at the $2.45 conversion price would yield an estimated 3,182,589 shares, giving investors roughly 25.9% of the 12,276,748 shares that would then be outstanding — a significant dilution to existing holders. The notes carry 4.5% interest (13% upon default), mature October 1, 2027, and the company warns that failure to obtain approval would force alternative debt repayment likely on less favorable terms, while the company also flags going-concern risk and continued operating losses.
- · Conversion price is $2.45, or alternatively 93% of the lowest VWAP over the seven trading days prior to conversion
- · Exchange Notes mature October 1, 2027
- · Company lacked capital to make required amortization payments on the Original Notes, necessitating the exchange
- · Company expects it will need to raise significant cash financing in the foreseeable future
- · Forward-looking risks include going-concern uncertainty and a history of operating losses expected to continue at least short-term
- · Proxy solicitor is Sodali & Co. LLC, reachable at (800) 662-5200
- · Approval requires affirmative vote of a majority of shares represented at the Special Meeting; abstentions count as votes against
29-10-2026
Guidewire Software filed its definitive proxy statement (DEF 14A) for its 2026 annual meeting, to be held virtually on December 15, 2026 at 1:30 p.m. Pacific Time, with a record date of October 19, 2026. Stockholders will vote on electing eight directors to one-year terms, ratifying KPMG LLP as auditor for fiscal year ending July 31, 2027, advisory votes on named executive officer compensation and its frequency, and approval of the amended and restated 2020 Stock Plan. The filing is a routine governance document and contains no financial results or period-over-period operating metrics.
- · Annual meeting date: Tuesday, December 15, 2026, at 1:30 p.m. Pacific Time, held online only via live audio webcast at www.virtualshareholdermeeting.com/GWRE2026
- · Record date for voting: close of business on October 19, 2026
- · Proxy materials expected to be mailed on or about October 29, 2026
- · Five proposals: election of eight directors, ratification of KPMG LLP as independent auditor for FY ending July 31, 2027, advisory vote on NEO compensation, advisory vote on frequency of say-on-pay votes, and approval of amended and restated 2020 Stock Plan
- · Voting by telephone or Internet before the meeting closes at 11:59 p.m. Eastern Time on December 14, 2026
- · Proxy statement includes CEO pay ratio, pay versus performance disclosure, and related party transaction policies
29-10-2026
Cisco's FY2026 (ended July 25, 2026) was a record year: revenue reached $63.3 billion, up 12% year-over-year, with GAAP operating margin up 350 bps to 24.3% and non-GAAP operating margin up 40 bps to 34.8%. GAAP EPS rose 31% to $3.33 and non-GAAP EPS rose 14% to $4.33, while the company returned $12.7 billion (99% of free cash flow) via dividends and buybacks. However, the non-GAAP operating margin improvement was modest at just 40 bps versus the 350 bps GAAP gain, and the proxy centers on routine governance matters—electing ten directors, an advisory say-on-pay vote, ratifying PwC for FY2027, and two stockholder proposals the Board opposes.
- · Annual Meeting to be held virtually on December 15, 2026 at 8:00 a.m. Pacific Time; record date October 16, 2026
- · Board recommends FOR all ten director nominees, FOR the advisory say-on-pay resolution, FOR ratification of PwC as auditor for fiscal year ending July 31, 2027, and AGAINST two stockholder proposals
- · Non-GAAP operating margin expanded only 40 bps to 34.8%, far below the 350 bps GAAP margin gain, reflecting a narrower improvement on an adjusted basis
- · Cisco describes FY2026 as delivering the highest revenue, non-GAAP operating margin, and earnings per employee in 30 years
- · Stockholder engagement covered holders representing approximately 59% of shares outstanding at fiscal year-end
- · Proxy materials first sent on or about October 29, 2026; fiscal year end is July 31
29-10-2026
Owens & Minor (now operating as Accendra Health, Inc.) filed a DEF 14A proxy statement for a virtual Special Meeting on December 1, 2026, seeking shareholder approval of a reverse stock split at a 1-for-20 to 1-for-30 ratio plus a corresponding reduction in authorized shares. The proposal is a response to an October 6, 2026 NYSE notice that the stock traded below $1.00 per share over a 30 trading-day period, putting the company out of compliance with Section 802.01C; failure to cure could trigger delisting proceedings. A second, routine Adjournment Proposal is also on the ballot, and the company is paying Georgeson, LLC approximately $20,000 plus expenses to solicit proxies.
- · Special Meeting to be held virtually on December 1, 2026 at 9:00 a.m. Eastern Time at https://meetnow.global/MASMWVG; no physical location
- · Record Date is October 27, 2026; 76,965,322 shares of Common Stock outstanding, with no other class of voting securities
- · NYSE non-compliance notice received October 6, 2026; company notified NYSE on October 14, 2026 of intent to cure via reverse split
- · Reverse Split Proposal requires affirmative vote of a majority of outstanding shares; abstentions count as votes AGAINST
- · Adjournment Proposal passes if votes FOR exceed votes AGAINST; abstentions have no effect
- · Board may abandon the reverse split at any time before the Effective Date even if shareholders approve
- · Company has until its next annual meeting to obtain shareholder approval and implement the reverse split
- · No appraisal or dissenter's rights for shareholders on the Reverse Split Proposal
- · Proxy materials first mailed on or about October 29, 2026; no broker non-votes expected as both proposals are deemed routine
- · Delisting could subject the stock to SEC 'penny stock' regulations and impair ability to raise equity or debt capital
29-10-2026
Fly-E Group filed a definitive proxy statement for a Special Meeting of Stockholders on November 13, 2026, seeking approval under Nasdaq Listing Rule 5635(d) to issue up to $9,000,000 in common stock, warrants, and variable-price convertible notes at prices potentially below the Nasdaq Minimum Price. The proposal caps issuance at 25,000,000 shares (including warrant and note shares) with a floor of 20% of the Nasdaq Minimum Price, and requires completion within six months of stockholder approval. Only 1,632,386 shares were outstanding as of the September 30, 2026 record date, meaning the authorized issuance could be massively dilutive relative to the current share count; the Board unanimously recommends voting FOR both the Issuance and Adjournment proposals.
- · Special Meeting to be held in person November 13, 2026 at 10:00 a.m. Eastern Time at 136-40 39th Avenue, Suite 201, Flushing, New York 11354
- · Record date for voting is September 30, 2026; proxy materials to be mailed on or about November 3, 2026
- · Proxy votes must be received by 11:59 p.m. Eastern Time on November 12, 2026 (mail/email by 4:00 p.m. ET)
- · Net proceeds from any offering to be used for working capital and general corporate purposes
- · Offering, if completed, must occur within six months following Stockholders' Approval
- · Potential issuance of up to 25,000,000 shares versus only 1,632,386 shares currently outstanding implies potential dilution exceeding 15x current share count
- · Adjournment Proposal allows postponement to solicit additional proxies if insufficient votes for the Issuance Proposal
29-10-2026
enVVeno Medical Corp filed a DEF 14A proxy statement for its 2026 Annual Meeting of Stockholders, to be held via live webcast on December 10, 2026 at 9:00 a.m. Pacific Time, with a record date of October 16, 2026 and only 694,826 shares of Common Stock outstanding. Stockholders will vote on electing Robert C. Gray as a Class III Director, an advisory say-on-pay vote, ratification of CBIZ CPAs P.C. as independent auditor for fiscal year 2026, and approval of the 2026 Equity Incentive Plan; the Board unanimously recommends 'FOR' all proposals. The filing is a routine governance document with no financial results or period-over-period performance data disclosed.
- · Annual Meeting to be held Thursday, December 10, 2026 at 9:00 a.m. Pacific Time via live webcast
- · Record Date for voting is October 16, 2026
- · Proxy materials to be mailed on or about October 30, 2026
- · Paper copy requests must be made on or before November 27, 2026
- · Each share of Common Stock entitles the holder to one vote; all Voting Stock votes together as a single class
- · Robert C. Gray, if elected, would serve until the 2029 Annual Meeting of Stockholders
- · Company headquarters located at 70 Doppler, Irvine, California 92618; phone (949) 261-2900
- · Proxy solicitor/transfer agent is Equiniti Trust Company, LLC
- · Paper copy request line: 1 (800) 579-1639
29-10-2026
T Stamp Inc. (dba Trust Stamp, NASDAQ: IDAI) filed a definitive DEF 14A proxy statement dated October 29, 2026 for its 2026 Annual Meeting of Stockholders, to be held virtually on Tuesday, December 15, 2026 at 9:00 a.m. ET. Stockholders of record as of October 21, 2026 will vote on electing three Class I directors (term to the 2029 annual meeting) and ratifying CBIZ CPAs P.C. as independent registered public accounting firm for fiscal 2026. The filing reports 5,684,927 Class A common shares outstanding as of the record date, with no cumulative voting permitted.
- · Proposal 1 (election of Class I directors) is treated as a non-routine item, so brokers may not vote uninstructed shares on it
- · Annual Meeting is fully virtual via audio webcast at https://vote.colonialstock.com/tstamp2026; attendance and voting require the control number
- · Proxy materials are expected to be furnished on or about November 3, 2026, with the company using Notice-and-Access delivery
- · Shares held in street name and of-record holdings must be voted separately
29-10-2026
VASO Corporation has filed a definitive proxy statement for its Annual Meeting of Stockholders on December 8, 2026, at 730 Third Avenue, New York, asking shareholders to elect two Class III directors to three-year terms and to consider any other business properly brought before the meeting. The record date is October 14, 2026, when 176,238,224 common shares were outstanding. Officers and directors collectively hold 42.06% of voting power, and Joshua Markowitz beneficially owns 31.83% of common stock, so the outcome of director elections is effectively under insider control. The filing contains no financial performance data, so no period-over-period comparison is available.
- · Quorum requirement is one-third of shares entitled to vote; directors are elected by plurality, so withhold votes and broker non-votes have no effect on outcome.
- · Notice and proxy materials were first mailed on or about October 29, 2026, and the 2025 Form 10-K is available at www.proxyvote.com.
- · No shareholder proposals beyond director elections are listed; the filing states the Board knows of no other business.
- · The filing is marked 'No fee required' and is a definitive (not preliminary) proxy statement.
29-10-2026
Bonk, Inc. (BNKK) filed a DEF 14A proxy statement on October 29, 2026, for its 2026 annual meeting to be held virtually on December 11, 2026. Stockholders will vote on re-electing six directors, ratifying M&K CPAS, PLLC as auditor for FY2026, and amending the 2024 Equity Incentive Plan to increase reserved shares from 1,057,143 to 1,800,000 (a 70.3% increase). As of the October 14, 2026 record date, 7,943,083 common shares and 135,000 Series C preferred shares (52 votes each, 7,020,000 votes) were outstanding, while 73,333 Series A preferred shares had all voting rights irrevocably waived under a September 4, 2026 redemption agreement.
- · Annual meeting set for 10:00 AM Eastern Time on December 11, 2026, held virtual-only via www.virtualshareholdermeeting.com/BNKK2026
- · Record date for voting is October 14, 2026
- · Each common share carries one vote; each Series C preferred share carries 52 votes
- · Series A preferred voting rights irrevocably waived per Preferred Stock Redemption Agreement dated September 4, 2026
- · Auditor ratification (Proposal 2) is a routine matter allowing broker discretionary voting; director elections and equity plan amendment are non-routine
- · Abstentions count as votes against all three proposals
- · Online proxy voting deadline is 11:59 p.m. Eastern Time on December 10, 2026
- · Board unanimously recommends FOR all nominees and FOR Proposals 2 and 3
- · Proxy materials furnished over the Internet; Notice of Internet Availability mailed on or about October 29, 2026
- · Company headquarters: 60 E Rio Salado Pkwy, Suite 900, Tempe, AZ 85281
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