US IPO Pipeline SEC S-1 Filings — September 10, 2026

10-09-2026

Elevation Acquisition Group Inc. filed an S-1 registration statement on September 9, 2026, for an initial public offering (IPO) as a blank-check company (SPAC). The filing details the structure of the offering, including a trust account initially anticipated to hold $10.00 per public share, redemption rights for public shareholders upon a business combination, and mechanisms for conducting redemptions via tender offer or shareholder vote. The sponsor, officers, directors, and at-risk capital investors are expected to own approximately 25% of outstanding ordinary shares (or 23.64% including representative shares), which could significantly influence shareholder approval, requiring only 29.5% of public shares to be voted in favor if all shares are voted, or potentially no public shares if only a quorum is present.

• · The filing includes a restriction that a public shareholder holding more than 15% of shares sold in the offering (together with affiliates) cannot redeem more than that amount without prior consent if a shareholder vote is held.
• · The sponsor, officers, directors, and at-risk capital investors have agreed to waive redemption rights on founder shares and private placement units.
• · The company may require shareholders to tender certificates or deliver shares electronically via DTC's DWAC system to exercise redemption rights.
• · If a tender offer is used, it will remain open for at least 20 business days, and the company will terminate any Rule 10b5-1 plan to comply with Rule 14e-5.
• · The company may raise additional funds through equity-linked securities, loans, or backstop arrangements to satisfy minimum cash requirements for a business combination.

10-09-2026

OLB GROUP, INC. filed an S-1 registration statement with the SEC on September 9, 2026, registering the resale of common stock and warrants issued in a January 2026 private placement. The company raised approximately $1.3 million in gross proceeds from the private placement, selling 2,166,666 shares and warrants at $0.60 per combined unit. As of August 31, 2026, the company had 24,032,930 shares outstanding, with its stock trading at $0.296 per share on Nasdaq, and it has not declared dividends since inception.

• · The company has 50,000,000 authorized shares of common stock and 1,000,000 authorized shares of preferred stock (10,000 Series A preferred).
• · Outstanding warrants include Series C (95,348 at $90.00), Series D (90,909 at $45.00), Series E (46,512 at $0.92), Series F (363,636 at $0.92), Series G (2,166,666 at $0.78), and Series H (3,571,428 at $0.92).
• · The company has 119,572 shares available for future awards under its stock incentive plan.
• · The company has not declared or paid dividends since inception and does not plan to pay cash dividends in the foreseeable future.
• · The company is substantially dependent on its eVance business for revenue.
• · The company is re-engineering operations around AI, including agentic AI, to operate as an AI-native financial technology company.

10-09-2026

Broadcom Inc. filed an S-4 registration statement to exchange up to $654,004,000 of its outstanding 4.926% Senior Notes due 2037 for registered notes with identical terms, fulfilling a registration rights agreement from a 2022 private exchange. The exchange offer is not conditioned on a minimum tender and will not generate cash proceeds. The transaction is a routine debt exchange and does not involve any acquisition or regulatory action.

• · The exchange offer expires at 5:00 p.m. New York City time on a date to be filled in the prospectus (five business days before expiration).
• · Outstanding Notes may be exchanged only in minimum denominations of $2,000 and integral multiples of $1,000 in excess thereof.
• · The exchange is not conditioned upon any minimum aggregate principal amount being tendered.
• · No cash proceeds will be received from the issuance of Exchange Notes.
• · The exchange will not constitute a taxable event for U.S. federal income tax purposes.

10-09-2026

Rafex Gold Corp. filed an S-1 registration statement with the SEC on September 10, 2026, covering the resale of up to 22,667,672 shares of common stock by selling shareholders at an offering price of $0.25 per share. The company will not receive any proceeds from the sale. The stock is quoted on the OTCID Marketplace under the symbol RAFX, but there has been very limited trading and no public market has developed. The company is an emerging growth company and a smaller reporting company with a history of losses and a high degree of risk.

• · The company was originally incorporated in Nevada in 2000 and has undergone multiple name changes, most recently to Rafex Gold Corp. in September 2022.
• · The company's common stock is quoted on the OTCID Marketplace under symbol RAFX, but there has been very limited trading and no public market has developed.
• · The offering price of $0.25 per share was arbitrarily determined by the company and does not necessarily relate to assets, operations, book value, or other criteria.
• · The company will not receive any proceeds from the sale of shares by selling shareholders.
• · The company is an 'emerging growth company' under the JOBS Act and has elected to comply with reduced public company reporting requirements.
• · The company has a history of losses and the securities involve a high degree of risk; investors should be prepared to lose their entire investment.
• · The company's primary assets are mineral exploration projects in Australia (Bendoc, Mt Bute/Ballarat, Rutherglenn) and Malaysia (Aur Gading iron ore).
• · The Rutherglenn exploration target exceeds 300,000 ounces of gold.
• · The Aur Gading iron ore project is held through a 50% equity interest in Datgeo Minerals Sdn Bhd, with the remaining 50% held by Datgeo Sdn Bhd.

10-09-2026

OptimumBank Holdings, Inc. filed an S-4 registration statement with the SEC on September 10, 2026, to register up to $35,000,000 aggregate principal amount of 7.50% Fixed-to-Floating Rate Subordinated Notes due 2036, offering to exchange these registered notes for any and all outstanding unregistered notes of the same series. The filing incorporates by reference the company's annual report for FY2025, quarterly reports for Q1 and Q2 2026, and several current reports, but does not disclose any financial results or performance metrics for the current period.

• · The exchange offer is for up to $35,000,000 aggregate principal amount of notes.
• · The notes have a fixed-to-floating rate structure with an initial fixed rate of 7.50% and mature in 2036.
• · The filing incorporates by reference the company's Annual Report on Form 10-K for FY2025 (filed Feb 26, 2026), Quarterly Reports for Q1 and Q2 2026, and several Current Reports on Form 8-K.
• · The exchange agent is UMB Bank National Association.
• · The registration statement includes exhibits such as the Indenture dated August 19, 2026, and the form of the subordinated note.

10-09-2026

Hometown Financial Group, Inc. filed an S-1 registration statement with the SEC on September 10, 2026, for its initial public offering (IPO) of common stock, expected to list on Nasdaq under the symbol 'HFG'. The offering is part of the conversion of its mutual holding company, Hometown Financial Group, MHC, to a stock holding company. The 401(k) Plan participants may invest up to 50% of their account balances (as of September 30, 2026) in the IPO, with a maximum of 8,536,650 shares at $10.00 per share based on plan assets as of December 31, 2025. The company is a non-accelerated filer and an emerging growth company, and there is no current public market for the stock.

• · The IPO is in connection with the conversion of Hometown Financial Group, MHC from a mutual holding company to a stock holding company.
• · There is no current public or private market for Hometown Financial common stock.
• · The common stock is expected to be listed on the Nasdaq Stock Market under the symbol 'HFG'.
• · Participants must have a Schwab Personal Choice Retirement Account to purchase stock in the IPO.
• · Purchase priorities in case of oversubscription: first to depositors with balances of at least $50 as of June 30, 2025; second to depositors with balances of at least $50 as of June 30, 2026; third to TruNorth Bank's tax-qualified plans.
• · The offering is not insured by the FDIC or any governmental agency.
• · The company is a non-accelerated filer and an emerging growth company.
• · The 401(k) Plan trustee will sell designated amounts pro rata among core investment funds, including vested and unvested employer contributions.
• · No assets held in the Schwab brokerage account can be used to purchase stock in the IPO; they must be liquidated and moved to core funds first.
• · If the IPO is oversubscribed, unused funds will be returned to the Schwab brokerage account as cash.

10-09-2026

Allarity Acquisition Corp. filed an S-1 registration statement with the SEC on September 10, 2026, for its initial public offering. The filing details the offering of units consisting of ordinary shares and warrants, with a sponsor (ALLR Sponsor LLC) holding founder shares and private warrants. The registration includes provisions for an over-allotment option and various redemption scenarios, indicating a standard SPAC IPO structure.

• · The filing includes scenarios for redemption at 25%, 50%, 75%, and 100% of the maximum, as well as no redemption.
• · The over-allotment option can be exercised or not, affecting the number of shares and proceeds.
• · The sponsor may forfeit Class B ordinary shares if the over-allotment is not exercised.
• · The filing includes details on offering costs, underwriting discounts, and proceeds held in trust subject to redemption.