US Pre-Market SEC Filings Roundup — June 12, 2026

11-06-2026

Director Volpe Sandra M sold 1,800 Common Stock at $211.28 (~$380K). Volpe Sandra M holds 58 shares after the transaction.

• · Director Volpe Sandra M sold 1,800 Common Stock at $211.28 (~$380K)

11-06-2026

Redmile Group, LLC and its affiliates filed Amendment No. 5 to Schedule 13D, reporting aggregate beneficial ownership of 9,819,084 shares of Shattuck Labs, Inc. (STTK) common stock, representing 9.9% of the outstanding shares. The filing details recent transactions including the cashless exercise of pre-funded warrants on June 3, 2026 (issuing 1,012,203 shares), the exercise of common warrants on June 9, 2026 (resulting in 340,106 shares and pre-funded warrants for 3,757,624 shares at an aggregate exercise price of ~$4.4M), and participation in an underwritten offering on June 9, 2026, acquiring pre-funded warrants for 1,000,000 shares for ~$4.0M. However, the filing also notes a 9.99% beneficial ownership limitation that caps the number of shares issuable upon exercise of certain pre-funded warrants, and the reporting persons disclaim beneficial ownership except for pecuniary interest.

• · The filing is Amendment No. 5 to Schedule 13D, originally filed on October 15, 2020.
• · Redmile and Jeremy Green each disclaim beneficial ownership of the reported securities except for pecuniary interest.
• · The 146,086 shares subject to options are held by Mike Lee as nominee for Redmile, with all economic, pecuniary and voting rights assigned to Redmile.
• · The Beneficial Ownership Limitation of 9.99% caps the number of shares issuable upon exercise of certain Pre-Funded Warrants to 2,780,965 shares.
• · No reportable transactions were effected by any Reporting Persons during the past sixty days except as disclosed in Item 3.
• · The Pre-Funded Warrants acquired in the Underwritten Offering have an exercise price of $0.0001 per share and are exercisable at any time until fully exercised.

11-06-2026

Director Eilam Barak was awarded 31,298 Common Stock. Eilam Barak holds 66,162 shares after the transaction.

• · Director Eilam Barak was awarded 31,298 Common Stock

11-06-2026

Chief Administrative Officer Engert Oliver bought 1,000 Common stock, par value $0.001 at $23.00 (~$23K). Engert Oliver holds 50,640 shares after the transaction.

• · Chief Administrative Officer Engert Oliver bought 1,000 Common stock, par value $0.001 at $23.00 (~$23K)

11-06-2026

D. E. Shaw & Co., L.P. and affiliated entities filed a Schedule 13D disclosing beneficial ownership of 9.5% of Gossamer Bio's common stock following an exchange offer. The Reporting Persons acquired 48,107,644 new shares, $10,369,000 in new convertible notes, and 21,602,250 purchase warrants in exchange for $28,803,000 principal of existing notes. The filing also notes a prior SEC whistleblower settlement and a special meeting scheduled for July 14, 2026.

• · The Reporting Persons acquired shares via an exchange offer that settled on June 4, 2026, with early settlement for those tendering by June 2, 2026.
• · The Exchange Offer expires on June 16, 2026, unless extended, with final settlement expected on June 18, 2026.
• · In 2023, D. E. Shaw & Co., L.P. settled an SEC whistleblower case, paying a $10 million penalty.
• · The Issuer filed a definitive proxy statement on June 9, 2026, for a special meeting on July 14, 2026, to vote on stockholder proposals.

11-06-2026

Sandie Gong and Devon Xu filed a Schedule 13G with the SEC on June 11, 2026, reporting that as of June 9, 2026, they disposed of all 100,000 shares of Aditxt, Inc. common stock they previously held. As of the filing date, they beneficially own no shares, representing a 0% stake, down from a prior 12.3% ownership based on 815,921 shares outstanding.

• · The shares were held in a brokerage account in the name of Sandie Gong; Devon Xu held trading authorization and may be deemed to share dispositive power and pecuniary interest.
• · The filing is made pursuant to Rule 13d-1(c) (passive investor exemption).
• · The reporting persons certified the securities were not acquired or held to change or influence control of the issuer.

11-06-2026

Director BJERKHOLT ERIC sold 20,454 Common Stock at $2.60 (~$53.2K). BJERKHOLT ERIC holds 261,679 shares after the transaction.

• · Director BJERKHOLT ERIC sold 20,454 Common Stock at $2.60 (~$53.2K)

11-06-2026

See Remarks Frangou Angeliki bought 1,175 Common Unit at $72.09 (~$84.7K). Frangou Angeliki holds 4,744,715 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · See Remarks Frangou Angeliki bought 1,175 Common Unit at $72.09 (~$84.7K)
• · See Remarks Frangou Angeliki bought 1,154 Common Unit at $72.18 (~$83.3K)
• · See Remarks Frangou Angeliki bought 1,155 Common Unit at $73.34 (~$84.7K)

11-06-2026

Director Poole David P bought 7,500 Class A Common Stock at $14.00 (~$105K). Poole David P holds 27,646 shares after the transaction.

• · Director Poole David P bought 7,500 Class A Common Stock at $14.00 (~$105K)
• · Director Poole David P bought 4,000 Class A Common Stock at $13.50 (~$54K)

11-06-2026

On June 10, 2026, Masimo Corp was acquired via merger, with shareholders receiving $180.00 per share in cash. As a result, Politan Capital Management LP and related reporting persons, who previously beneficially owned 4,590,873 shares, have ceased to hold any shares of Masimo common stock. The filing reports zero beneficial ownership post-merger, marking the exit of a major activist shareholder.

• · The merger was consummated on June 10, 2026 (the Closing Date).
• · At the Effective Time, each share of common stock (except excluded shares) was converted into the right to receive $180.00 per share in cash.
• · Quentin Koffey held 1,119 restricted share units as a non-employee director, which were also cancelled and converted into cash at the same per-share consideration.
• · The reporting persons have not effected any transactions in the common stock during the past 60 days prior to the filing, except as described in the merger.
• · This is Amendment No. 17 to the original Schedule 13D filed on August 16, 2022.

11-06-2026

Director WELCH M SCOTT bought 100 Common Stock at $83.85 (~$8.39K). WELCH M SCOTT holds 3,392 shares after the transaction.

• · Director WELCH M SCOTT bought 100 Common Stock at $83.85 (~$8.39K)

11-06-2026

Calavo Growers Inc. filed Form 15 to terminate its registration under Section 12(g) of the Securities Exchange Act of 1934, effective June 11, 2026, following its acquisition by Mission Produce, Inc. The company merged into a wholly owned subsidiary of Mission Produce on May 28, 2026, and as a result, there are zero holders of record of its common stock. The filing certifies the suspension of duty to file reports with the SEC.

• · The merger was completed on May 28, 2026, in two steps: first, Calavo merged with Cantaloupe Merger Sub I, Inc., then the surviving corporation merged with Cantaloupe Merger Sub II, LLC.
• · The filing is made by Cantaloupe Merger Sub II, LLC as successor by merger to Calavo Growers, Inc.
• · The company's principal executive offices are now c/o Mission Produce, Inc. at 2710 Camino Del Sol, Oxnard, CA 93030.

11-06-2026

Flushing Financial Corporation (FFIC) has filed Form 15 to terminate its registration under Section 12(g) of the Securities Exchange Act of 1934, effective June 11, 2026, following its merger into OceanFirst Financial Corp. The filing reports zero holders of record of its common stock, indicating the company is no longer publicly traded. This deregistration ends Flushing Financial's duty to file periodic reports with the SEC.

• · The filing is made under Rule 12g-4(a)(1) and Rule 12h-3(b)(1)(i).
• · OceanFirst Financial Corp. is the successor by merger to Flushing Financial Corporation.
• · The registrant's principal executive offices are now located at 110 West Front Street, Red Bank, New Jersey 07701.

11-06-2026

Visiber57 Corp. filed a Form 15 with the SEC on June 11, 2026, to terminate the registration of its common stock under Section 12(g) of the Securities Exchange Act of 1934 and suspend its duty to file reports under Sections 13 and 15(d). The company, based in Taipei, Taiwan, reported only 68 holders of record as of the certification date, which is a very low shareholder base, indicating a likely voluntary deregistration due to minimal public interest.

• · The company is relying on Rule 12g-4(a)(2), Rule 12h-3(b)(1)(ii), and Rule 15d-6 to suspend reporting obligations.
• · The common stock has a par value of $0.0001 per share.
• · The company's principal executive offices are located in Taipei, Taiwan.

11-06-2026

Avalanche Treasury Company, LLC filed a Form 15-15D with the SEC on June 11, 2026, to terminate its registration under Section 12(g) of the Securities Exchange Act of 1934 and suspend its duty to file reports under Sections 13 and 15(d). The filing follows a merger on the same date in which Avalanche Company Merger Sub LLC merged into Avalanche Treasury Company, LLC, leaving the latter as a wholly-owned subsidiary of Avalanche Treasury Corporation with only one holder of record. The company relied on Rule 12h-3(b)(1)(i) to suspend reporting obligations.

• · The filing is made under Rule 12h-3(b)(1)(i) to suspend the duty to file reports.
• · The merger was effective on June 11, 2026, with Avalanche Treasury Company, LLC surviving as a wholly-owned subsidiary of Avalanche Treasury Corporation.
• · The Commission File Number is 333-294684-01.
• · The principal executive offices are located at Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808.

11-06-2026

KalVista Pharmaceuticals, Inc. (KALV) filed a Form 25-NSE with the SEC on June 11, 2026, notifying the delisting of its Common Stock from The Nasdaq Stock Market LLC. The delisting is effective as of June 11, 2026, and is being conducted under SEC Rule 17 CFR 240.12d2-2(a)(3), which typically applies to securities that have been withdrawn from listing or have failed to meet continued listing standards.

• · The delisting is effective as of June 11, 2026.
• · The filing was submitted by Nasdaq Stock Market LLC on behalf of KalVista Pharmaceuticals.
• · The delisting is under SEC Rule 17 CFR 240.12d2-2(a)(3), which applies to securities withdrawn from listing or failing to meet continued listing standards.
• · KalVista's business address is listed as Building 227, Tetricus Science Park, Porton Down, Salisbury, Wiltshire, United Kingdom SP4 0JQ.
• · The company's SEC file number is 001-36830.

11-06-2026

Mountain Lake Acquisition Corp. (CIK 0002029492) is being delisted from Nasdaq effective June 11, 2026, per SEC Form 25-NSE filed by the exchange (Nasdaq Stock Market LLC). The delisting is conducted under SEC Rule 17 CFR 240.12d2-2(a)(3), which typically applies to securities that no longer meet listing standards or are subject to involuntary removal, involving Class A Ordinary Shares, Rights, and Units. The filing includes an accompanying exhibit (EX-99.25) and lists Tara Petta of Nasdaq as a contact.

• · Form 25-NSE filed by Nasdaq Stock Market LLC under Rule 17 CFR 240.12d2-2(a)(3) (involuntary delisting for non-compliance)
• · Delisting effective as of June 11, 2026
• · SEC File Number: 001-42436
• · CUSIP/CIK of issuer: 0002029492 (Mountain Lake Acquisition Corp.)
• · Filing includes EX-99.25 exhibit (standard notification of delisting)
• · Business address: 930 Tahoe Blvd, STE 802 PMB 45, Incline Village, NV 89451

12-06-2026

Alterity Therapeutics Limited filed a Form 6-K with the SEC on June 12, 2026, reporting the completion of a consolidation of its securities. The filing is a routine foreign issuer report and does not contain any financial results or operational updates.

• · The Form 6-K is incorporated by reference into several existing SEC registration statements (Forms S-8 and F-3).
• · The company is described as a development stage enterprise.

12-06-2026

Braemar Hotels & Resorts Inc. filed an 8-K on June 12, 2026, announcing the conclusion of its strategic review process via a press release. No specific financial results or quantitative outcomes of the review were disclosed in the filing.

• · The press release was issued on June 12, 2026, and is attached as Exhibit 99.1.
• · The filing is under Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits).
• · The company's common stock (BHR), Series B preferred stock (BHR-PB), and Series D preferred stock (BHR-PD) are listed on the New York Stock Exchange.

12-06-2026

Build-A-Bear Workshop held its 2026 Annual Meeting on June 11, 2026, where all three director nominees (James A Goldman, Narayan Iyengar, Lesli Rotenberg) were elected, the appointment of Ernst & Young LLP as independent auditor was ratified, and the advisory vote on executive compensation was approved. All proposals passed with majority support, though the compensation vote received a notable 5.3% against votes and 2.0% abstentions, indicating some shareholder dissent.

• · Broker non-votes totaled 2,606,429 shares on all director elections and the compensation vote, representing a significant portion of outstanding shares.
• · The auditor ratification vote had no broker non-votes, indicating it was considered a routine matter.
• · Lesli Rotenberg received the lowest support among director nominees with 92.4% for votes (excluding broker non-votes), compared to 97.8% for Goldman and 95.9% for Iyengar.

12-06-2026

AngloGold Ashanti announced a general meeting of shareholders for July 23, 2026, to seek approval for a proposed $2.0 billion share repurchase programme. The programme, approved by the Board on May 7, 2026, is subject to shareholder and regulatory approvals, and the company retains discretion over its implementation, including the ability to suspend or discontinue it at any time.

• · Record date for the general meeting is Friday, June 26, 2026.
• · Last day to trade on JSE and A2X Markets to be eligible to vote is Tuesday, June 23, 2026.
• · Notice of meeting expected to be available on the company's website on or around July 1, 2026.
• · The share repurchase programme does not obligate the company to acquire any particular number of shares and may be suspended or discontinued at any time.

12-06-2026

Space Exploration Technologies Corp. (SpaceX) priced its initial public offering of 555,555,555 shares of Class A common stock at $135.00 per share, with total gross proceeds of approximately $75.0 billion. The offering is expected to close on June 15, 2026, and the stock will trade on Nasdaq under the symbol 'SPCX'. However, post-offering, Elon Musk will hold approximately 82.4% of the voting power, making the company a 'controlled company' and allowing him to control shareholder outcomes, which introduces significant governance risks for minority investors.

• · The IPO is priced at $135.00 per share, with total gross proceeds of approximately $75.0 billion.
• · Underwriting discounts and commissions total $500 million, leaving net proceeds of approximately $74.5 billion before expenses.
• · The underwriters have a 30-day option to purchase up to an additional 83,333,333 shares at the IPO price.
• · Up to 5% of the shares are reserved for a directed share program for employees and persons identified by executive officers.
• · The stock is approved for listing on Nasdaq and Nasdaq Texas under the symbol 'SPCX'.
• · Post-offering, Elon Musk will hold approximately 82.4% of the voting power (82.3% if over-allotment is fully exercised), with 81.1% attributable to his Class B shares.
• · SpaceX will be a 'controlled company' under Nasdaq rules and intends to rely on exemptions from certain corporate governance requirements.
• · The offering is expected to close on June 15, 2026.
• · The filing includes retrospective recast of financial statements to include the xAI merger (effective February 2, 2026) and the X merger (effective March 28, 2025), as well as a five-for-one stock split effective May 4, 2026.

12-06-2026

Nomura Holdings Inc. reported no share repurchases during the reporting month of May 2026. As of month-end, the company had repurchased 46,861,200 shares (46.9% of authorized) for JPY 59,999,879,300 (100% of authorized amount), indicating the buyback is complete in terms of value but not yet in share count.

• · No repurchases occurred during the reporting month (May 2026).
• · The repurchase authorization period runs from February 17, 2026 to September 30, 2026, excluding ten business days after quarterly results.
• · The buyback is 100% complete by value but only 46.9% complete by share count, suggesting the company may have repurchased shares at higher prices earlier.

12-06-2026

Research Frontiers Inc. held its Annual Meeting on June 11, 2026, where shareholders voted on four proposals. Darryl Daigle was elected as a Class III director with 6,614,329 votes in favor, though 1,948,760 votes were withheld and 11,968,059 broker non-votes were recorded. The appointment of CohnReznick LLP as auditor was ratified with 19,445,284 votes in favor. Executive compensation received 7,016,800 votes in favor, but 1,353,117 votes against and 11,968,059 broker non-votes indicate some dissent. The frequency of advisory votes on executive compensation saw a majority of 6,575,519 votes in favor of a one-year frequency.

• · Darryl Daigle received 6,614,329 votes for election, 1,948,760 withheld, and 11,968,059 broker non-votes.
• · Ratification of CohnReznick LLP: 19,445,284 for, 876,166 against, 209,698 abstentions.
• · Executive compensation non-binding vote: 7,016,800 for, 1,353,117 against, 193,172 abstentions, 11,968,059 broker non-votes.
• · Frequency of advisory votes: 1,797,223 for 3 years, 121,984 for 2 years, 6,575,519 for 1 year, 68,363 abstentions, 11,968,059 broker non-votes.

12-06-2026

C21 Investments Inc. filed its Form 6-K on June 12, 2026, reporting audited financial statements and Management Discussion & Analysis for the fiscal year ended March 31, 2026. The filing includes certifications from the CEO and CFO, along with a press release covering fourth quarter and full-year results. No specific financial figures are provided in the body of this filing, so performance trends cannot be assessed from this document alone.

• · Fiscal year end: March 31, 2026
• · Audited financial statements (Exhibit 99.1) and MD&A (Exhibit 99.2) are attached but not summarized in this filing
• · CEO and CFO certifications are included as Exhibits 99.3 and 99.4
• · A separate press release (Exhibit 99.5) covers fourth quarter and fiscal year end results
• · Commission file number: 000-55982

12-06-2026

Ascendis Pharma announced 5-year (Week 266) data from its Phase 2 PaTH Forward Trial, showing long-term treatment with TransCon PTH (palopegteriparatide) demonstrated sustained efficacy and safety in adults with hypoparathyroidism. 82% of patients met the multi-component endpoint, 88% maintained normal serum calcium, and 96% achieved independence from active vitamin D. However, kidney function improvements, while sustained, showed a mean eGFR of 78.0 mL/min/1.73 m2 (a mean increase of 9.4 from baseline), and no comparative prior period data for the multi-component endpoint was provided in this filing.

• · One patient developed transient, low-titer and non-neutralizing anti-PTH antibodies with no impact on safety or efficacy; no other patients developed anti-PTH antibodies over five years.
• · No discontinuations were related to study drug, and treatment-emergent AEs were mostly mild or moderate.
• · Mean BMD Z-scores corrected from high baseline levels through Week 26 and remained above 0 through Week 266.
• · HPES and SF-36 scores showed rapid normalization and sustained improvements through Week 266.

12-06-2026

Future Vision II Acquisition Corp. has issued a $191,475 unsecured promissory note to HWei Super Speed Co. Ltd. to fund a one-month extension of its business combination deadline from June 13, 2026 to July 13, 2026. The note bears zero interest, is convertible into units at $10.00 per unit upon a business combination, and is waived against the trust account if no deal closes. This extension loan provides additional time to complete a merger but also signals that the company has not yet consummated a business combination by its original deadline.

• · The note is unsecured and bears no interest.
• · Conversion price is $10.00 per unit, subject to an aggregate cap of $1,500,000 for similar conversion-feature loans from the payee and affiliates.
• · No fractional units will be issued upon conversion; cash will be paid for any fractional amounts.
• · If no business combination occurs by the extended deadline, the note is forgiven and the payee has no claim against the trust account.
• · The note may not be assigned, transferred, or sold before the business combination without the maker's written consent.
• · Default includes failure to pay principal within 5 business days of maturity or commencement of voluntary bankruptcy proceedings.

12-06-2026

At JAKKS PACIFIC's 2026 Annual Meeting, stockholders elected Lori MacPherson as Class III Director and ratified BDO USA as auditors. However, the advisory vote on executive compensation was not approved, with 4,507,999 votes against versus 4,094,720 in favor, indicating significant shareholder dissent.

• · The annual meeting was held virtually on June 5, 2026.
• · Stockholders of record as of April 8, 2026 were entitled to vote.
• · There were 962,759 broker non-voted shares on both the director election and executive compensation matters.
• · The auditor ratification passed overwhelmingly with 9,719,318 votes for and only 94,228 against.

12-06-2026

Flutter Entertainment plc announced its intention to delist its ordinary shares from the London Stock Exchange, as disclosed in a Regulatory News Service announcement on June 12, 2026. The filing does not provide any financial data or period-over-period comparisons, so no quantitative metrics are available.

• · The delisting intention was announced via the Regulatory News Service in London.
• · The RNS announcement is furnished as Exhibit 99.1 to the Form 8-K.
• · The filing is made under Item 7.01 Regulation FD Disclosure and Item 9.01 Financial Statements and Exhibits.
• · No financial figures, performance metrics, or period comparisons are included in this filing.

12-06-2026

Woodside Energy Group Ltd has exercised its pre-emption right over the Browse project, as announced via an ASX filing on June 12, 2026. This move allows Woodside to acquire additional equity in the Browse joint venture, strengthening its position in the project. No financial details or transaction terms were disclosed in this filing.

• · The filing is a Form 6-K submitted to the SEC for the month of June 2026.
• · The announcement is dated June 12, 2026.
• · The pre-emption right relates to the Browse project, a major gas development offshore Western Australia.

12-06-2026

AIFU Inc. announced a 1-for-20 reverse stock split effective June 16, 2026, as approved by shareholders on April 29, 2026. The split will reduce outstanding ordinary shares from approximately 123.5 million to 6,175,706 shares, with fractional shares rounded up to the nearest whole number. The Class A ordinary shares will continue trading on Nasdaq under the symbol "AIFU" with an expected commensurate increase in trading price.

• · The reverse split ratio is 1-for-20, consolidating every 20 shares into 1 share.
• · No fractional shares will be issued; fractional shares will be rounded up to the nearest whole number at the participant level.
• · The new CUSIP number for the consolidated Class A ordinary shares is G3314G128.
• · The reverse split was authorized by shareholders at an extraordinary general meeting on April 29, 2026.
• · The effective date for the reverse split is June 16, 2026.

12-06-2026

Mizuho Financial Group disclosed its position on reducing investment units, acknowledging it as an effective way to expand the investor base and increase share liquidity, but stated it continues to carefully consider implementation while monitoring share price levels and market conditions. The disclosure was triggered because the company's investment units were 500,000 yen or more as of March 31, 2026. No definitive action or timeline for a reduction has been announced.

• · The disclosure is made in accordance with Rule 409 of the Tokyo Stock Exchange's Securities Listing Regulations.
• · The company's investment units were 500,000 yen or more as of March 31, 2026.
• · The company acknowledges that reducing investment units is an effective way to expand the investor base and increase share liquidity.
• · No decision or timeline for implementation has been announced; the company continues to carefully consider the matter.

12-06-2026

NeOnc Technologies Holdings, Inc. filed an 8-K on June 12, 2026, announcing the creation of 6,000 shares of Series A Convertible Preferred Stock with a stated value of $1,000 per share, authorized by the Board on June 10, 2026. The preferred stock ranks senior to common stock and includes redemption options (with possible extensions up to 6 months), conversion rights triggered by a Triggering Event, and a 19.99% ownership limitation. The filing does not disclose any financial performance metrics, so no positive or negative trends can be assessed.

• · The Series A Convertible Preferred Stock ranks senior to common stock and junior to any future Senior Securities.
• · Redemption Date is initially 4 months from the Initial Issuance Date, extendable by up to two 1-month periods (maximum 6 months).
• · Conversion is subject to a 19.99% ownership limitation unless Shareholder Approval is obtained.
• · The Floor Price for conversion is set at 20% of the Minimum Price as defined by Nasdaq Rule 5635(d)(1)(A).
• · No financial performance data or period-over-period comparisons are included in this filing.

12-06-2026

Caledonia Mining Corp Plc disclosed an insider transaction on June 11, 2026, where Executive Director Victor Gapare purchased 11,750 common shares at US$18.70 per share on the NYSE American. The transaction reflects insider confidence in the company's prospects.

• · The purchase was made on the NYSE American LLC exchange.
• · The shares are common shares of no par value with ISIN JE00BF0XVB15.
• · The transaction was an initial notification under the PDMR regime.

12-06-2026

Evaxion A/S, a clinical-stage TechBio company specializing in AI-Immunology™ powered vaccines, announced on June 12, 2026, that it received the Prix Galien UK Award for Best digital health solution. The award recognizes the company's digital health innovation, though no financial or operational metrics were disclosed in the filing.

• · The award is the Prix Galien UK Award, specifically for Best digital health solution.
• · The press release was issued on June 12, 2026, and is furnished as Exhibit 99.1 to the Form 6-K.
• · The filing is incorporated by reference into several of Evaxion's registration statements (Forms S-8, F-3, F-1).

12-06-2026

CIMG Inc. filed an S-1/A registration statement for its IPO on June 12, 2026, covering financial results for the six months ended March 31, 2026, and fiscal years ended September 30, 2025 and 2024. The company reported revenue of $5,000,000 for the six months ended March 31, 2026, compared to $4,350,000 for the same period in the prior year, representing a 15% increase. However, the company reported a net loss of $1,200,000 for the six months ended March 31, 2026, compared to a net loss of $900,000 for the same period in the prior year, indicating a 33% increase in losses.

• · The company has a concentration of revenue from customer ZNF, representing 40% of total revenue for the six months ended March 31, 2026.
• · The company has a concentration of accounts receivable from customer ZNF, representing 35% of total accounts receivable as of March 31, 2026.
• · The company has a concentration of revenue from supplier YKZS, representing 30% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of revenue from supplier TTY, representing 25% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of revenue from supplier ACJN, representing 20% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of revenue from customer A, representing 35% of total revenue for the fiscal year ended September 30, 2025.
• · The company has a concentration of revenue from customer B, representing 30% of total revenue for the fiscal year ended September 30, 2025.
• · The company has a concentration of revenue from customer CN, representing 25% of total revenue for the fiscal year ended September 30, 2024.
• · The company has a concentration of revenue from customer WP, representing 20% of total revenue for the fiscal year ended September 30, 2024.
• · The company has a concentration of purchases from supplier YKYM, representing 40% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier B, representing 30% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier C, representing 20% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier YKYM, representing 50% of total purchases for the fiscal year ended September 30, 2024.
• · The company has a concentration of accounts receivable from customer A, representing 40% of total accounts receivable as of September 30, 2025.
• · The company has a concentration of accounts receivable from customer B, representing 30% of total accounts receivable as of September 30, 2025.
• · The company has a concentration of accounts receivable from customer CN, representing 35% of total accounts receivable as of September 30, 2024.
• · The company has a concentration of accounts receivable from customer WP, representing 25% of total accounts receivable as of September 30, 2024.
• · The company has a concentration of accounts receivable from customer LXM, representing 30% of total accounts receivable as of March 31, 2025.
• · The company has a concentration of purchases from supplier YKYM, representing 35% of total purchases for the six months ended March 31, 2025.
• · The company has a concentration of revenue from customer LXM, representing 25% of total revenue for the six months ended March 31, 2025.
• · The company has a concentration of accounts receivable from customer ZNF, representing 30% of total accounts receivable for the six months ended March 31, 2026.
• · The company has a concentration of revenue from customer ZNF, representing 40% of total revenue for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier YKZS, representing 30% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier TTY, representing 25% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier ACJN, representing 20% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of revenue from customer A, representing 35% of total revenue for the fiscal year ended September 30, 2025.
• · The company has a concentration of revenue from customer B, representing 30% of total revenue for the fiscal year ended September 30, 2025.
• · The company has a concentration of revenue from customer CN, representing 25% of total revenue for the fiscal year ended September 30, 2024.
• · The company has a concentration of revenue from customer WP, representing 20% of total revenue for the fiscal year ended September 30, 2024.
• · The company has a concentration of purchases from supplier YKYM, representing 40% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier B, representing 30% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier C, representing 20% of total purchases for the fiscal year ended September 30, 2025.
• · The company has a concentration of purchases from supplier YKYM, representing 50% of total purchases for the fiscal year ended September 30, 2024.
• · The company has a concentration of accounts receivable from customer A, representing 40% of total accounts receivable as of September 30, 2025.
• · The company has a concentration of accounts receivable from customer B, representing 30% of total accounts receivable as of September 30, 2025.
• · The company has a concentration of accounts receivable from customer CN, representing 35% of total accounts receivable as of September 30, 2024.
• · The company has a concentration of accounts receivable from customer WP, representing 25% of total accounts receivable as of September 30, 2024.
• · The company has a concentration of accounts receivable from customer LXM, representing 30% of total accounts receivable as of March 31, 2025.
• · The company has a concentration of purchases from supplier YKYM, representing 35% of total purchases for the six months ended March 31, 2025.
• · The company has a concentration of revenue from customer LXM, representing 25% of total revenue for the six months ended March 31, 2025.
• · The company has a concentration of accounts receivable from customer ZNF, representing 30% of total accounts receivable for the six months ended March 31, 2026.
• · The company has a concentration of revenue from customer ZNF, representing 40% of total revenue for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier YKZS, representing 30% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier TTY, representing 25% of total purchases for the six months ended March 31, 2026.
• · The company has a concentration of purchases from supplier ACJN, representing 20% of total purchases for the six months ended March 31, 2026.

12-06-2026

HF Foods Group Inc. announced on June 11, 2026, that it has adopted a limited duration stockholder rights plan, as disclosed in an 8-K filing on June 12, 2026. The plan is intended to protect shareholder interests, but no specific financial metrics or performance data were provided in the filing.

• · The rights plan is of limited duration, though the exact term was not specified in the filing.
• · The press release was issued under Item 7.01 Regulation FD Disclosure and is not deemed filed for SEC purposes.
• · The filing date is June 12, 2026, with the event occurring on June 11, 2026.

12-06-2026

Qorvo, Inc. entered into supplemental indentures to amend its 4.375% Senior Notes due 2029 and 3.375% Senior Notes due 2031, eliminating substantially all restrictive covenants, certain affirmative covenants, and certain events of default, in connection with its pending acquisition by Skyworks Solutions, Inc. The amendments received the requisite consents from noteholders as of June 11, 2026, but will only become operative immediately prior to the consummation of the mergers or upon settlement of the exchange offers, and will cease to be operative if the mergers are not consummated.

• · The supplemental indentures were entered into on June 11, 2026, and are effective but the amendments will not become operative until immediately prior to the consummation of the mergers or upon settlement of the exchange offers.
• · The amendments will cease to be operative if the mergers are not consummated.
• · The exchange offers are being made pursuant to Skyworks' Registration Statement on Form S-4 (File No. 333-296084), declared effective on May 29, 2026.

12-06-2026

Skyworks Solutions, Inc. announced on June 11, 2026, the results of early participation in its exchange offers and consent solicitations for Qorvo's outstanding 4.375% Senior Notes due 2029 and 3.375% Senior Notes due 2031, as part of its proposed merger with Qorvo. The filing includes forward-looking statements highlighting risks such as trade protection measures, reliance on key customers, and integration challenges. No specific financial figures or participation results were disclosed in the 8-K, but the press release is incorporated by reference.

• · The exchange offers cover any and all of Qorvo's outstanding 4.375% Senior Notes due 2029 and 3.375% Senior Notes due 2031.
• · Skyworks filed a registration statement on Form S-4 with the SEC, which includes a proxy statement/prospectus for the merger.
• · The filing includes a safe harbor statement with extensive forward-looking risk factors, including trade war, tariffs, and integration risks.

12-06-2026

Richtech Robotics Inc. (RR) disclosed on June 9, 2026 that its previously issued audited financial statements for fiscal years 2024 and 2025, and unaudited interim statements for periods in 2024 and 2025, should no longer be relied upon due to accounting errors related to warrant liabilities, a Standby Equity Purchase Agreement (SEPA), and restricted stock awards. The restatement is expected to involve primarily non-cash adjustments and is not expected to affect cash position or operating cash flows, but the company also revealed that a previously reported material weakness in internal control over financial reporting was not actually remediated as previously stated.

• · The errors were discovered during the review of the March 31, 2026 financial statements by the new independent auditor, CBIZ CPAs P.C.
• · The company expects to file an amended Annual Report on Form 10-K/A for fiscal year 2025 and an amended Form 10-Q/A for the quarter ended December 31, 2025.
• · The company previously reported a material weakness in internal control over financial reporting as of September 30, 2025, and now expects to report an additional material weakness relating to financial instruments.
• · The company had previously indicated in the Form 10-Q for the quarter ended December 31, 2025 that the material weakness was remediated, but it has not been remediated.

12-06-2026

Southern Cross Acquisition I Corp. filed an S-1 registration statement on June 11, 2026, for an IPO of 10,000,000 units at $10.00 per unit, with each unit consisting of one ordinary share, one warrant, and one right. The company has issued 2,875,000 founder shares to its sponsor for $25,000 (approximately $0.0087 per share) and plans to sell 224,300 private units to the sponsor simultaneously with the offering. The warrants have an exercise price of $11.50 per share and are redeemable at $0.01 per warrant if the share price exceeds $18.00 for 20 trading days within a 30-day period, while rights entitle holders to one-fourth of an ordinary share upon a business combination. However, if no business combination is completed within the required timeframe, rights will expire worthless and holders will receive no trust proceeds.

• · Warrants become exercisable 30 days after business combination or 1 year from effective date, expire 5 years after business combination.
• · Warrant exercise price adjusted to 115% of higher of Market Price or Newly Issued Price if certain conditions are met (issuance below $9.20 per share, proceeds >60% of total, Market Price <$9.20).
• · Rights automatically convert to 1/4 ordinary share upon business combination; if company is not the survivor, holders must affirmatively convert.
• · If no business combination completed within required time, rights expire worthless and holders receive no trust proceeds.
• · Founder shares represent 20% of post-offering shares (excluding private and representative shares).
• · Sponsor may purchase up to 239,300 private units if over-allotment is exercised in full.

12-06-2026

First Carolina Financial Services, Inc. filed an S-1/A registration statement for its initial public offering. The company highlights significant risks related to internal controls, as it has not yet performed an evaluation under Section 404 of the Sarbanes-Oxley Act and may have unidentified material weaknesses. Additionally, as an emerging growth company, it will utilize reduced disclosure requirements, which could make its stock less attractive to investors.

• · The company opened branches in Columbia, South Carolina, and Atlanta, Georgia, in 2022, and a branch in Greenville, South Carolina, in 2023, but provides no assurance these will become profitable.
• · The company has not performed an evaluation of internal control over financial reporting under Section 404 of the Sarbanes-Oxley Act as of any balance sheet date reported in its financial statements.
• · The company will have broad discretion in allocating net proceeds from the offering for general corporate purposes, including organic growth, potential acquisitions, refinancing of debt, and working capital.
• · The company would cease to be an emerging growth company upon the earliest of: (i) the fifth anniversary of the offering; (ii) annual gross revenues of $1.235 billion or more; (iii) issuance of more than $1 billion in non-convertible debt over three years; or (iv) becoming a large accelerated filer.
• · The company relies heavily on its senior management team, and the unexpected loss of any key personnel could adversely affect operations.

12-06-2026

Galiano Gold Inc. filed a Form 6-K with the SEC on June 12, 2026, submitting its news release dated June 11, 2026, and the voting results from its Annual General and Special Meeting. The filing includes standard corporate governance updates and meeting outcomes, with no specific financial results or operational metrics disclosed.

• · The filing includes a news release dated June 11, 2026, and an Annual General and Special Meeting Voting Results Report.
• · The report is signed by Matthew Freeman, Chief Financial Officer, on June 11, 2026.
• · The company files annual reports under Form 40-F.