US Pre-Market SEC Filings Roundup — June 29, 2026

29-06-2026

Capstone Holding Corp. filed an S-1 registration statement on June 26, 2026, to register 3,000,000 shares of common stock for resale by the selling stockholder under the Tumim Purchase Agreement. The company faces substantial doubt about its ability to continue as a going concern due to recurring losses, negative working capital, and upcoming debt maturities. While management believes its operating plans and equity line of credit are sufficient, the company may still need additional capital beyond the potential $3.75 million from convertible notes with 3i, LP and the $20.0 million Tumim facility, which is subject to significant dilution and market conditions.

• · The S-1 registers 3,000,000 shares for resale, in addition to 5,190,251 shares previously registered in June 2025.
• · Only 1,752,148 shares have been issued under the Tumim Purchase Agreement as of June 18, 2026, out of a total potential of 7,975,197 registered shares (excluding Commitment Shares).
• · The company may receive up to $3.75 million in gross proceeds from convertible notes with 3i, LP, but this is not guaranteed.
• · The Tumim Purchase Agreement has a 24-month term starting from the effective date of the registration statement.
• · Management has broad discretion over the use of proceeds, which may not improve financial condition or market value.
• · The selling stockholder is not restricted on sale prices, which could be below market and further depress stock price.
• · Future equity or debt issuances could cause additional dilution and negatively impact stock price.

29-06-2026

Creative Realities, Inc. announced a proposed public underwritten offering of common stock and pre-funded warrants, with Craig-Hallum as sole managing underwriter. Concurrently, the company provided preliminary Q2 2026 revenue guidance of $21.0M-$23.0M and Adjusted EBITDA of $2.0M-$2.2M (approximately 10% margin). The offering proceeds are intended for working capital, debt paydown, and potential acquisitions, but the offering is subject to market conditions and there is no assurance of completion.

• · The offering includes common stock and pre-funded warrants; the underwriter has a 30-day option to purchase up to an additional 12.5% of shares offered.
• · The shelf registration statement (Form S-3, No. 333-296498) has been declared effective by the SEC.
• · Preliminary Q2 2026 results are unaudited and subject to change; Grant Thornton LLP and PwC have not audited or reviewed these estimates.
• · The company's forward-looking statements caution that actual results may differ materially due to risks including integration of the CDM acquisition, debt obligations, and market conditions.
• · No prior period comparisons are provided for the preliminary Q2 2026 estimates.

29-06-2026

U.S. GoldMining Inc. entered into a securities purchase agreement to sell 522,876 shares at $7.65 per share in a registered direct offering, expecting gross proceeds of $4.0 million. The offering is set to close on June 29, 2026, with net proceeds used for working capital and general corporate purposes.

• · The shares are offered under an effective shelf registration statement on Form S-3 (File No. 333-279435) filed on May 15, 2024, and declared effective on May 28, 2024.
• · The Purchase Agreement includes customary representations, warranties, and covenants, as well as indemnification for the Investor.
• · The legal opinion of Haynes and Boone, LLP regarding the validity of the shares is filed as Exhibit 5.1.

29-06-2026

BIOTRICITY INC. filed a Form NT 10-K on June 29, 2026, indicating that its annual report (Form 10-K) for the period ended March 31, 2026, will be delayed. The company cites time constraints related to the compilation, dissemination, and review of required information as the reason for the late filing, but expects to file within the 15-day grace period. No significant change in results of operations is anticipated.

• · The filing is a late filing notice (NT 10-K) for the annual report due for the period ended March 31, 2026.
• · The registrant has filed all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months.
• · The registrant does not anticipate any significant change in results of operations from the corresponding period for the last fiscal year.
• · The report is expected to be filed no later than 15 calendar days after the original prescribed due date.

29-06-2026

Prestige Consumer Healthcare Inc. filed its definitive proxy statement for the 2026 Annual Meeting of Stockholders, highlighting fiscal 2026 as a defining year with the acquisition of Breathe Right® and strong free cash flow generation. However, the company faced macroeconomic volatility, geopolitical uncertainty, and supply chain disruptions in its eye care business. The board recommends electing six director nominees, approving executive compensation on an advisory basis, and ratifying PricewaterhouseCoopers LLP as auditor.

• · The 2026 Annual Meeting will be held on August 4, 2026 at 10:00 a.m. Eastern Daylight Time at the Company's offices in Tarrytown, New York.
• · Stockholders of record as of June 10, 2026 are entitled to vote.
• · The deadline to vote electronically or by telephone is 11:59 p.m. Eastern Daylight Time on August 3, 2026.
• · The proxy statement and proxy card are first being mailed or given to stockholders on or about June 29, 2026.
• · The company's fiscal year ended March 31, 2026.
• · The company experienced supply chain disruptions in its eye care business during fiscal 2026.

29-06-2026

AstraZeneca and Daiichi Sankyo's Datroway (datopotamab deruxtecan) received a positive CHMP opinion recommending EU approval as first-line monotherapy for metastatic triple-negative breast cancer (TNBC) patients ineligible for immunotherapy. The recommendation is based on the TROPION-Breast02 Phase III trial, which showed a statistically significant 5.0-month improvement in median overall survival (23.7 vs 18.7 months) and a 43% reduction in risk of progression or death versus chemotherapy. However, TNBC remains aggressive with only 15% of metastatic patients surviving beyond five years, and the drug's safety profile was consistent with prior studies.

• · Datroway was approved in the US in May 2026 for the same TNBC indication.
• · Additional regulatory reviews are underway in China, Japan, Australia, Canada, Singapore, and Switzerland as part of Project Orbis.
• · The TROPION-Breast02 trial enrolled 644 patients across Africa, Asia, Europe, North America, and South America.
• · Datroway is also approved in over 40 countries for HR-positive, HER2-negative breast cancer.
• · The drug is being evaluated in more than 20 trials across multiple cancers, including eight Phase III lung cancer trials and five Phase III breast cancer trials.

29-06-2026

MINISO Group filed an amended annual report (20-F/A) on June 29, 2026, incorporating exhibits such as material agreements (Dairy Farm/Jingdong share purchase agreements, trust deed for $550M 0.5% equity-linked securities due 2032), corporate governance documents, and SOX certifications. The filing does not disclose new financial data; it primarily updates exhibit lists and consents for the fiscal year.

• · The filing amends the annual report for the fiscal year ended June 30, 2025 (original filed April 24, 2025).
• · Exhibits added include updated subsidiary list (8.1), certifications under SOX Sections 302 and 906, and consent letters from auditors and legal counsel.
• · The trust deed for US$550M 0.5% equity-linked securities due 2032 is incorporated by reference.

29-06-2026

Li Auto Inc. filed a Form 6-K with the SEC for June 2026, attaching Next Day Disclosure Returns dated June 22, 24, 25, and 26, 2026. The filing is a routine foreign issuer report and does not contain any financial results or material operational updates.

• · The filing includes four Next Day Disclosure Returns dated June 22, 24, 25, and 26, 2026.
• · The report is signed by Director and CFO Tie Li.
• · No financial data, performance metrics, or forward-looking statements are provided in this filing.

29-06-2026

Inhibikase Therapeutics, Inc. filed an 8-K on June 29, 2026, reporting amendments to its Certificate of Incorporation to limit personal liability of directors and officers to the fullest extent permitted by Delaware law, and to expand indemnification rights. The amendments were approved by stockholders at the annual meeting and became effective June 26, 2026. No financial figures were disclosed in this filing.

• · The amendment to Article IX of the Certificate of Incorporation eliminates personal liability of directors and officers for monetary damages for breach of fiduciary duty, to the fullest extent permitted by the DGCL.
• · The amendment also provides mandatory indemnification for directors and officers, and permissive indemnification for other employees and agents.
• · The amendment does not eliminate or reduce the effect of Article IX for matters occurring prior to the amendment.
• · The filing was made under Items 5.02 (Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers), 5.03 (Amendments to Articles of Incorporation or Bylaws), and 5.07 (Submission of Matters to a Vote of Security Holders).

29-06-2026

VivoPower PLC announced on June 29, 2026 that it has selected a global AI industry leader as the preferred long-term tenant for its Mo i Rana AI data center in northern Norway. The selection followed a competitive process and the counterparty was deemed superior across commercial terms, financial strength, operational alignment, strategic fit, and expansion optionality. Discussions have expanded beyond the Mo i Rana site to include VivoPower's wider powered land and data center development pipeline across multiple jurisdictions. The company expects to finalize legal documentation and disclose the counterparty's identity and material commercial terms in the near term, subject to execution of definitive agreements.

• · The preferred AI tenant is a global AI industry leader selected from a competitive field of prospective tenants.
• · Expansion capacity of 40 MW may be energized within 18 to 24 months, subject to regulatory approval.
• · The Mo i Rana data center is powered by 100% renewable hydroelectric energy at a cost below US$0.05/kWh.
• · Additional arrangements under negotiation relate to VivoPower's wider powered land and data center development pipeline across multiple jurisdictions.
• · There is no assurance that a definitive lease will be entered into until binding documentation is executed.

29-06-2026

AXIA Energia S.A. announced a related-party transaction on June 26, 2026, involving the assignment of rights to use Optical Ground Wire (OPGW) cables and associated transmission infrastructure to its wholly-owned subsidiary Eletronet S.A. for telecommunications services. The agreement, executed on June 18, 2026, has a total value of BRL 125,099,251.20 and a 20-year term, with terms supported by an independent arm's-length study and compliance with ANEEL regulations.

• · The agreement complies with ANEEL Normative Resolution No. 1,044/2022 and Joint Resolution No. 1 (November 24, 1999) from ANEEL, ANATEL, and ANP.
• · The transaction was approved based on an arm's-length study prepared by an independent consulting firm.
• · Eletronet's request for fiber sharing was made in accordance with regulatory provisions.

29-06-2026

Decoy Therapeutics, Inc. announced a PIPE financing with a single healthcare-focused institutional investor, expected to provide $3.5 million in upfront gross proceeds at $5.91 per share, with potential additional proceeds of up to $17.5 million from milestone-based warrants. The company intends to use net proceeds to advance its lead asset into clinical trials. The offering is expected to close on June 29, 2026.

• · Purchase price per share: $5.91
• · Series A warrant exercise triggers: shareholder approval and filing of Clinical Trial Application in EEA for Phase 1 trial
• · Series B warrant exercise triggers: shareholder approval and MHRA approval for Phase 2a human challenge trial in UK
• · Series C warrant exercise triggers: shareholder approval and public announcement of positive Phase 2a data from UK trial
• · Registration rights agreement: file resale registration statement within 15 days after closing, use best efforts for effectiveness within 90 days (or 90 days after full review)
• · Placement agent: Curvature Securities LLC
• · Offering exempt from registration under Section 4(a)(2) and/or Regulation D

29-06-2026

Volato Group, Inc. entered into a Securities Purchase Agreement on June 28, 2026, to sell 11,038,767 shares of Class A common stock at $0.165 per share in a registered direct offering, expecting gross proceeds of approximately $1.82M. The offering is subject to NYSE American approval. Additionally, director Alan Gaines resigned on June 24, 2026, to avoid potential conflicts as the company explores AI and digital infrastructure transactions.

• · The offering is a registered direct offering without a placement agent or underwriter, so no underwriting discounts or commissions are paid.
• · The company agreed to a 30-day lock-up on issuing additional shares or filing registration statements (except for employee benefit plans) and a 9-month restriction on Variable Rate Transactions.
• · The Purchase Agreement includes customary representations, warranties, and indemnification provisions.
• · The offering is made under an effective shelf registration statement on Form S-3 (File No. 333-290219) filed on September 12, 2025 and declared effective on September 30, 2025.
• · Alan Gaines resigned as director effective June 24, 2026, following the termination of the merger agreement with M2i Global, Inc. on June 4, 2026.
• · The company stated its intent to seek potential transactions in the AI and digital infrastructure sector after the merger termination.

29-06-2026

Goldenwell Biotech, Inc. reported a net loss of $96,731 for the nine months ended September 30, 2025, an improvement from a net loss of $103,962 in the same period of 2024. However, the company generated zero revenue in both the three- and nine-month periods of 2025, compared to $297 in sales and $149 gross profit in the prior-year nine-month period. Cash decreased to $45,622 from $49,404 at year-end 2024, and stockholders' equity worsened to a deficit of $143,974 from a deficit of $47,241.

• · No revenue was generated in the three- or nine-month periods of 2025, compared to $297 in sales and $149 gross profit in the prior-year nine-month period.
• · General and administrative expenses decreased 9.5% to $90,431 in the nine months ended September 30, 2025 from $99,911 in the same period of 2024.
• · Interest expense increased 50% to $6,300 in the nine months ended September 30, 2025 from $4,200 in the prior-year period.
• · Cash used in operating activities improved to $3,781 in the nine months ended September 30, 2025 from $97,726 in the prior-year period, primarily due to a $100,000 increase in unearned service revenue.
• · No financing activities occurred in the nine months ended September 30, 2025, compared to $49,250 in proceeds from long-term loan in the prior-year period.
• · Net operating loss carry forward increased to $305,839 as of September 30, 2025 from $285,525 at December 31, 2024.
• · The company had no deferred tax assets due to a full valuation allowance.

29-06-2026

Shinhan Financial Group filed a 6-K on June 29, 2026 in response to media reports that it is pursuing the acquisition of Lotte Insurance. The company confirmed it is reviewing various measures to enhance non-bank competitiveness but stated no final decision has been made regarding the acquisition. An additional disclosure will be provided within one month.

• · Disclosure triggered by a June 29, 2026 article in The Korea Economic Daily titled 'Strengthening insurance sector reform, Shinhan Financial pursues acquisition of Lotte Insurance'.
• · Shinhan is reviewing measures to enhance non-bank competitiveness, but no decision on the acquisition has been finalized.
• · Additional disclosure will be made once details are determined or within one month.

29-06-2026

Amneal Pharmaceuticals, Inc. filed a definitive proxy statement (DEFM14A) related to a merger or acquisition transaction. The filing details extensive post-closing obligations for the buyer, including employee retention and benefit continuity for at least one year, and a retention bonus program extending to September 1, 2028. The agreement also includes exclusivity provisions preventing the sellers from soliciting other acquisition proposals, and requires the buyer to obtain a representation and warranty insurance policy with a waiver of subrogation rights against the sellers except in cases of fraud.

• · The buyer must obtain a representation and warranty insurance policy (RW Policy) with a waiver of subrogation rights against the sellers except in cases of fraud.
• · The sellers are bound by an exclusivity clause prohibiting solicitation of other acquisition proposals until the earlier of agreement termination or closing.
• · The company must deliver audited financial statements for fiscal years ended December 31, 2025 and 2024 by May 31, 2026.
• · Retained employees will receive credit for prior service with the company for eligibility and vesting under post-closing benefit plans.
• · The company's 401(k) plan (Kashiv Biosciences, LLC 401(k) Plan) must be terminated or transferred prior to closing unless the buyer requests otherwise.

29-06-2026

Picard Medical, Inc. appointed Dr. Joe Xiao to its Board of Directors on June 23, 2026, with a term expiring at the 2026 annual meeting. Dr. Xiao will also serve on the Audit, Compensation, and Nominating and Corporate Governance Committees. No material transactions or arrangements were disclosed in connection with his appointment.

• · Dr. Xiao was appointed to the Audit Committee, Compensation Committee, and Nominating and Corporate Governance Committee.
• · Dr. Xiao entered into the Company's standard indemnification agreement for directors.
• · Compensation will follow the non-employee director policy described in the proxy statement filed June 15, 2026.
• · No arrangements or understandings exist between Dr. Xiao and any other person regarding his selection.
• · No transactions requiring disclosure under Item 404(a) of Regulation S-K were identified.

29-06-2026

Zhihu Inc. filed a Form 6-K with the SEC for June 2026, attaching Next Day Disclosure Returns dated June 22-26, 2026. The filing is a routine foreign issuer report with no financial results or material events disclosed.

• · The filing includes Next Day Disclosure Returns for five consecutive days: June 22, 23, 24, 25, and 26, 2026.
• · The report is signed by CFO Han Wang on June 29, 2026.

29-06-2026

United Microelectronics Corporation (UMC) filed a Form 6-K with the SEC on June 29, 2026, as a routine foreign issuer report under Rule 13a-16, signed by CFO Chitung Liu. The filing includes an exhibit (99.1) titled '6K on 06/29/2026', though no substantive financial or operational data is disclosed in this cover document.

• · Filing is a cover Form 6-K with no financial results, no quantitative data, and no operational disclosures.
• · The registrant indicates it files annual reports on Form 20-F.
• · Exhibit 99.1 is referenced but not detailed in the cover document.

29-06-2026

Realty Income Corporation disclosed total available liquidity of approximately $4.0 billion as of June 25, 2026, comprising cash, credit facility availability, and unsettled ATM forwards, net of commercial paper borrowings. The company also reported an $800.0 million senior unsecured note issuance in April 2026 and a new ATM program authorizing up to 150.0 million shares, indicating continued access to capital markets while managing existing debt obligations.

• · Total liquidity components: cash $242.4M, credit facility availability $3,472.1M, unsettled ATM forwards $2,056.8M, less commercial paper borrowings $1,759.8M
• · Cash and cash equivalents per balance sheet was $256.8M, with adjustments for unconsolidated entities (+$9.9M) and noncontrolling interests (-$24.3M)
• · New ATM program authorizes up to 150.0 million shares of common stock
• · The 2033 notes were issued at 98.261% of par for an effective semi-annual yield of 5.047%
• · Cross currency swap on $500M notional converted USD to approximately €436M, reducing blended coupon to 4.16%
• · The revolving credit facility has a $4.0B capacity plus a $1.0B expansion option; the fund credit facility has a $1.0B revolver and $380.0M delayed draw term loan plus a $620.0M expansion option

29-06-2026

Takeda Pharmaceutical Company Limited filed a Form 6-K with the SEC on June 29, 2026, submitting its Articles of Incorporation as an exhibit. The report was signed by Chief Accounting Officer and Corporate Controller Norimasa Takeda. No financial or operational updates were provided.

29-06-2026

GSR V Acquisition Corp. reported a net loss of $56,685 for Q1 2026, widening from a net loss of $20,982 in the prior period. Total assets increased to $75,916 from $4,548, driven by deferred offering costs, while total liabilities rose to $128,583 from $530. The company remains a shell with no revenue and negative shareholder equity of ($52,667).

• · Deferred offering costs increased from $530 to $74,958, reflecting IPO-related expenses.
• · Accounts payable and accrued expenses rose from $530 to $113,583.
• · Due to related party was $15,000 at March 31, 2026, compared to $0 at December 31, 2025.
• · General and administrative expenses for Q1 2026 were $56,685.
• · The company had no cash at either period end.
• · Net cash used in operating activities was $15,000, offset by $15,000 from financing activities (expenses paid by sponsor).
• · Noncash financing activities included $74,428 of deferred offering costs in accounts payable.
• · The company is a shell company and an emerging growth company.

29-06-2026

HiTek Global Inc. (HKIT) filed a 6-K foreign issuer report on June 29, 2026, detailing corporate governance and tax exemption provisions under Cayman Islands and BVI law. The filing includes procedures for dissenter appraisal rights, a 20-year tax exemption from the Cayman Islands, and BVI tax exemptions on dividends, capital gains, and stamp duty. No financial results or operational updates were provided.

• · The company was incorporated in the Cayman Islands on November 3, 2017 as an exempted company with limited liability.
• · Books of account must be retained for a minimum of five years from the date they are prepared.
• · BVI tax exemptions apply to dividends, interest, rents, royalties, compensation, and capital gains for non-residents.
• · No withholding taxes or exchange control regulations currently exist in the BVI applicable to the company or its members.

29-06-2026

Niagen Bioscience, Inc. (formerly ChromaDex Corp.) filed an S-3 registration statement with the SEC on June 29, 2026, to register an unspecified amount of securities for future sale. The company will retain broad discretion over the use of proceeds, intending them for general corporate purposes including capital expenditures, working capital, debt repayment, and potential acquisitions. As of March 31, 2026, the company had 79,624,227 shares of common stock outstanding out of 150,000,000 authorized shares.

• · The company is subject to Section 203 of the Delaware General Corporation Law, which restricts business combinations with interested stockholders for three years.
• · The company's charter and bylaws include anti-takeover provisions such as no cumulative voting, no stockholder action by written consent, and advance notice requirements for stockholder proposals.
• · The exclusive forum provision designates the Court of Chancery of the State of Delaware for certain internal disputes, but does not apply to claims under the Securities Act or Exchange Act.

29-06-2026

Brera Holdings PLC (SLMT) held its annual general meeting on June 29, 2026, where all five director nominees were re-elected with majority support (61.80% to 69.33% of votes cast). The appointment of Reliant CPA PC as the independent auditor for fiscal year 2026 was ratified with 99.08% approval. However, a significant minority of shareholders (approximately 38%) voted against four of the five director nominees, indicating notable dissent.

• · Erez Simha received the highest support among nominees with 69.33% of votes for.
• · The auditor ratification received near-unanimous support (99.08% for).
• · Four of the five director nominees faced approximately 38% opposition, suggesting shareholder dissatisfaction with the board.

29-06-2026

Orion Digital Corp. (formerly Mogo Inc.) filed a Form 6-K with the SEC on June 29, 2026, disclosing that it received a Nasdaq notification regarding a minimum bid price deficiency. The filing includes a press release dated June 26, 2026, and is signed by President & CFO Gregory Feller.

• · The company received a Nasdaq notification regarding a minimum bid price deficiency.
• · The filing was made under Form 6-K as a foreign private issuer.
• · The company's name changed from Mogo Inc. to Orion Digital Corp.

29-06-2026

Boxlight Corp is reconvening its annual meeting on July 23, 2026, to vote on a proposal to increase authorized Class A common shares to 55,000,000, after correcting the voting standard from a majority of outstanding shares to a majority of votes cast. The company also executed a 1-for-6 reverse stock split effective June 22, 2026, reducing authorized Class A shares from 4,166,667 to 694,445. While three other proposals were already approved at the original meeting, the adjourned proposal faces a lower approval threshold, but the reverse split signals ongoing capital structure challenges.

• · Original Proposals 1, 2, and 4 were approved at the June 2, 2026 meeting; only Proposal 3 (now Proposal 1) remains for vote.
• · Voting standard corrected from majority of outstanding shares to majority of votes cast for the share increase proposal.
• · Reverse stock split ratio was 1-for-6, effective June 22, 2026.
• · New record date for reconvened meeting is June 22, 2026.
• · Stockholders must re-register for the virtual meeting even if previously registered.
• · Proxy voting deadline is July 22, 2026 at 11:59 PM Eastern Time.

29-06-2026

AB Bond Fund, Inc. filed definitive additional proxy materials (DEFA14A) on June 29, 2026, soliciting stockholder votes for a Joint Meeting of Stockholders scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve new investment advisory agreements with AllianceBernstein L.P. because the pending merger between Equitable (majority owner of AB) and Corebridge Financial may constitute an assignment of the current advisory agreement. The Board unanimously recommends a vote FOR all proposals, and the new agreements will not increase fees or change portfolio management.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders can vote online, by phone with a live agent (1-800-407-2279 or 800-311-1512), or by mail.
• · Proxy solicitation is being handled by Sodali Fund Solutions.
• · Voting forms will be mailed/emailed on or about a date to be determined; outbound calls to non-voters will begin on a date to be determined.
• · The merger between Equitable and Corebridge Financial is the trigger for the new advisory agreement vote.
• · The new investment advisory agreement will not change contractual investment advisory fees, portfolio management, or the nature/quality of services.
• · All proxy communications will stop within 3 business days of voting.
• · The toll-free number will be deactivated after the meeting concludes.

29-06-2026

AB Institutional Funds Inc. filed definitive additional proxy materials (DEFA14A) on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve new investment advisory agreements with AllianceBernstein L.P. (AB) because the proposed merger between Equitable (AB's majority owner) and Corebridge Financial may trigger an assignment of the current advisory agreement. The Board unanimously recommends a vote FOR all proposals, and the new agreements will not increase advisory fees or change portfolio management.

• · Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Proxy voting forms will be mailed/emailed on or about a date not specified in the filing.
• · Outbound calls to non-voting stockholders will begin on a date not specified.
• · Stockholders can vote online, by phone (1-800-407-2279 or 1-800-413-7186 or 800-311-1512), or by mail.
• · Sodali Fund Solutions is the proxy solicitor, reachable at 888-905-7704 or 800-311-1512.
• · Voting hours: Monday–Friday 10:00 a.m. to 11:00 p.m. ET; Saturday 12:00 p.m. to 5:00 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The merger between Equitable and Corebridge Financial may constitute an assignment of the current investment advisory agreement.
• · The new investment advisory agreement will NOT increase fees.
• · Funds' investment objectives, strategies, and portfolio managers will remain unchanged.
• · Reference website for all materials: https://proxyvotinginfo.com/p/alliancebernstein2026.

29-06-2026

Bernstein Fund Inc filed DEFA14A definitive additional proxy materials on June 29, 2026, related to a Joint Meeting of Stockholders scheduled for August 3, 2026. Stockholders will vote to elect eight directors/trustees and approve new investment advisory agreements with AllianceBernstein L.P., necessitated by the pending merger between Equitable and Corebridge Financial which may constitute an assignment of the current advisory agreement. The Board unanimously recommends a vote FOR all proposals, and the new agreements are not expected to result in any fee increases or changes to portfolio management or investment strategies.

• · The filing includes scripts and letters for proxy solicitation via phone, email, and mail.
• · Stockholders can vote online, by phone with a live agent (1-800-407-2279 or 800-311-1512), or by mail.
• · Sodali Fund Solutions is the proxy solicitor engaged by AllianceBernstein.
• · Proxy materials are available at https://proxyvotinginfo.com/p/alliancebernstein2026.
• · The merger between Equitable and Corebridge Financial triggered the need for new advisory agreements because the current agreement terminates upon assignment, including transfer of a controlling block of AB voting securities.
• · No management fee increase is proposed under the new advisory agreements.

29-06-2026

AB Cap Fund, Inc. filed definitive additional proxy materials (DEFA14A) urging stockholders to vote on a new investment advisory agreement with AllianceBernstein L.P. and the election of eight directors/trustees at a Joint Meeting of Stockholders scheduled for August 3, 2026. The vote is required because Equitable's merger with Corebridge Financial may constitute an assignment of the current advisory agreement, triggering automatic termination. The Board unanimously recommends a vote FOR all proposals, and the filing emphasizes that the new agreement will NOT increase fees, change investment objectives, strategies, or portfolio managers.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders can vote online via QR code, by phone with a live agent (1-800-407-2279 or 800-311-1512), or by mailing a proxy card.
• · Proxy solicitation is being handled by Sodali Fund Solutions, with hours Monday–Friday 10:00 a.m.–11:00 p.m. ET and Saturday 12:00 p.m.–5:00 p.m. ET.
• · The merger between Equitable and Corebridge Financial is the underlying transaction triggering the need for a new advisory agreement.
• · The filing includes scripts for inbound/outbound calls and voicemails to be used by proxy solicitors.

29-06-2026

AB Core Opportunities Fund, Inc. filed DEFA14A definitive additional proxy materials on June 29, 2026, soliciting stockholder votes for a Joint Meeting on August 3, 2026. Stockholders are asked to elect eight directors and approve a new investment advisory agreement with AllianceBernstein L.P. due to a merger between Equitable and Corebridge Financial that may trigger an assignment of the current agreement. The Board unanimously recommends a vote FOR all proposals, and no fee increase is expected.

• · Meeting date: August 3, 2026
• · Proxy solicitor: Sodali Fund Solutions (toll-free 800-311-1512)
• · Voting deadline: before meeting; calls/mailings stop within 3 business days of voting
• · No management fee increase is proposed
• · Investment objectives, strategies, and portfolio managers remain unchanged

29-06-2026

AB Sustainable Global Thematic Fund, Inc. filed definitive additional proxy materials (DEFA14A) on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. due to the pending merger between Equitable (majority holder of AB) and Corebridge Financial, which may trigger an assignment clause. The Board unanimously recommends a vote FOR all proposals, and the new agreement will not increase fees or change portfolio management.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement.
• · The new agreement is required because the Equitable-Corebridge merger may constitute an assignment of the current advisory agreement.
• · The Board unanimously recommends a vote FOR all proposals.
• · The new investment advisory agreement will NOT increase fees.
• · Funds' investment objectives, strategies, and portfolio managers will remain unchanged.
• · Proxy solicitor Sodali Fund Solutions is handling the solicitation; contact numbers include 888-905-7704, 800-407-2279, and 800-311-1512.
• · Voting can be done online, by phone with a live agent, or by mail.
• · All proxy communications will stop within 3 business days after voting.

29-06-2026

AB Global Risk Allocation Fund, Inc. is soliciting shareholder approval for a new investment advisory agreement with AllianceBernstein L.P. (AB) and the election of eight directors/trustees at a Joint Meeting of Stockholders scheduled for August 3, 2026. The vote is required because the merger of Equitable (majority holder of AB) with Corebridge Financial may constitute an assignment of the current advisory agreement, triggering automatic termination. The Board unanimously recommends voting FOR all proposals, and the new agreement will not increase fees, change investment strategies, or alter portfolio management teams.

• · The meeting is scheduled for August 3, 2026.
• · Shareholders can vote online, by phone (1-800-407-2279 or 800-311-1512), or by mail.
• · Proxy solicitor Sodali Fund Solutions is handling outreach; calls and mailings will stop within 3 business days of voting.
• · The merger between Equitable and Corebridge Financial is the trigger for the required advisory agreement vote.
• · The new advisory agreement will not change contractual investment advisory fees, portfolio management, or the nature/quality of services.

29-06-2026

AB LARGE CAP GROWTH FUND INC filed DEFA14A definitive additional materials to solicit stockholder votes for a Joint Meeting on August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve new investment advisory agreements due to a merger between Equitable and Corebridge Financial that may cause an assignment of the current agreement. The Board unanimously recommends voting FOR all proposals, and no fee increases or changes to investment strategies or portfolio managers are expected.

• · Meeting date: August 3, 2026
• · Proxy solicitor: Sodali Fund Solutions (toll-free 800-311-1512)
• · Voting deadline: before meeting; calls/mailings stop within 3 business days of voting
• · No fee increase; investment objectives, strategies, and portfolio managers remain unchanged
• · Current advisory agreement automatically terminates upon assignment; merger may constitute assignment

29-06-2026

AB Active ETFs, Inc. is soliciting stockholder votes for a Joint Meeting scheduled on August 3, 2026, to elect eight directors/trustees and, more critically, to approve new investment advisory agreements with AllianceBernstein L.P. The vote is necessary because the merger of Equitable (AB's majority owner) with Corebridge Financial could cause an automatic termination of the current advisory agreement under an 'assignment' clause. The Board unanimously recommends a vote FOR all proposals, noting that the merger is not expected to change advisory fees, portfolio management, or service quality.

• · Equitable and Corebridge Financial have entered into a merger agreement; Equitable holds a majority of partnership interests in AB.
• · The current investment advisory agreement terminates automatically in the event of an assignment, which a transfer of a controlling block of AB voting securities would constitute.
• · The new advisory agreement approval is needed solely to ensure continuation of services; no changes to contractual advisory fees, portfolio management, or service quality are expected.
• · Shareholders can vote online, by phone with a live agent (Sodali Fund Solutions: 1-800-407-2279 for inbound, 800-311-1512 for outbound), or by returning the mailed proxy card.
• · All proxy communications will cease within 3 business days of a shareholder voting.
• · The definitive proxy statement and all materials are available at https://proxyvotinginfo.com/p/alliancebernstein2026.
• · Sodali Fund Solutions operating hours: Mon-Fri 10:00 a.m.–11:00 p.m. ET; Sat 12:00 p.m.–5:00 p.m. ET.

29-06-2026

AB Discovery Growth Fund, Inc. filed definitive additional proxy materials (DEFA14A) on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. because the pending merger between Equitable (majority holder of AB) and Corebridge Financial may constitute an assignment of the current agreement. The Board unanimously recommends a vote FOR all proposals, and the new agreement will not increase fees or change portfolio management.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Proxy voting forms will be mailed/emailed on or about a date not specified in the filing.
• · Outbound calls to non-voting stockholders will begin on a date not specified.
• · Stockholders can vote online, by phone (1-800-407-2279 or 800-311-1512), or by mail.
• · Sodali Fund Solutions is the proxy solicitor, reachable at 888-905-7704 or 800-311-1512.
• · Voting hours: Mon–Fri 10:00 a.m. to 11:00 p.m. ET; Sat 12:00 p.m. to 5:00 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The merger between Equitable and Corebridge Financial is the trigger for the new advisory agreement vote.
• · The new investment advisory agreement will NOT increase fees, change investment objectives/strategies, or change portfolio managers.

29-06-2026

Petrobras has received the second installment of the Economic Subvention Program for diesel commercialization in the amount of R$ 170 million (approximately $30.9 million), covering a five-day period in April 2026 under Provisional Measure No. 1,340. This government subsidy payment supports the company's diesel marketing activities, although the filing provides no comparative prior period data for context.

• · The payment covers the period from April 1 to April 6, 2026.
• · The program is regulated by Provisional Measure No. 1,340.
• · The filing was submitted as a Form 6-K to the SEC for the month of June 2026.

29-06-2026

AB Corporate Shares filed a DEFA14A definitive additional proxy statement soliciting stockholder approval for a new investment advisory agreement and the election of eight directors/trustees at a Joint Meeting of Stockholders scheduled for August 3, 2026. The solicitation is necessitated by the merger of Equitable (majority holder of AB partnership interests) with Corebridge Financial, which may trigger an assignment clause in the current advisory agreement. The Board unanimously recommends a vote FOR all proposals, and the filing emphasizes that the new agreement will not increase fees, change investment strategies, or alter portfolio management teams.

• · The meeting date is August 3, 2026.
• · Stockholders can vote online, by phone (1-800-407-2279 or 800-311-1512), or by mail.
• · Proxy solicitor Sodali Fund Solutions is handling the solicitation.
• · Voting hours: Monday–Friday 10:00 a.m.–11:00 p.m. ET, Saturday 12:00 p.m.–5:00 p.m. ET.
• · The merger between Equitable and Corebridge Financial is the trigger for the new advisory agreement vote.
• · No management fee increase is proposed under the new advisory agreement.
• · The same portfolio managers will continue to oversee the funds.

29-06-2026

AB Global Bond Fund, Inc. filed definitive additional proxy materials (DEFA14A) for a Joint Meeting of Stockholders scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. due to the pending merger between Equitable (majority owner of AB) and Corebridge Financial, which may trigger an assignment of the current agreement. The new agreement will not increase fees, and no changes to investment strategies, portfolio management, or service quality are expected.

• · Meeting date: August 3, 2026.
• · Proxy solicitor: Sodali Fund Solutions (SFS).
• · Voting methods: online (QR code), phone (1-800-407-2279 or 800-311-1512), mail.
• · Voting hours: Mon–Fri 10:00 a.m. to 11:00 p.m. ET; Sat 12:00 p.m. to 5:00 p.m. ET.
• · All communications stop within 3 business days after voting.
• · The merger between Equitable and Corebridge Financial is the trigger for the new advisory agreement vote.
• · The Board unanimously recommends a vote FOR all proposals.

29-06-2026

AB Trust is soliciting stockholder votes for a Joint Meeting scheduled on August 3, 2026, to approve a new investment advisory agreement with AllianceBernstein L.P. (AB) triggered by an agreement for Equitable (majority partner of AB) to merge with Corebridge Financial, which may constitute an assignment of the current advisory agreement. The board unanimously recommends voting FOR the proposals, and has expressed that the merger is not expected to result in any fee increases, changes to investment strategies, or changes to portfolio management.

• · Voting deadline: Joint Meeting to be held August 3, 2026
• · Stockholders may vote by phone (800-311-1512 or 800-413-7186) or online via QR code/link at proxyvotinginfo.com/p/alliancebernstein2026
• · Hours of operation for voting: Monday–Friday 10 a.m.–11 p.m. ET; Saturday 12 p.m.–5 p.m. ET
• · All proxy communications stop within 3 business days of voting
• · The new advisory agreement is a regulatory requirement due to a potential change of control; no fee increase is proposed
• · The merger between Equitable and Corebridge Financial is the underlying transaction triggering the proxy solicitation

29-06-2026

AB High Income Fund Inc. is soliciting shareholder approval for a new investment advisory agreement with AllianceBernstein L.P. and the election of eight directors/trustees at a Joint Meeting of Stockholders scheduled for August 3, 2026. The solicitation is triggered by the merger of Equitable (majority holder of AB) with Corebridge Financial, which may constitute an assignment of the current advisory agreement. The Board unanimously recommends a vote FOR all proposals, and the new agreement will NOT increase fees, change investment objectives, strategies, or portfolio managers.

• · The meeting is scheduled for August 3, 2026.
• · Shareholders can vote online, by phone (1-800-407-2279 or 800-311-1512), or by mail.
• · Proxy solicitor Sodali Fund Solutions will contact shareholders by email, mail, and telephone.
• · Voting lines are open Monday–Friday 10:00 a.m.–11:00 p.m. ET and Saturday 12:00 p.m.–5:00 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The new advisory agreement is required because the Equitable/Corebridge merger may cause an automatic termination of the current agreement under assignment provisions.
• · No management fee increase is proposed.

29-06-2026

Sanford C. Bernstein Fund, Inc. filed DEFA14A definitive additional proxy materials soliciting stockholder votes for a Joint Meeting on August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. due to a merger between Equitable and Corebridge Financial that may trigger an assignment clause. The Board unanimously recommends a vote FOR all proposals, noting no fee increase or changes to investment strategies or portfolio managers.

• · Meeting date: August 3, 2026
• · Proxy solicitor: Sodali Fund Solutions (toll-free 800-311-1512)
• · Voting deadline: before meeting; materials sent via email/mail
• · No management fee increase is proposed
• · Investment objectives, strategies, and portfolio managers remain unchanged
• · Current advisory agreement automatically terminates upon assignment; merger may constitute assignment

29-06-2026

AllianceBernstein National Municipal Income Fund (AFB) filed DEFA14A definitive additional proxy materials soliciting stockholder approval for a new investment advisory agreement with AllianceBernstein L.P. The solicitation is triggered by the planned merger between Equitable (AB's majority owner) and Corebridge Financial, which may constitute an assignment of the current agreement. The Board recommends a vote IN FAVOR of the proposal, and the filing includes scripts and communications for proxy solicitation via Sodali Fund Solutions, with the Special Meeting scheduled for August 3, 2026.

• · The Special Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders are asked to approve a new investment advisory agreement because the current agreement automatically terminates upon an assignment, which includes a transfer of a controlling block of AB's voting securities.
• · Equitable (majority holder of AB partnership interests) and Corebridge Financial have entered into a merger agreement.
• · The new agreement is not expected to change contractual investment advisory fees, portfolio management, or the nature/quality of services.
• · Proxy solicitation is being handled by Sodali Fund Solutions; stockholder voting can be done online, by phone, or by mail.
• · Proxy voting forms will be mailed/emailed on or about a date not specified in the filing.
• · Outbound calls to non-voting stockholders will begin on a date not specified.
• · Voting hours: Monday–Friday 10:00 a.m. to 11:00 p.m. ET, Saturday 12:00 p.m. to 5:00 p.m. ET.
• · Toll-free numbers for voting: 800-344-6156, 888-905-7704, 1-800-462-8619, 1-800-481-0882.
• · Online voting portal: www.proxyvotenow.com/abcef and QR code provided.
• · All proxy communications will stop within 3 business days of voting.

29-06-2026

AB Sustainable International Thematic Fund Inc. filed DEFA14A definitive additional proxy materials on June 29, 2026, soliciting stockholder votes for a Joint Meeting of Stockholders scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. due to a merger between Equitable and Corebridge Financial that may constitute an assignment of the current agreement. The Board unanimously recommends voting FOR all proposals, and the new agreement will not increase fees or change investment strategies, portfolio managers, or service quality.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · The new investment advisory agreement will NOT increase fees.
• · Funds' investment objectives, strategies, and processes will remain unchanged.
• · Same AllianceBernstein portfolio managers will continue to oversee the funds.
• · Stockholders can vote online, by phone (800-311-1512 or 1-800-407-2279), or by mail.
• · Proxy solicitor Sodali Fund Solutions is available Monday–Friday 10 a.m.–11 p.m. ET and Saturday 12 p.m.–5 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The merger between Equitable and Corebridge Financial may constitute an assignment of the current advisory agreement.

29-06-2026

AB Municipal Income Fund II filed a DEFA14A (definitive additional proxy materials) on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled on August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement with AllianceBernstein L.P. due to the pending merger between Equitable (majority holder of AB) and Corebridge Financial, which may trigger an assignment of the current agreement. The filing emphasizes that the new agreement will not increase fees, change investment objectives/strategies, or alter portfolio management teams.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement.
• · The current investment advisory agreement automatically terminates upon an assignment, which includes a transfer of a controlling block of AB voting securities.
• · Equitable (majority holder of AB partnership interests) and Corebridge Financial have entered into a merger agreement.
• · The new investment advisory agreement will NOT increase fees; investment objectives, strategies, and portfolio managers remain unchanged.
• · Proxy voting forms will be mailed/emailed on or about a date to be determined (placeholder [XXXXX XX]).
• · Outbound calls to non-voting stockholders will begin on a date to be determined (placeholder [XXXX XX]).
• · Stockholders can vote online, by phone (1-800-407-2279 for live agent, 1-800-413-7186 for general inquiries, 800-311-1512 for assistance), or by mail.
• · Sodali Fund Solutions is the proxy solicitor; hours: Mon-Fri 10:00 a.m.–11:00 p.m. ET, Sat 12:00 p.m.–5:00 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The filing includes scripts for inbound, outbound, and voicemail communications with stockholders.

29-06-2026

AB Municipal Income Fund, Inc. filed DEFA14A definitive additional proxy materials on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled for August 3, 2026. Stockholders are asked to elect eight directors/trustees and approve new investment advisory agreements with AllianceBernstein L.P. because the pending merger between Equitable (majority holder of AB) and Corebridge Financial may constitute an assignment triggering automatic termination of the current agreement. The Board unanimously recommends voting FOR all proposals, and the new agreements will not increase fees or change portfolio management.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Proxy voting forms will be mailed or emailed on or about a date to be determined.
• · Outbound calls to stockholders who have not voted will begin on a date to be determined.
• · Stockholders can vote online, by phone with a live agent (1-800-407-2279 or 800-311-1512), or by mail.
• · Sodali Fund Solutions is the proxy solicitor, reachable at 888-905-7704 or 800-311-1512.
• · Hours of operation for voting by phone: Monday–Friday 10:00 a.m. to 11:00 p.m. ET, Saturday 12:00 p.m. to 5:00 p.m. ET.
• · All proxy communications will stop within 3 business days of voting.
• · The merger between Equitable and Corebridge Financial is not expected to change investment objectives, strategies, processes, or portfolio managers.
• · The new investment advisory agreements will not increase contractual advisory fees.
• · Additional information is available at https://proxyvotinginfo.com/p/alliancebernstein2026.

29-06-2026

AB Relative Value Fund, Inc. filed definitive additional proxy materials (DEFA14A) on June 29, 2026, soliciting stockholder votes for a Joint Meeting scheduled for August 3, 2026. Stockholders are asked to approve a new investment advisory agreement with AllianceBernstein L.P. due to the pending merger between Equitable (majority holder of AB) and Corebridge Financial, which may trigger an assignment clause, and to elect eight directors/trustees. The Board unanimously recommends voting FOR all proposals, noting that the new agreement will not increase fees, change investment objectives, strategies, or portfolio managers.

• · The Joint Meeting of Stockholders is scheduled for August 3, 2026.
• · Stockholders are asked to elect eight directors/trustees and approve a new investment advisory agreement.
• · The current advisory agreement automatically terminates upon assignment, triggered by the Equitable/Corebridge merger.
• · The new agreement will not increase fees; investment objectives, strategies, and portfolio managers remain unchanged.
• · Voting can be done online, by phone (800-311-1512 or 1-800-407-2279), or by mail.
• · Proxy solicitor Sodali Fund Solutions is handling solicitation; calls and mailings stop within 3 business days after voting.
• · The filing includes scripts for inbound, outbound, and voicemail communications.