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US Pre-Market SEC Filings Roundup — July 08, 2026

USA Before-Market Intelligence

By Gunpowder Editorial ·

34 high priority 16 medium priority 50 total filings analysed

Executive Summary

Overnight SEC filings reveal a mixed landscape with notable insider selling in biotech and tech, while capital raising and regulatory risks dominate headlines. Key period-over-period trends include Butler National Corp's strong 16.9% revenue growth driven by a 32.6% surge in Aerospace Products, contrasted with a 9.3% operating income decline in its Professional Services segment.

The most critical developments include a major SPAC merger (Graf Global/Big3) valued at $290M, a high-profile IPO filing from autonomous trucking company Einride AB, and significant regulatory risks at Amphastar Pharmaceuticals (FDA Warning Letter) and Inno Holdings (Nasdaq trading halt). Portfolio-level patterns show a concentration of blank-check companies (Samos Energy, Catalyst Acquisition, Cartesian Growth Corp IV) raising capital, and a wave of insider selling under 10b5-1 plans, particularly in biotech (Neurogene, MeiraGTx) and tech (Airbnb).

Materiality, sentiment, and priority are scored by Gunpowder’s analysis pipeline. How we score filings →

Filing types in this digest: Form 4 · Schedule 13D · S-1 · 425 · 8-K · 13F · 10-K

Tracking the trend? Catch up on the prior US Pre-Market SEC Filings Roundup digest from July 07, 2026.

Investment Signals (11)

  • Aerospace Products revenue surged 32.6% YoY to $60.59M, operating income jumped 162.3% to $20.15M, and net income rose 74.6% to $21.93M ($0.34 diluted EPS vs $0.19). The company also expanded its stock buyback program, increasing treasury shares by 26.5%

  • Treasurer Chad Eisenberg bought 42,462 Class I shares at $9.42 (~$400K), a significant insider purchase indicating strong management conviction in the fund's value

  • 10% owner Eliyahu Harari bought 13,850 shares at $7.35 (~$102K), a bullish insider signal from a major shareholder

  • Announced reverse merger with Big3 HoldCo (Ice Cube's basketball league) valued at $290M, expected to close Q4 2026, marking first publicly listed sports league under ticker 'TONT'

  • Filed F-1 for IPO, a Swedish autonomous electric trucking company with detailed financials (2023-2025), significant customer concentration, and operations in Sweden, US, Germany

  • Director Joseph Gebbia sold 27,733 shares at $150.01 (~$4.16M) and CFO Elinor Mertz sold 3,750 shares at $148.01 (~$555K), both under 10b5-1 plans, signaling potential insider caution near current levels

  • President and CFO Christine Cvijic sold 4,200 shares at $36.13 (~$152K) under a 10b5-1 plan, a bearish signal from top management

  • Chief Scientific Officer Stuart Naylor sold 25,112 shares at $14.90 (~$374K) under a 10b5-1 plan, representing significant insider selling

  • Director Kim Vyacheslav sold 8,470 ADS at ~$88.32 (~$748K) across multiple transactions under a 10b5-1 plan, a notable insider sale

  • Filed 13F-HR showing $735.5M portfolio with top holdings in Applied Materials ($80.7M), Thermo Fisher ($28.9M), Microsoft ($27.9M), JPMorgan ($26.7M), and Stryker ($26.4M)

  • Filed 13F-HR showing $155.3M portfolio heavily weighted toward ETFs (54.5% in top 3 positions), with largest single position being its own Cultivar ETF ($39.4M, 25.4% of portfolio)

Risk Flags (9)

  • Subsidiary IMS received FDA Warning Letter on July 2, 2026 for CGMP violations at South El Monte facility; must respond within 15 working days; ongoing regulatory and operational risk

  • Nasdaq imposed Trading Halt on June 8, 2026; U.S. District Court entered temporary restraining order on June 25, 2026; company responding to information requests; severe legal and regulatory jeopardy

  • Received deficiency notice on July 1, 2026 for failing to maintain $1.00 minimum bid price for 30 consecutive days; has until December 28, 2026 to regain compliance; delisting risk if unsuccessful

  • Complex restructuring with 40.25% group ownership but 5,000,000 earn-out shares and potential convertible note/warrant conversions not included in current calculation, indicating significant future dilution risk

  • Professional Services revenue declined 2.3% YoY to $37.38M and operating income fell 9.3% to $8.30M; segment operating margin compressed from 24% to 22%

  • Both a Director (Gebbia, $4.16M) and CFO (Mertz, $555K) sold shares under 10b5-1 plans within same filing period, suggesting coordinated insider caution

  • CEO, CFO, and SVP all had shares withheld for taxes at $1.24, indicating potential cash flow constraints or stock price pressure at low levels

  • Big3 merger requires at least $50M net cash post-redemptions; SPAC mergers inherently volatile; back-up financing plans not fully detailed

  • Nuveen Municipal Funds/Merger Uncertainty [LOW RISK]

    Multiple filings (NMS, NZF, NPV) soliciting shareholder votes for merger; outcome depends on sufficient participation; no financial figures disclosed

Opportunities (9)

  • Aerospace Products segment revenue surged 32.6% YoY with operating income up 162.3%, driven by improved cost management (cost of sales dropped to 52.9% of segment revenue from 65.4%); company expanding buyback program

  • Treasurer bought $400K worth of shares at $9.42, a strong vote of confidence in the fund's NAV and income potential; fund likely trading at attractive yield

  • 10% owner Eliyahu Harari added to position at $7.35, signaling belief in undervaluation or upcoming catalyst

  • Swedish autonomous electric trucking company filing for US IPO; detailed financials available for 2023-2025; significant customer concentration may indicate strong commercial traction; potential high-growth EV/autonomy play

  • First publicly listed sports league (Big3) valued at $290M; strong media viewership (550K+ average on CBS); international expansion plans; potential for media rights growth and fan engagement

  • New SPAC raising $200M focusing on traditional and digital media (video games, mobile gaming, media platforms); institutional investor interest for up to 9.9% of offering; potential for high-growth media targets

  • Extended exploration term to 2033 for Saudi joint venture; 50/50 partnership with Saudi Arabian Mining Company; significant governance rights for Maaden but access to Saudi mining potential

  • $735.5M portfolio with top holdings in Applied Materials, Thermo Fisher, Microsoft, JPMorgan, Stryker; 20.6% concentration in top 5; provides insight into institutional positioning

  • $333.8M portfolio with top holdings in Apple ($8.1M), Alphabet ($7.8M), Berkshire Hathaway ($2.3M), Amazon ($1.9M), Broadcom ($927K); 1,305 positions indicate diversified approach

Sector Themes (6)

  • SPAC Activity Surge

    Three blank-check companies filed (Samos Energy Acquisition, Catalyst Acquisition Corp, Cartesian Growth Corp IV) raising combined ~$480M, indicating renewed SPAC market activity and appetite for energy, media, and general acquisition targets

  • Biotech Insider Selling

    Multiple biotech insiders sold shares under 10b5-1 plans (Neurogene CFO $152K, MeiraGTx CSO $374K, Kaspi.kz Director $748K), suggesting sector-wide profit-taking or caution despite individual company progress

  • Regulatory Scrutiny Intensifying

    Two companies face significant regulatory actions (Amphastar FDA Warning Letter, Inno Holdings Nasdaq Trading Halt + TRO), highlighting increased enforcement risk in pharma manufacturing and listed company compliance

  • Foreign Issuer Filing Wave

    10+ foreign private issuers filed 6-K reports (Woodside Energy, Takeda, Enlight Renewable, Caledonia Mining, Eldorado Gold, etc.), indicating routine compliance but no material developments, suggesting a quiet period for international companies

  • Municipal Bond Fund Consolidation

    Multiple Nuveen municipal funds (NMS, NZF, NPV) pursuing mergers to achieve scale benefits (higher net earnings, greater liquidity, lower operating expenses), reflecting consolidation trend in closed-end fund space

  • Insider Activity Divergence

    Contrast between bullish insider buying in credit/financials (First Trust Enhanced Private Credit Fund Treasurer $400K purchase) and bearish selling in tech/biotech (Airbnb, Neurogene, MeiraGTx), suggesting sector rotation preferences

Watch List (8)

  • Must submit initial response to FDA Warning Letter within 15 working days (by ~July 23, 2026); watch for further regulatory actions or operational disruptions at IMS facility

  • Trading halt since June 8, 2026; temporary restraining order entered June 25, 2026; watch for Nasdaq determination and court developments

  • Has until December 28, 2026 to regain $1.00 minimum bid price; monitor stock price for potential recovery or delisting risk

  • Expected Q4 2026; requires at least $50M net cash post-redemptions; watch for shareholder vote and financing details

  • Results to be released August 4, 2026 before TASE open; conference calls at 8:00 AM ET (English) and 6:00 AM ET (Hebrew); key catalyst for renewable energy sector

  • Nuveen Municipal Funds/Special Meeting
    👁

    Shareholder vote on merger scheduled for September 24, 2026 at 2:00 PM CT; outcome will determine fund consolidation and potential NAV impacts

  • F-1 filed July 8, 2026; watch for pricing, valuation, and investor demand for autonomous electric trucking IPO

  • 5,000,000 earn-out shares and convertible note/warrant conversions pending; monitor for dilution events that could impact share price

Filing Analyses (50)
Joint Stock Co Kaspi.kz 4 negative materiality 4/10

07-07-2026

Director Kim Vyacheslav sold 8,470 American Depositary Shares, no par value at $88.32 (~$748K). 10 transactions reported in total. Trades executed under a Rule 10b5-1 plan.

  • · Director Kim Vyacheslav sold 2,635 American Depositary Shares, no par value at $88.94 (~$234K)
  • · Director Kim Vyacheslav sold 5,354 American Depositary Shares, no par value at $89.85 (~$481K)
  • · Director Kim Vyacheslav sold 5,694 American Depositary Shares, no par value at $90.92 (~$518K)
  • · Director Kim Vyacheslav sold 770 American Depositary Shares, no par value at $91.48 (~$70.4K)
  • · Director Kim Vyacheslav sold 4,403 American Depositary Shares, no par value at $88.43 (~$389K)
  • · Director Kim Vyacheslav sold 6,808 American Depositary Shares, no par value at $89.49 (~$609K)
  • · Director Kim Vyacheslav sold 3,018 American Depositary Shares, no par value at $89.90 (~$271K)
  • · Director Kim Vyacheslav sold 8,470 American Depositary Shares, no par value at $88.32 (~$748K)
Neurogene Inc. 4 negative materiality 3/10

07-07-2026

President and CFO Cvijic Christine Mikail sold 4,200 Common Stock at $36.13 (~$152K). Cvijic Christine Mikail holds 84,040 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · President and CFO Cvijic Christine Mikail sold 600 Common Stock at $36.02 (~$21.6K)
  • · President and CFO Cvijic Christine Mikail sold 4,200 Common Stock at $36.13 (~$152K)
MeiraGTx Holdings plc 4 negative materiality 3/10

07-07-2026

CHIEF SCI OFCR, OPHTHALMOLOGY Naylor Stuart sold 25,112 Ordinary Shares at $14.90 (~$374K). Naylor Stuart holds 640,846 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · CHIEF SCI OFCR, OPHTHALMOLOGY Naylor Stuart sold 2,547 Ordinary Shares at $13.86 (~$35.3K)
  • · CHIEF SCI OFCR, OPHTHALMOLOGY Naylor Stuart sold 25,112 Ordinary Shares at $14.90 (~$374K)
ITG, Inc./DE/ 4 neutral materiality 5/10

07-07-2026

Chief Financial Officer Mecray Christopher H. had withheld for taxes 1,850 Class A common stock at $16.00 (~$29.6K). 5 transactions reported in total. Mecray Christopher H. holds 3,150 shares after the transaction.

  • · Chief Financial Officer Mecray Christopher H. was awarded 5,000 Class A common stock
  • · Chief Financial Officer Mecray Christopher H. had withheld for taxes 1,850 Class A common stock at $16.00 (~$29.6K)
  • · Chief Financial Officer Mecray Christopher H. was awarded 15,000 Performance Restricted Stock Units
  • · Chief Financial Officer Mecray Christopher H. was awarded 15,000 Performance Restricted Stock Units
  • · Chief Financial Officer Mecray Christopher H. was awarded 15,000 Restricted Stock Units
ITG, Inc./DE/ 4 neutral materiality 6/10

07-07-2026

Chief Executive Officer Parrott Andrew had withheld for taxes 5,782 Class A common stock at $16.00 (~$92.5K). 5 transactions reported in total. Parrott Andrew holds 9,843 shares after the transaction.

  • · Chief Executive Officer Parrott Andrew was awarded 15,625 Class A common stock
  • · Chief Executive Officer Parrott Andrew had withheld for taxes 5,782 Class A common stock at $16.00 (~$92.5K)
  • · Chief Executive Officer Parrott Andrew was awarded 46,875 Performance Restricted Stock Units
  • · Chief Executive Officer Parrott Andrew was awarded 46,875 Performance Restricted Stock Units
  • · Chief Executive Officer Parrott Andrew was awarded 46,875 Restricted Stock Units
Scilex Holding Co SC 13D/A neutral materiality 7/10

07-07-2026

SCLX Stock Acquisition JV LLC filed an amended Schedule 13D with the SEC on July 7, 2026, disclosing a 11.4% beneficial ownership stake in Scilex Holding Co's common stock (including shares issuable upon warrant exercise) and an aggregate voting power of 19.3% when including Series A Preferred Stock. On July 3, 2026, the reporting person transferred 500,000 shares of common stock to Quantum Scan Holdings, Inc. in exchange for Q Scan common stock, with the transfer price based on the Nasdaq closing price prior to transfer.

  • · A 1-for-35 reverse stock split was effected on April 15, 2025, and all share information in the filing reflects that split.
  • · The reporting person has not effected any transactions in common stock or Series A Preferred Stock during the 60 days preceding the filing date, except for the Q Scan transfer.
  • · The Series A Preferred Stock is not convertible into common stock; its voting rights are determined by dividing the stated value by $10.00, with adjustments to the conversion price.
Scilex Holding Co 4 neutral materiality 4/10

07-07-2026

10% owner SCLX Stock Acquisition JV LLC disposed of 500,000 Common stock. SCLX Stock Acquisition JV LLC holds 958,263 shares after the transaction.

  • · 10% owner SCLX Stock Acquisition JV LLC disposed of 500,000 Common stock
Airbnb, Inc. 4 negative materiality 4/10

07-07-2026

Director Gebbia Joseph sold 27,733 Class A Common Stock at $150.01 (~$4.16M). Gebbia Joseph holds 2,597,579 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · Director Gebbia Joseph sold 27,733 Class A Common Stock at $150.01 (~$4.16M)
Airbnb, Inc. 4 negative materiality 5/10

07-07-2026

Chief Financial Officer Mertz Elinor sold 3,750 Class A Common Stock at $148.01 (~$555K). Mertz Elinor holds 445,290.477 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

  • · Chief Financial Officer Mertz Elinor sold 3,750 Class A Common Stock at $148.01 (~$555K)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Director Allen Jim L. was awarded 8,000 Stock Option (right to buy).

  • · Director Allen Jim L. was awarded 8,000 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Director MOYES JAY M was awarded 8,000 Stock Option (right to buy).

  • · Director MOYES JAY M was awarded 8,000 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Director Facteau Bill was awarded 8,000 Stock Option (right to buy).

  • · Director Facteau Bill was awarded 8,000 Stock Option (right to buy)
First Trust Enhanced Private Credit Fund 4 positive materiality 6/10

07-07-2026

TREASURER CHAD EISENBERG bought 42,461.78 CLASS I COMMON SHARES at $9.42 (~$400K). 6 transactions reported in total. CHAD EISENBERG holds 106.46 shares after the transaction.

  • · TREASURER CHAD EISENBERG bought 42,461.78 CLASS I COMMON SHARES at $9.42 (~$400K)
  • · TREASURER CHAD EISENBERG acquired 126.78 CLASS I COMMON SHARES at $9.54 (~$1.21K)
  • · TREASURER CHAD EISENBERG acquired 111.72 CLASS I COMMON SHARES at $9.54 (~$1.07K)
  • · TREASURER CHAD EISENBERG acquired 113.19 CLASS I COMMON SHARES at $9.41 (~$1.07K)
  • · TREASURER CHAD EISENBERG acquired 0.92 CLASS A COMMON SHARES at $9.54 (~$8.78)
  • · TREASURER CHAD EISENBERG acquired 0.94 CLASS A COMMON SHARES at $9.41 (~$8.85)
Rise Gold Corp. SC 13D/A neutral materiality 3/10

07-07-2026

Daniel Oliver Jr. and affiliated entities (Myrmikan Gold Fund, LLC and Myrmikan Capital, LLC) filed Amendment No. 6 to Schedule 13D for Rise Gold Corp., primarily to correct an administrative omission by filing previously omitted exhibits (warrant standstill agreements). As of the filing, Mr. Oliver beneficially owns 18,108,768 shares (13.95% of class), while Myrmikan Capital, LLC holds voting/investment power over 14,663,191 shares (11.50%). The filing notes no material transactions since the prior amendment and no share purchases or sales in the last 60 days, indicating a stable ownership position.

  • · The amendment was filed solely to include exhibits (warrant standstill agreements) that were inadvertently omitted from prior filings.
  • · Oliver serves as a member of Rise Gold Corp.'s Board of Directors.
  • · Warrant standstill agreements prevent Oliver and Myrmikan from exercising certain warrants until 61 days after written notice of termination.
  • · No transactions in the issuer's common stock occurred during the last 60 days.
  • · The Fund (Myrmikan Gold Fund, LLC) does not have the ability to vote or dispose of shares directly; that power rests with Myrmikan Capital, LLC.
BioCardia, Inc. 4 neutral materiality 6/10

07-07-2026

Director STERTZER SIMON H was awarded 8,000 Stock Option (right to buy).

  • · Director STERTZER SIMON H was awarded 8,000 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Director Slosman Marvin was awarded 8,000 Stock Option (right to buy).

  • · Director Slosman Marvin was awarded 8,000 Stock Option (right to buy)
CapsoVision, Inc 4 positive materiality 3/10

07-07-2026

10% owner HARARI ELIYAHOU ET AL bought 13,850 Common Stock at $7.35 (~$102K). HARARI ELIYAHOU ET AL holds 3,200,751 shares after the transaction.

  • · 10% owner HARARI ELIYAHOU ET AL bought 13,850 Common Stock at $7.35 (~$102K)
BioCardia, Inc. 4 neutral materiality 5/10

07-07-2026

President and CEO Altman Peter had withheld for taxes 54,606 Common Stock at $1.24 (~$67.7K). Altman Peter holds 356,585 shares after the transaction.

  • · President and CEO Altman Peter had withheld for taxes 54,606 Common Stock at $1.24 (~$67.7K)
  • · President and CEO Altman Peter was awarded 57,688 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 5/10

07-07-2026

Chief Financial Officer McClung David had withheld for taxes 23,125 Common Stock at $1.24 (~$28.7K). McClung David holds 114,245 shares after the transaction.

  • · Chief Financial Officer McClung David had withheld for taxes 23,125 Common Stock at $1.24 (~$28.7K)
  • · Chief Financial Officer McClung David was awarded 41,501 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Senior Vice President, Devices GILLIS EDWARD M had withheld for taxes 17,269 Common Stock at $1.24 (~$21.4K). GILLIS EDWARD M holds 54,126 shares after the transaction.

  • · Senior Vice President, Devices GILLIS EDWARD M had withheld for taxes 17,269 Common Stock at $1.24 (~$21.4K)
  • · Senior Vice President, Devices GILLIS EDWARD M was awarded 29,442 Stock Option (right to buy)
BioCardia, Inc. 4 neutral materiality 4/10

07-07-2026

Director Blank Andrew Scott was awarded 8,000 Stock Option (right to buy).

  • · Director Blank Andrew Scott was awarded 8,000 Stock Option (right to buy)
Addex Therapeutics Ltd. 6-K neutral materiality 1/10

08-07-2026

Addex Therapeutics Ltd filed a Form 6-K with the SEC on July 8, 2026, incorporating a press release by reference into its registration statements. The filing does not disclose any financial results or operational metrics, and no quantitative data is provided.

  • · The press release is incorporated by reference into Form F-3 (Registration No. 333-291644) and Form S-8 (Registration Nos. 333-255124 and 333-272515).
  • · The filing references risk factors from the Annual Report on Form 20-F for the year ended December 31, 2025, filed on May 15, 2026.
KE Holdings Inc. 6-K neutral materiality 1/10

08-07-2026

KE Holdings Inc. filed a Form 6-K with the SEC for July 2026, submitting a monthly return on equity securities movements. The report was signed by CFO XU Tao and contains no financial results or material operational updates.

WOODSIDE ENERGY GROUP LTD 6-K neutral materiality 1/10

08-07-2026

Woodside Energy Group Ltd filed a Form 6-K with the SEC on July 8, 2026, attaching an ASX announcement titled 'Appendix 3Z' (typically related to director/executive cessation or change). The filing is a routine foreign private issuer report with no financial results or operational updates.

  • · The filing attaches an ASX announcement titled 'Appendix 3Z', which typically relates to director or executive cessation or change of interest.
  • · The report is dated July 8, 2026, and was signed by Corporate Secretary Damien Gare.
SCHMID Group N.V. SC 13D/A mixed materiality 8/10

08-07-2026

Anette Schmid and Christian Schmid, through their respective investment vehicles, have consolidated their beneficial ownership in SCHMID Group N.V., forming a group that collectively holds approximately 40.25% of outstanding ordinary shares (on a fully diluted basis including warrants). The filing details a complex restructuring involving the distribution of shares from the Community of Heirs of Dieter C. Schmid, share issuances in exchange for debt set-offs totaling EUR 28.35 million, and the creation of a joint voting agreement. However, the filing also notes that 5,000,000 earn-out shares and potential conversions of convertible notes and warrants are not included in the current ownership calculation, indicating significant future dilution risk.

  • · The reporting group's aggregate ownership is 34,888,004 ordinary shares, representing 40.25% on a fully diluted basis (including warrants).
  • · Anette Schmid's vehicle, Schmid Aequitas GmbH & Co. KG, holds 15,680,589 shares (18.10%).
  • · Schmid Grundstucke GmbH & Co. KG, controlled by Anette Schmid, holds 1,028,074 shares (1.19%).
  • · Christian Schmid's vehicle, C. Schmid Beteiligung GmbH & Co. KG, holds 16,585,322 shares (not separately reported in the filing's percentage breakdown but implied).
  • · 5,000,000 earn-out shares (2,500,000 per Schmid sibling) are excluded from the ownership count because voting and dispositive power have not yet vested.
  • · Potential future dilution from a EUR 2.5 million term loan, a USD 30 million convertible note (USD 18M already converted), a USD 20 million convertible note, and 3,744,150 additional warrants is not reflected in the current ownership percentage.
  • · On July 3, 2026, Christian Schmid transferred 500,000 shares to Helmut Rauch, reducing his direct holdings.
Greenbriar Sustainable Living Inc. 6-K neutral materiality 1/10

08-07-2026

Greenbriar Sustainable Living Inc. filed a Form 6-K with the SEC for July 2026, attaching a news release dated July 7, 2026. The filing is a routine foreign issuer report, but no specific financial or operational details are provided in the cover page.

  • · Filing is a Form 6-K for the month of July 2026.
  • · Exhibit 99.1 is a news release dated July 7, 2026.
  • · The registrant is a foreign private issuer based in Coquitlam, British Columbia, Canada.
Himalaya Shipping Ltd. 6-K neutral materiality 1/10

08-07-2026

Himalaya Shipping Ltd. filed a Form 6-K with the SEC on July 8, 2026, reporting a press release as an exhibit. The filing is a routine foreign private issuer report, with no specific financial results or material events disclosed in the cover document itself.

  • · The filing is a Form 6-K for the month of July 2026.
  • · The registrant is a Bermuda-based company with principal executive offices in Hamilton, Bermuda.
  • · The press release (Exhibit 99.1) is referenced but not included in the provided text.
TAKEDA PHARMACEUTICAL CO LTD 6-K neutral materiality 3/10

08-07-2026

Takeda Pharmaceutical Co Ltd filed a 6-K report on July 8, 2026, detailing a stock issuance and disposal plan for employees. The plan involves 16,877,109 shares (including new and treasury shares) at 5,050 yen per share, with a total value of 85,229,400,450 yen, allocated to 10,477 employees. Compared to the previous plan, the number of shares decreased by 111,967 and the number of employee participants decreased by 80, while the issuance price remained unchanged.

  • · The issuance price per share remained unchanged at 5,050 yen.
  • · The plan includes 10,780,950 new shares and 6,096,159 treasury shares (unchanged from prior plan).
  • · The number of new shares decreased by 111,967 compared to the prior plan.
  • · The number of treasury shares remained the same at 6,096,159.
Enlight Renewable Energy Ltd. 6-K neutral materiality 1/10

08-07-2026

Enlight Renewable Energy Ltd. announced it will release its Q2 2026 financial results on August 4, 2026, before the Tel Aviv Stock Exchange opens, and will host conference calls in English and Hebrew. The English call is scheduled for 8:00 AM ET / 3:00 PM Israel time, and the Hebrew webcast at 6:00 AM ET / 1:00 PM Israel time.

  • · Financial results will be released prior to the opening of the Tel Aviv Stock Exchange on Tuesday, August 4, 2026.
  • · Earnings release and investor materials will be available on the Company's website at https://enlightenergy.com/data/financial-reports/.
  • · English conference call pre-registration link: https://register-conf.media-server.com/register/BIa44c30056e064c77bfb6d11ba810306b
  • · English webcast link: https://edge.media-server.com/mmc/p/sk3hcqbs
  • · Hebrew webcast pre-registration link: https://enlightenergy-com.zoom.us/webinar/register/WN_Is-DMN7ETJ2-RR28wRf59A
  • · An archived version of the English webcast will be available at https://enlightenergy.com/events/.
World Omni Auto Receivables Trust 2022-B 15-15D neutral materiality 2/10

08-07-2026

World Omni Auto Receivables Trust 2022-B filed a Form 15-15D with the SEC on July 8, 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 trust reported zero holders of record as of the certification date, indicating all outstanding notes (Class A-1, A-2a, A-2b, A-3, and A-4) have been fully redeemed or paid off.

  • · Filing type: 15-15D (Certification and Notice of Termination of Registration)
  • · SEC file number: 333-261470-02
  • · Effectiveness date: July 8, 2026
  • · Rule relied upon: Rule 15d-22(b)
  • · Issuing entity: World Omni Auto Receivables Trust 2022-B
  • · Servicer: World Omni Financial Corp. (not in its individual capacity)
Caledonia Mining Corp Plc 6-K neutral materiality 1/10

08-07-2026

Caledonia Mining Corp Plc filed a Form 6-K with the SEC on July 8, 2026, attaching a press release dated the same day. The filing is a routine report by a foreign private issuer, with no specific financial results or material events disclosed in the cover page. The press release (Exhibit 99.1) is referenced but not included in the provided text, limiting the ability to assess performance or sentiment.

  • · Filing is a Form 6-K for the month of July 2026.
  • · Commission File Number: 001-38164.
  • · Address of principal executive office: 2 Mulcaster Street, St Helier, Jersey JE2 3NJ.
  • · Registrant files annual reports under Form 20-F (not Form 40-F).
  • · Press release dated July 8, 2026, is attached as Exhibit 99.1 but content not provided.
Samos Energy Acquisition Corp S-1/A neutral materiality 5/10

08-07-2026

Samos Energy Acquisition Corp filed an S-1/A registration statement with the SEC on July 8, 2026, for its initial public offering. The Cayman Islands-based blank check company is seeking to raise proceeds through the sale of units, with the proceeds to be held in trust for a future business combination. The filing details various redemption scenarios and the impact of the over-allotment option on the trust proceeds.

  • · The company is incorporated in the Cayman Islands (E9) and classified under SIC 6770 (Blank Checks).
  • · The filing is an amendment (S-1/A) to the initial registration statement (File No. 333-296771).
  • · The filing date is July 8, 2026, with a document date of July 7, 2026.
  • · The company's business address is 190 Elgin Avenue, George Town, Grand Cayman, KY1-9008.
  • · The filing includes detailed per-share data tables for various redemption and over-allotment scenarios.
Nuveen Minnesota Quality Municipal Income Fund 425 neutral materiality 3/10

08-07-2026

Nuveen Minnesota Quality Municipal Income Fund (NMS) and Nuveen Virginia Quality Municipal Income Fund (NPV) are soliciting shareholder votes for a proposed merger, with a Special Meeting scheduled for September 24, 2026. The Board recommends voting 'For' the merger, citing potential benefits such as higher net earnings, greater liquidity, improved trading, and lower operating expenses. However, the filing does not provide any financial figures or performance data, and the outcome depends on sufficient shareholder participation.

  • · Special Meeting of Shareholders scheduled for September 24, 2026 at 2:00 p.m. Central Time.
  • · Shareholders can vote via live agent (1-888-550-8069), online, touch-tone telephone, or mail.
  • · The filing does not disclose any financial metrics, historical performance, or specific merger terms.
Nuveen Minnesota Quality Municipal Income Fund 425 neutral materiality 3/10

08-07-2026

Nuveen Minnesota Quality Municipal Income Fund (NMS) is soliciting shareholder responses regarding a business combination with Nuveen Municipal Credit Income Fund. The filing is a Rule 425 communication urging shareholders to call a toll-free number to participate in the proposal. No financial figures or performance metrics are disclosed in this outreach notice.

  • · Shareholders are asked to call 1-877-576-5373 with a reference number.
  • · Outreach will continue until sufficient participation is achieved.
  • · Calls are recorded for protection, and no confidential information is requested.
  • · Hours of operation: Mon-Fri 10:00 a.m. to 11:00 p.m. ET, Sat 12:00 p.m. to 6:00 p.m. ET.
Nuveen Municipal Credit Income Fund 425 neutral materiality 3/10

08-07-2026

Nuveen Municipal Credit Income Fund (NZF) is soliciting shareholder responses regarding a business combination proposal with Nuveen Virginia Quality Municipal Income Fund. The filing is a reminder notice urging shareholders to call a toll-free number to participate, as their response is critical for sufficient participation. No financial figures or performance data are provided in this communication.

  • · Shareholders are asked to call 1-877-576-5373 with a reference number.
  • · Outreach will continue until sufficient participation is achieved.
  • · Calls are recorded for protection and no confidential information is requested.
  • · Hours of operation: Mon-Fri 10:00 a.m. to 11:00 p.m. ET, Sat 12:00 p.m. to 6:00 p.m. ET.
Nuveen Municipal Credit Income Fund 425 neutral materiality 5/10

08-07-2026

Nuveen Municipal Credit Income Fund (NZF) is urging shareholders to vote on a proposed merger with Nuveen Virginia Quality Municipal Income Fund (NPV) and Nuveen Minnesota Quality Municipal Income Fund (NMS), with a special meeting scheduled for September 24, 2026. The board recommends voting 'for' the proposal, citing potential benefits such as higher common share net earnings, greater liquidity, and lower operating expenses. However, the filing does not provide any financial data or performance metrics, and the merger's success depends on sufficient shareholder participation.

  • · Special Meeting of Shareholders scheduled for September 24, 2026 at 2:00 p.m. Central Time.
  • · Shareholders can vote via live agent (1-888-550-8069), online, touch-tone telephone, or mail.
  • · The board considered that the merger may benefit common shareholders through higher net earnings, greater liquidity, increased flexibility, and lower operating expenses (excluding leverage costs).
Graf Global Corp. 425 mixed materiality 8/10

08-07-2026

Graf Global Corp. (GRAF-WT) announced a reverse merger with Ice Cube's Big3 HoldCo, valuing the 3-on-3 basketball league at $290 million. The deal, expected to close in Q4 2026, will make Big3 the first publicly listed sports league under the ticker 'TONT'. While the transaction highlights strong media viewership (550,000+ average viewers on CBS) and international expansion plans, it faces execution risks including the need for at least $50 million in net cash post-redemptions and the inherent volatility of SPAC mergers.

  • · Big3 is in its ninth season and has played internationally in London, Toronto, and the Bahamas.
  • · The deal requires at least $50 million in net cash after SPAC redemptions; Big3 has back-up financing plans including revenue-backed financing tied to media and international expansion.
  • · James Graf stated the SPAC had been searching for an acquisition target since listing on the NYSE in 2024.
  • · The transaction is subject to approval by GRAF shareholders and other customary closing conditions.
Ivanhoe Electric Inc. 8-K neutral materiality 7/10

08-07-2026

Ivanhoe Electric Inc. entered into an Amended and Restated Shareholders Agreement with Saudi Arabian Mining Company (Maaden) on July 7, 2026, governing their 50/50 joint venture in Saudi Arabia. The new agreement extends the exploration term to July 6, 2033 (from an initial five-year term), allows the joint venture to acquire exploration and mining licenses directly, and grants the technical committee more authority. However, the agreement also imposes a non-compete clause on Ivanhoe Electric in Saudi Arabia without Maaden's consent, and Maaden retains significant governance rights including the ability to nominate a director to Ivanhoe Electric's board.

  • · The joint venture board chairperson will be chosen from among Maaden's nominees.
  • · Maaden will assume operatorship if an economically viable deposit is found and designated for development.
  • · If Ivanhoe Electric chooses not to participate in a Designated Project, it may engage Maaden in discussions regarding transfer or exchange of its interest for fair market value, possibly including a royalty.
  • · The joint venture is not terminable by either party before the end of the exploration phase except upon an event of default.
  • · Upon termination, Typhoon™ units will be returned to Ivanhoe Electric, but Maaden has the right to negotiate continued services for exploring other Maaden land.
  • · Maaden beneficially owns greater than 5% of Ivanhoe Electric's common stock and has the right to nominate one director to Ivanhoe Electric's board.
ELEVATION WEALTH PARTNERS, LLC 13F-HR neutral materiality 5/10

08-07-2026

This Form 13F-HR filing by Elevation Wealth Partners, LLC reports the firm's equity holdings as of June 30, 2026. The portfolio totals approximately $333.8 million across 1,305 positions, with the largest holdings in Alphabet Inc. (Class A & C), Apple Inc., Berkshire Hathaway Inc., Broadcom Inc., and Amazon.com Inc. The filing reflects the firm's updated investment positions for the quarter.

  • · The filing is for the period ending June 30, 2026, filed on July 8, 2026.
  • · Top 5 positions (by value): Alphabet Cl A ($7.8M), Apple ($8.1M), Amazon ($1.9M), Berkshire Hathaway Cl B ($2.3M), Broadcom ($927K).
  • · No period-over-period comparisons are provided as this is a snapshot of holdings without prior quarter data.
Catalyst Acquisition Corp. S-1 neutral materiality 8/10

08-07-2026

Catalyst Acquisition Corp., a blank check company, filed an S-1 registration statement on July 7, 2026, for an initial public offering of 20,000,000 units at $10.00 per unit, aiming to raise $200,000,000. The company intends to focus on business combinations in traditional and digital media sectors, including video games, mobile gaming, and media platforms. The sponsor, Catalyst Sponsor LLC, will purchase 270,000 private placement units for $2,700,000, and an institutional investor has expressed interest in buying up to 9.9% of the offering units, though no binding commitment exists.

  • · The company is a blank check company incorporated in the Cayman Islands, focusing on traditional and digital media sectors.
  • · No business combination target has been selected, and no substantive discussions have been initiated.
  • · Public shareholders have redemption rights upon completion of an initial business combination, but holders of more than 15% of shares sold in the offering are restricted from redeeming without prior consent if a shareholder vote is held.
  • · Founder shares (Class B) will convert to Class A on a one-for-one basis upon business combination, subject to anti-dilution adjustments.
  • · Only holders of Class B ordinary shares have the right to vote on director appointments and removal, and on continuing the company outside the Cayman Islands prior to the business combination.
  • · The sponsor non-managing member's expression of interest to purchase units is not a binding commitment.
INNO HOLDINGS INC. 8-K negative materiality 8/10

08-07-2026

Inno Holdings Inc. disclosed that Nasdaq imposed a Trading Halt on its common stock on June 8, 2026, and the company is responding to Nasdaq's information requests. Additionally, on June 25, 2026, a U.S. District Court entered a temporary restraining order against the company based on a plaintiff's complaint, which the company considers without merit and is defending vigorously.

  • · Trading Halt under Code T12 was imposed on June 8, 2026.
  • · Company has been responding to Nasdaq's requests for information since June 9, 2026.
  • · Temporary restraining order entered on June 25, 2026 by the U.S. District Court for the Southern District of Texas.
  • · Company alleges the allegations are without merit and is defending itself vigorously.
Amphastar Pharmaceuticals, Inc. 8-K negative materiality 7/10

08-07-2026

Amphastar Pharmaceuticals disclosed via an 8-K filing that its subsidiary, International Medication Systems, Limited (IMS), received a Warning Letter from the FDA on July 2, 2026, relating to CGMP violations at its South El Monte, California facility. The letter, following a December 2025 inspection, cites deficiencies in investigation procedures, environmental monitoring, and manufacturing equipment, but does not direct IMS to cease operations or impose a recall subject to third-party verification. The company is implementing corrective actions and must submit an initial response within 15 working days, but cannot assure the FDA will be satisfied, posing ongoing regulatory and operational risk.

  • · The FDA inspection of the IMS facility occurred in December 2025.
  • · The Warning Letter cites violations related to CGMP for finished pharmaceuticals, specifically investigation procedures, environmental monitoring, and manufacturing equipment.
  • · IMS continues to manufacture and supply products from the facility while implementing its remediation plan.
  • · The company cannot assure that the FDA will be satisfied with IMS’s response or as to the timing of resolution.
  • · Until the deficiencies are resolved, additional regulatory or legal action may be taken without further notice.
Concorde International Group Ltd. 6-K negative materiality 8/10

08-07-2026

Concorde International Group Ltd. (Nasdaq: YOOV) received a Nasdaq deficiency notice on July 1, 2026, for failing to maintain a minimum bid price of $1.00 per share for 30 consecutive business days. The company has 180 calendar days, until December 28, 2026, to regain compliance by achieving a closing bid price of at least $1.00 for 10 consecutive business days. While the notice does not immediately affect listing or business operations, failure to regain compliance could lead to delisting, and the company's stock price remains below the threshold with no immediate improvement indicated.

  • · The company's Class A ordinary shares trade under the symbol 'YOOV' on The Nasdaq Capital Market.
  • · The company was established in 1997 and is headquartered in Singapore.
  • · The i-Facility Sprinter (IFS) is protected by patents in more than 29 jurisdictions worldwide.
  • · The company may be eligible for an additional compliance period if it does not regain compliance by December 28, 2026, subject to meeting Nasdaq listing requirements.
Caesars Entertainment, Inc. 8-K neutral materiality 2/10

08-07-2026

Courtney Mather resigned from the Board of Directors of Caesars Entertainment, Inc. effective July 6, 2026. The resignation was not due to any disagreement with the company. No financial impact or other operational changes were disclosed.

  • · Resignation effective July 6, 2026.
  • · No disagreement with the company cited as reason for departure.
Einride AB F-1 neutral materiality 9/10

08-07-2026

Einride AB, a Swedish autonomous electric trucking company, filed an F-1 registration statement with the SEC on July 8, 2026, for its initial public offering. The filing provides detailed financial statements for the years ended December 31, 2025, 2024, and 2023, including revenue breakdowns by segment (transport services, rental income) and geography (Sweden, United States, Germany, and other countries). The company also discloses significant customer concentration, with its largest customer accounting for a substantial portion of revenue.

  • · The filing includes revenue data for transport services and rental income segments for 2024 and 2025.
  • · Geographic revenue is broken down into Sweden, United States, Germany, and all other countries.
  • · Customer concentration data is provided for the largest and second-largest customers for 2024 and 2025.
  • · The company has multiple classes of shares: Common Shares, Series A Preference Shares, Series B Preference Shares, and Series C Preference Shares.
  • · The filing includes details on property, plant, and equipment, including electric and self-driving vehicles, lands and buildings, and equipment.
  • · The company reports operating expenses broken down into contract driver costs, maintenance costs, transport costs, IT and software expenses, staff costs, depreciation and amortization, advertising costs, professional services, legal and court costs, and insurance.
  • · Finance income and costs include interest income, exchange rate gains/losses, interest expense on loans, lease liabilities, convertible debentures, and liabilities associated with cash advances.
  • · The filing includes a maturity analysis of contractual cash flows for financial liabilities as of December 31, 2024 and 2025.
  • · The company has foreign currency exposure in USD, EUR, NOK, and other currencies.
BUTLER NATIONAL CORP 10-K mixed materiality 8/10

08-07-2026

For the fiscal year ended April 30, 2026, Butler National Corp reported total revenues of $97.97M, a 16.9% increase from $83.97M in FY2025, driven by a 32.6% surge in Aerospace Products revenue to $60.59M (62% of total revenue). However, Professional Services revenue declined 2.3% to $37.38M and its operating income fell 9.3% to $8.30M. Overall operating income jumped 69.1% to $28.45M, and net income rose 74.6% to $21.93M ($0.34 diluted EPS vs $0.19). The company also expanded its stock buyback program, increasing treasury shares by 26.5% to 15.92M shares.

  • · Professional Services costs remained flat at 42% of revenue, but expenses increased 2.1% to $13.37M, compressing that segment's operating margin from 24% to 22%.
  • · Aerospace Products operating income surged 162.3% to $20.15M, driven by a 32.6% revenue jump and improved cost management (cost of sales dropped to 52.9% of segment revenue from 65.4%).
  • · The company reported a gain on sale of land and buildings of $1.48M in FY2026 vs $0.27M in FY2025, and a gain on sale of airplanes of $0.40M (vs $0.25M).
  • · Total assets grew 15.0% to $141.84M, including a 39.2% increase in cash to $35.12M.
  • · Total liabilities increased only 2.9% to $59.86M, with long-term debt reduced by 17.6% to $24.60M.
  • · Retained earnings grew 36.9% to $81.46M, contributing to a 25.9% increase in stockholders' equity to $81.98M.
ELDORADO GOLD CORP /FI 6-K neutral materiality 0/10

08-07-2026

Eldorado Gold Corporation filed a Form 6-K with the SEC for July 2026, attaching a News Release dated July 7, 2026, regarding corporate developments. The filing was signed by Corporate Secretary Karen Aram.

  • · Form 6-K filed for July 2026 under Commission File Number 001-31522.
  • · The filing references Exhibit 99.1: a News Release dated July 7, 2026.
  • · The company's address is Bentall 5, 11th Floor, 550 Burrard Street, Vancouver, BC, Canada V6C 2B5.
Cohen Capital Management, Inc. 13F-HR neutral materiality 5/10

08-07-2026

Cohen Capital Management, Inc. filed its quarterly 13F-HR for the period ending June 30, 2026, reporting a total portfolio value of approximately $735.5 million across 152 equity positions. The filing shows a diversified portfolio with top holdings in Applied Materials ($80.7M), Thermo Fisher Scientific ($28.9M), Microsoft ($27.9M), JPMorgan Chase ($26.7M), and Stryker ($26.4M). No prior quarter comparison is available in this filing, so period-over-period changes cannot be assessed.

  • · The portfolio includes 152 equity positions with a total market value of $735,484,037.
  • · Top 5 holdings account for approximately $151.5M or 20.6% of total portfolio value.
  • · Largest single position is Applied Materials at $80.7M (111,621 shares), representing 11.0% of the portfolio.
  • · Notable holdings include 2 shares of Berkshire Hathaway Class A valued at $1.5M.
  • · The filing was signed by CFO Ari Grellas on July 7, 2026.
  • · No prior quarter comparison data is available in this filing to assess changes in positions.
Cartesian Growth Corp IV 8-K neutral materiality 5/10

08-07-2026

Cartesian Growth Corporation IV completed its IPO of 27,500,000 units at $10.00 per unit on June 26, 2026, generating gross proceeds of $275,000,000. Simultaneously, the company closed a private placement of 2,500,000 warrants at $2.00 each, raising an additional $5,000,000. The net proceeds of $275,000,000 have been placed in a trust account for the benefit of public shareholders.

  • · The IPO included a partial exercise of the underwriters' over-allotment option for 2,500,000 additional units.
  • · The company is an emerging growth company and has not elected to use the extended transition period for complying with new financial accounting standards.
  • · The audited balance sheet as of June 26, 2026 is filed as Exhibit 99.1 to this 8-K.
CULTIVAR CAPITAL, INC. 13F-HR neutral materiality 5/10

08-07-2026

Cultivar Capital, Inc. filed its quarterly 13F-HR for the period ending June 30, 2026, reporting total holdings of approximately $155.3 million across 40 positions. The largest holdings include the Cultivar ETF ($39.4M), iShares Core US Aggregate Bond ETF ($25.2M), and Alpha Architect ETF ($20.1M), while smaller positions include Apple, Tesla, and Berkshire Hathaway. The portfolio shows a mix of ETFs and individual equities, with no period-over-period comparisons available in this filing.

  • · The portfolio is heavily weighted toward ETFs, with the top three positions (Cultivar ETF, iShares Core US Aggregate Bond ETF, Alpha Architect ETF) comprising approximately 54.5% of total holdings.
  • · The Cultivar ETF, managed by the same firm, is the largest single position at $39.4M (25.4% of portfolio).
  • · Individual stock positions are relatively small, with the largest being Weyerhaeuser at $14.7M (9.5% of portfolio).
  • · The portfolio includes a mix of sectors: energy (Valero, ONEOK, Williams), technology (Apple, IBM, Cisco, Texas Instruments), healthcare (Johnson & Johnson, AbbVie, Pfizer, GSK), financials (JPMorgan, US Bancorp, Prosperity Bancshares, Prudential), and utilities (Southern Co, Duke Energy, NextEra Energy).
  • · Notable small positions include Tesla ($243.5K, 579 shares) and Berkshire Hathaway ($217.7K, 435 shares).
  • · The filing indicates all shares are held with sole voting and dispositive power.

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