US Pre-Market SEC Filings Roundup — July 10, 2026

09-07-2026

10% owner Insight Holdings Group, LLC sold 122,188 Class A Common Stock at $90.23 (~$11M). 12 transactions reported in total. Insight Holdings Group, LLC holds 443 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · 10% owner Insight Holdings Group, LLC sold 122,188 Class A Common Stock at $90.23 (~$11M)
• · 10% owner Insight Holdings Group, LLC sold 2,907 Class A Common Stock at $90.23 (~$262K)
• · 10% owner Insight Holdings Group, LLC sold 100,195 Class A Common Stock at $90.23 (~$9.04M)
• · 10% owner Insight Holdings Group, LLC sold 19,382 Class A Common Stock at $90.23 (~$1.75M)
• · 10% owner Insight Holdings Group, LLC sold 87,848 Class A Common Stock at $90.17 (~$7.92M)
• · 10% owner Insight Holdings Group, LLC sold 2,090 Class A Common Stock at $90.17 (~$188K)
• · 10% owner Insight Holdings Group, LLC sold 72,036 Class A Common Stock at $90.17 (~$6.5M)
• · 10% owner Insight Holdings Group, LLC sold 13,935 Class A Common Stock at $90.17 (~$1.26M)

09-07-2026

See Remarks Frangou Angeliki bought 1,108 Common Unit at $76.14 (~$84.4K). Frangou Angeliki holds 4,765,449 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · See Remarks Frangou Angeliki bought 1,113 Common Unit at $75.12 (~$83.6K)
• · See Remarks Frangou Angeliki bought 1,108 Common Unit at $76.14 (~$84.4K)
• · See Remarks Frangou Angeliki bought 1,099 Common Unit at $73.74 (~$81K)

09-07-2026

Chairperson & CEO ROTHBLATT MARTINE A sold 2,863 Common Stock at $551.03 (~$1.58M). 10 transactions reported in total. ROTHBLATT MARTINE A holds 40,513 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Chairperson & CEO ROTHBLATT MARTINE A exercised/converted 9,500 Common Stock at $135.42 (~$1.29M)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 440 Common Stock at $548.16 (~$241K)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 1,536 Common Stock at $549.01 (~$843K)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 1,452 Common Stock at $550.12 (~$799K)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 2,863 Common Stock at $551.03 (~$1.58M)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 1,648 Common Stock at $552.38 (~$910K)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 801 Common Stock at $553.29 (~$443K)
• · Chairperson & CEO ROTHBLATT MARTINE A sold 640 Common Stock at $554.23 (~$355K)

09-07-2026

10% owner Oasis Management Co Ltd. sold 20,000 Common Stock, par value $0.01 per share at $27.51 (~$550K). 4 transactions reported in total. Oasis Management Co Ltd. holds 784,797 shares after the transaction.

• · 10% owner Oasis Management Co Ltd. sold 10,000 Common Stock, par value $0.01 per share at $27.52 (~$275K)
• · 10% owner Oasis Management Co Ltd. sold 20,000 Common Stock, par value $0.01 per share at $27.50 (~$550K)
• · 10% owner Oasis Management Co Ltd. sold 8,720 Common Stock, par value $0.01 per share at $27.50 (~$240K)
• · 10% owner Oasis Management Co Ltd. sold 20,000 Common Stock, par value $0.01 per share at $27.51 (~$550K)

09-07-2026

Bellevue Capital Partners, LLC and related entities filed Amendment No. 25 to their Schedule 13D for American Strategic Investment Co. (formerly New York City REIT, Inc.), disclosing that on July 7, 2026, Bellevue distributed 300,000 shares to Edward M. Weil, Jr. as a distribution of partnership assets. Additionally, on July 9, 2026, Mr. Weil ceased to be part of the reporting group. Bellevue Capital Partners continues to hold 1,794,087 shares (56.7% of the outstanding Class A common stock), while Nicholas S. Schorsch beneficially owns 1,820,646 shares (57.5%).

• · Bellevue Capital Partners, LLC purchased shares in open market from June 15 to June 30, 2026, with prices ranging from $7.71 to $9.85 per share.
• · On July 7, 2026, Bellevue distributed 300,000 shares to Edward M. Weil, Jr. as a distribution of partnership assets.
• · On July 9, 2026, Edward M. Weil, Jr. ceased to be part of the reporting group.

09-07-2026

Director MCMILLAN CARY D sold 2,892 Common Stock, without par value at $16.78 (~$48.5K).

• · Director MCMILLAN CARY D sold 2,892 Common Stock, without par value at $16.78 (~$48.5K)

09-07-2026

President & CEO Workman Kurt had withheld for taxes 21,001 Common Stock at $5.91 (~$124K). Workman Kurt holds 1,211,079 shares after the transaction.

• · President & CEO Workman Kurt had withheld for taxes 21,001 Common Stock at $5.91 (~$124K)

09-07-2026

See Remarks Watson Danielle was awarded 25,000 Restricted Stock Units.

• · See Remarks Watson Danielle was awarded 25,000 Restricted Stock Units

09-07-2026

Director Bess Lane acquired 2,000,000 Common Stock. Bess Lane holds 14,446,783 shares after the transaction.

• · Director Bess Lane acquired 2,000,000 Common Stock

09-07-2026

Chief Financial Officer OBRIEN JAMES MICHAEL was awarded 650,000 Option (Right to buy).

• · Chief Financial Officer OBRIEN JAMES MICHAEL was awarded 650,000 Option (Right to buy)

10-07-2026

Noah Holdings Limited filed a Form 6-K with the SEC on July 10, 2026, announcing updates regarding the final dividend for the year ended December 31, 2025, and a special dividend, as well as the payment of both dividends. The filing provides no financial figures or performance metrics, only procedural dividend updates.

• · The filing includes three exhibits: Announcement—Final Dividend for the Year Ended December 31, 2025 (Updated), Announcement—Special Dividend (Updated), and Announcement—Payment of Final Dividend and Special Dividend.
• · The company's principal executive office is located at 333 North Bridge Road, #05-11 Odeon 333, Singapore 188721.

10-07-2026

ChipMOS Technologies reported June 2026 monthly revenues of NT$2,538.4 million (US$79.7 million), up 6.5% month-over-month and 37.2% year-over-year. For the second quarter of 2026, consolidated revenues reached NT$7,383.1 million (US$231.8 million), representing a 6.5% sequential increase and a 28.7% YoY gain. The filing shows strong growth momentum in both monthly and quarterly comparisons.

• · Monthly revenue in USD for June 2026 was $79.7 million, up from $74.9 million in May 2026 and $58.1 million in June 2025.
• · Quarterly revenue in USD for Q2 2026 was $231.8 million, compared to $217.8 million in Q1 2026 and $180.1 million in Q2 2025.

10-07-2026

Sentient Brands Holdings Inc. entered into confidential settlement and cooperation agreements with two former management members on July 1, 2026, as part of its Compliance and Restitution initiative. The agreements provide for the surrender and cancellation of 455,496 restricted shares (13,664,747 pre-reverse-split shares) without any monetary payment, in exchange for cooperation in contemplated legal actions. The company is coordinating with 25 investor plaintiff parties, but no lawsuits have been filed yet and the outcome remains uncertain.

• · The agreements are confidential and were not filed as exhibits to the 8-K.
• · The surrendered shares will be cancelled and restored to authorized but unissued shares, not held as treasury shares.
• · No monetary settlement consideration was paid to the plaintiff parties; reimbursement is limited to reasonable out-of-pocket expenses.
• · The agreements are governed by New York law, except for corporate authority and share matters which are governed by Nevada law.
• · The company has not filed any lawsuits yet and provides no assurance on timing, outcome, or amount of any recovery beyond the share cancellations already executed.

10-07-2026

Equinox Gold Corp. filed a Form 6-K with the SEC on July 10, 2026, attaching a press release dated the same day. The filing is a routine foreign issuer report under Rule 13a-16, with no specific financial results or material events disclosed in the cover page. The press release content is not included in the filing excerpt, so no quantitative data or performance metrics are available for analysis.

• · Filing is a Form 6-K (foreign private issuer report) for the month of July 2026.
• · Commission File Number: 001-39038.
• · The registrant files annual reports under Form 40-F.
• · Exhibit 99.1 is a press release dated July 10, 2026, but its content is not provided in the filing excerpt.

10-07-2026

InterContinental Hotels Group PLC repurchased a total of 308,550 ordinary shares over six trading days from June 26 to July 3, 2026, at an aggregate cost of approximately $52.8 million. The average price paid per share declined from $171.58 on June 26 to $166.44 on July 3, reflecting a downward trend in the share price during the buyback period.

• · Largest single-day purchase was 74,905 shares on June 29, 2026.
• · Lowest price paid per share across all dates was $164.55 on July 3, 2026.
• · Highest price paid per share across all dates was $174.60 on June 30, 2026.
• · Average price paid per share declined each day from June 26 ($171.58) to July 3 ($166.44), a drop of approximately 3%.

10-07-2026

POSCO HOLDINGS INC. filed its 2025 Sustainability Report with the SEC on July 10, 2026. The report, verified by KPMG Samjong Accounting Corp., covers the company's ESG strategies, performance, and governance frameworks, prepared in accordance with GRI, SASB, and TCFD standards. The filing is a routine disclosure of the company's annual sustainability report and contains no financial results or material operational changes.

• · Report was verified by KPMG Samjong Accounting Corp.
• · Report follows GRI Standards (Core option), SASB industry classification, and TCFD recommendations.
• · Financial information is prepared under Korean International Financial Reporting Standards (K-IFRS).
• · Report is available on the POSCO Holdings website.

10-07-2026

La Rosa Holdings Corp. filed a Certificate of Designation to create 10,000 shares of Series E Convertible Preferred Stock, each convertible into common shares at $1.58 per share. The new series ranks senior to common stock and junior to any future senior preferred stock, and the company is restricted from issuing certain junior stock with a redemption date before the second anniversary of the initial issuance. This financing move provides the company with additional capital flexibility but also introduces potential dilution for existing common shareholders.

• · The Series E Convertible Preferred Stock ranks senior to common stock (Junior Stock) and on parity with any Parity Stock, but junior to any future Senior Preferred Stock.
• · The company is prohibited from issuing any Junior Stock with a maturity or redemption date prior to the second anniversary of the initial issuance date without holder consent.
• · Conversion mechanics require the company to deliver conversion shares within one trading day of a conversion notice, with a buy-in penalty if the company fails to deliver on time.
• · No shares of Series E Convertible Preferred Stock have been issued as of the filing date.

10-07-2026

Outlook Therapeutics, Inc. (OTLK) filed a DEFA14A supplemental proxy statement disclosing that it regained compliance with Nasdaq's minimum bid price requirement on June 25, 2026, after the closing bid price remained at or above $1.00 for ten consecutive business days. However, as of July 9, 2026, the stock closed at only $1.68 per share, and the company warns that adverse developments or market conditions could cause the price to fall below $1.00 again, potentially triggering delisting proceedings. The filing supplements the proxy statement's reverse stock split proposal, noting that if the board does not implement an approved split within one year of the meeting, further stockholder approval will be sought.

• · The company received a delisting notice on February 18, 2026, for failing to maintain a minimum bid price of $1.00 per share for 30 consecutive business days.
• · Compliance was regained after the closing bid price was at or above $1.00 for ten consecutive business days from June 11, 2026 to June 25, 2026.
• · As of July 9, 2026, the closing price was $1.68 per share, leaving limited margin above the $1.00 threshold.
• · If the board does not implement an approved reverse stock split within one year of the meeting, it will seek stockholder approval before implementing any split after that time.

10-07-2026

SK Telecom issued a 6-K filing on July 10, 2026, to clarify media reports regarding a potential equity investment by Kohlberg Kravis Roberts & Co. in its AI data center project, including speculation of a Won 1 trillion capital increase. The company stated that it is reviewing various strategic options but has made no specific determinations or decisions as of the filing date. SK Telecom expects to provide further disclosure when matters are determined or within one month.

• · The filing is a clarification response to media reports from News Tomato on July 10, 2026.
• · No specific determinations or decisions have been made regarding the potential investment or capital increase.
• · Further disclosure is expected when matters are determined, or within one month of the report date.

10-07-2026

Global Net Lease, Inc. disclosed that CEO Edward M. Weil, Jr. entered into a separation agreement with Bellevue Capital Partners LLC, the parent of the company's former advisor and property manager. Under the agreement, Bellevue will redeem Weil's non-controlling passive membership interest, and Weil will sever all ties with Bellevue and its subsidiaries. In exchange, Weil will receive 2,169,000 shares of GNL common stock, deliverable by January 8, 2027, or earlier if Bellevue's GNL holdings fall below 5,000,000 shares. The filing does not include any financial results or period-over-period comparisons.

• · The separation agreement was effective July 2, 2026.
• · Weil will no longer hold any position in Bellevue or its subsidiaries.
• · The stock delivery is subject to certain conditions in the separation agreement.

10-07-2026

HDFC Bank Ltd filed a Form 6-K with the SEC on July 10, 2026, attaching an earnings call transcript related to its unaudited standalone and consolidated financial results for the quarter ended June 30, 2026. The filing is a routine disclosure of a foreign private issuer and does not contain specific financial figures or performance metrics.

10-07-2026

Caledonia Mining Corp Plc filed a Form 6-K with the SEC on July 10, 2026, covering the month of July 2026. The filing includes a press release dated July 10, 2026, as Exhibit 99.1, but no financial results or specific operational data are provided in the filing itself. The report is a routine foreign issuer disclosure with no material financial or operational metrics disclosed.

• · Filing is a Form 6-K for the month of July 2026.
• · Exhibit 99.1 is a press release dated July 10, 2026, but its content is not included in the filing text.
• · The registrant's principal executive office is in St Helier, Jersey.

10-07-2026

InnSuites Hospitality Trust (IHT) changed its independent auditor after BCRG Group was acquired by Simon & Edward LLP. The Audit Committee dismissed BCRG and appointed S&E effective July 9, 2026. BCRG's audit reports for fiscal years ended January 31, 2026 and 2025 contained no adverse opinion but included a going concern explanatory paragraph, indicating substantial doubt about the Trust's ability to continue as a going concern.

• · The change in auditor was triggered by S&E's acquisition of BCRG's attest business effective June 15, 2026.
• · No disagreements or reportable events occurred between the Trust and BCRG during the fiscal years ended January 31, 2026 and 2025 or the subsequent interim period.
• · The Trust did not consult S&E on any accounting or auditing matters prior to engagement.
• · BCRG provided a letter to the SEC agreeing with the Trust's statements, dated July 9, 2026.

10-07-2026

Market Technology Acquisition Corp, a Cayman Islands blank check company, filed Amendment No. 1 to its S-1 registration statement for an initial public offering of 20,000,000 units at $10.00 per unit, targeting $200,000,000 in gross proceeds. The company intends to focus on acquiring U.S. equities and options clearing infrastructure. The sponsor and BTIG have committed to purchase 600,000 private units for $6,000,000, and the sponsor previously purchased 7,666,667 founder shares for only $25,000, creating substantial potential dilution for public shareholders.

• · The company has not selected any business combination target and has not initiated any substantive discussions with any target.
• · The warrants become exercisable 30 days after the completion of the initial business combination and expire five years thereafter.
• · Public shareholders have redemption rights upon completion of the initial business combination, but holders of more than 15% of the shares sold in the offering are restricted from redeeming more than 15% without the company's prior consent.
• · The founder shares (Class B) were purchased at a nominal price of approximately $0.003 per share, leading to immediate and substantial dilution for public shareholders.
• · The sponsor and its affiliates have an incentive to complete a business combination even if the target subsequently declines in value, due to the low cost of founder shares.

10-07-2026

MDA Space Ltd. filed a Form 6-K with the SEC on July 10, 2026, disclosing an amended and restated underwriting agreement and pricing term sheet dated July 9, 2026, along with related exhibits. The filing also includes a press release and consents of legal counsel. No financial results or performance metrics were provided in this filing.

• · Exhibits include an amended and restated underwriting agreement (Exhibit 99.1) and pricing term sheet (Exhibit 99.2) dated July 9, 2026.
• · Exhibits 99.1 and 99.2 are incorporated by reference into the company's registration statement on Form F-10 (File No. 333-297319).
• · The filing also includes a blackline comparison of the pricing term sheet from July 8, 2026, to the amended version dated July 9, 2026 (Exhibit 99.3).
• · A press release dated July 9, 2026, is included as Exhibit 99.4.
• · Consents of Goodmans LLP (Exhibit 99.5) and Osler, Hoskin & Harcourt LLP (Exhibit 99.6) are provided.

10-07-2026

TryHard Holdings Ltd filed an amendment (6-K/A) to correct a typographical error in its original 6-K filing: the record date for the Extraordinary General Meeting was corrected from July 9, 2026 to July 6, 2026. The filing also includes the notice of the meeting, a proxy card, and a press release announcing the Extraordinary General Meeting. No other changes were made to the original filing.

• · The original 6-K was filed on July 9, 2026.
• · The corrected record date is July 6, 2026.
• · The Extraordinary General Meeting is being held, and the notice and proxy card are attached as exhibits.
• · A press release announcing the meeting was issued on July 6, 2026.

10-07-2026

News Corp filed an 8-K on July 10, 2026, disclosing its ongoing stock repurchase program, under which it is authorized to buy back up to $1 billion in aggregate of its Class A and Class B common stock. The filing includes copies of daily transaction disclosures provided to the Australian Securities Exchange (ASX) as required by ASX rules. The company reiterates its intent to repurchase shares from time to time, subject to market conditions and other factors.

• · The repurchase program covers both Class A common stock (ticker NWSA) and Class B common stock (ticker NWS), both listed on Nasdaq.
• · The company is required to provide daily transaction disclosures to the ASX under ASX rules.
• · Exhibits 99.1 and 99.2 contain the ASX disclosures and include forward-looking statements regarding the company's intent to repurchase shares.

10-07-2026

Northcape Capital Pty Ltd filed its quarterly 13F-HR report for the period ending June 30, 2026, disclosing its U.S. equity holdings as of that date. The portfolio is concentrated in emerging-market ADRs, with top positions in America Movil, HDFC Bank, and MercadoLibre. The filing shows a mix of sole and shared voting authority across holdings, but no period-over-period comparisons are available from this single snapshot.

• · The filing was signed by Maite Carvell, Head of Risk & Governance, on July 9, 2026.
• · America Movil is the largest holding at $250.3M (33.7% of portfolio), with shared voting authority on 3,739,764 shares.
• · MercadoLibre is the second-largest holding at $171.9M (23.2% of portfolio), with sole voting authority on 72,963 shares.
• · HDFC Bank ADR is the third-largest at $128.6M (17.3% of portfolio), with shared voting authority on 2,693,194 shares.
• · The smallest disclosed position is S&P Global at $2.0M (0.3% of portfolio), held with sole voting authority.
• · No period-over-period comparisons are possible as this is a single snapshot filing.

10-07-2026

Annovis Bio, Inc. announced on July 7, 2026, that it has completed full enrollment of its pivotal Phase 3 trial (NCT06709014) evaluating buntanetap in patients with early Alzheimer's disease. The trial enrolled 850 patients with pTau217-confirmed AD pathology across 83 clinical sites in the US. This milestone moves the company closer to potential data readout, but no efficacy or safety results are provided at this stage.

• · Trial enrollment completed on July 7, 2026.
• · All patients have pTau217-confirmed Alzheimer's pathology.
• · No financial figures or revenue data disclosed.

10-07-2026

Ionis Pharmaceuticals reaffirmed its previously announced financial guidance for FY 2026, unchanged from the guidance provided on April 29, 2026. The filing contains no new financial figures or performance updates, merely confirming existing projections.

• · Guidance was originally provided on April 29, 2026 in the Q1 2026 earnings release.
• · The filing is under Item 7.01 Regulation FD Disclosure and is not deemed filed for Section 18 purposes.

10-07-2026

SK hynix Inc. priced its U.S. IPO of 177,900,000 American Depositary Shares (ADSs) at US$149.00 per ADS, with total gross proceeds of approximately US$26.5 billion. The ADSs, each representing one-tenth of a common share, are approved for listing on the Nasdaq Global Select Market under the symbol “SKHY.” Cornerstone Investors—including Baillie Gifford Overseas, Coatue Management, and Situational Awareness Partners—have indicated an interest in purchasing up to an aggregate of US$7 billion of the ADSs, though those indications are non-binding.

• · The ADSs are to be delivered on or about July 14, 2026, the third business day after pricing.
• · Underwriters listed include BofA Securities, Citigroup, Goldman Sachs, J.P. Morgan as Global Coordinators, and several other firms.
• · The underwriters will receive the same underwriting discount on ADSs purchased by Cornerstone Investors as on other ADSs sold to the public.
• · The filing notes that there has been no prior public market for the ADSs.
• · Common shares are listed on the KRX KOSPI Market under the identification code “000660.”
• · The exchange rate used for conversion of Won to U.S. dollars in the prospectus is W1,523.5 per US$1.00 (as of March 31, 2026).

10-07-2026

EquipmentShare raised its full-year 2026 guidance, increasing the midpoint of Rental Segment revenue growth outlook to 33% from 29%, driven by strong customer demand and disciplined execution. The Board also authorized a $500 million share repurchase program through December 31, 2028. However, the company's OWN Program payouts and gross rental capex guidance also increased, reflecting higher costs associated with fleet expansion, and the number of full-service rental locations remained unchanged at 427-435.

• · Second quarter expected pro forma liquidity of approximately $2.6 billion.
• · Net bond proceeds of $1.3 billion funded on July 1, 2026.
• · Sales Segment EBITDA included in Adjusted Core EBITDA guidance: $224 – $240 million.
• · Full-service rental locations guidance unchanged at 427-435.
• · OEC guidance low-end raised to $10,577M from $10,150M, high-end raised to $11,627M from $11,200M.
• · Net Rental Capex guidance raised: low to $980M (from $839M), high to $1,060M (from $919M).
• · OWN Program % of OEC remains at 55-60%.

10-07-2026

Yoffe Investment Management, LLC filed its quarterly 13F-HR for the period ending June 30, 2026, reporting a diversified portfolio of 113 equity holdings with a total market value of approximately $87.35 million. The portfolio is heavily weighted toward ETFs (especially international and emerging-market funds) and large-cap U.S. stocks, with top positions in IBM, Caterpillar, and Walmart. The filing reflects a broad, multi-asset strategy with significant exposure to both domestic and international markets.

• · The portfolio includes 113 equity positions with a total market value of $87,354,634.
• · Top holdings by value include IBM ($3.30M), Caterpillar ($2.81M), Intel ($2.43M), Walmart ($2.12M), and Vanguard Small-Cap Index ETF ($4.35M).
• · The portfolio has a strong international tilt, with significant ETF positions in emerging markets, Asia, Europe, and Latin America.
• · Real estate exposure includes REITs such as Elme Communities, Essex Property Trust, Kimco Realty, Prologis, Simon Property Group, UMH Properties, Vornado Realty Trust, and Welltower.
• · No period-over-period comparisons are available as this is a single-quarter filing without prior-quarter data.

10-07-2026

LivePerson is seeking stockholder approval for its acquisition by SoundHound, which will combine SoundHound's voice and agentic AI platform with LivePerson's digital engagement solutions. The special meeting is scheduled for August 20, 2026, and the board unanimously recommends a 'for' vote. The filing does not disclose financial terms or performance metrics, so no period-over-period comparisons are available.

• · Special meeting date: August 20, 2026
• · Voting methods: online (www.proxyvote.com), phone (1-800-322-2885 or 1-800-690-6903), QR code, or mail
• · The filing is a DEFA14A (definitive additional proxy materials) filed on July 10, 2026

10-07-2026

BSTR Holdings, Inc. has entered into amendments to a loan agreement with its affiliate BSTR Holdings (Cayman) to increase the total principal sum to $4.6 million to fund operating costs and transaction expenses related to its pending business combination with Cantor Equity Partners I, Inc. The loan bears interest at SOFR plus 3.90% per annum and is repayable upon closing of the business combination, dissolution, or two years from the original agreement date. However, the parties are currently discussing a potential revised structure and amended terms for the business combination, introducing uncertainty into the transaction timeline.

• · The loan proceeds are intended to cover operating costs from January 1, 2026, plus transaction expenses related to the pending business combination.
• · Interest is payable annually starting on the first anniversary of the Loan Agreement.
• · Newco can prepay the principal at any time without premium or penalty.
• · The business combination parties are discussing a potential revised structure and amended terms (the 'Proposed Amended Transaction').

10-07-2026

Ausbil Investment Management Ltd filed its quarterly 13F-HR report for the period ending June 30, 2026, disclosing 66 equity holdings with a total market value of approximately $221,019,294. The portfolio is diversified across sectors including energy, utilities, industrials, and materials, with top positions in Entergy Corp ($14.6M), Cheniere Energy ($11.8M), CSX Corp ($12.6M), NextEra Energy ($11.6M), and H2O America ($12.3M). No prior-period comparison data is available in this filing, so performance trends cannot be assessed.

• · The filing was submitted on July 10, 2026, for the quarter ended June 30, 2026.
• · All 66 holdings are listed with sole voting and dispositive power; no shared or no-power positions are reported.
• · The portfolio includes a mix of large-cap utilities (Entergy, NextEra, Dominion, Eversource), energy infrastructure (Cheniere, Enbridge, Williams), and industrial/railroad stocks (CSX, Norfolk Southern, Canadian National Railway).
• · Notable smaller positions include Cameco Corp (700 shares, $71,234), Freeport-McMoRan (1,000 shares, $60,530), and IES Holdings (343 shares, $240,093).
• · The largest position by share count is Fortrea Holdings Inc with 229,826 shares valued at $4,040,341.

10-07-2026

DXP Enterprises increased its asset-based revolving credit facility (ABL) from $185 million to $225 million, adding $40 million in borrowing capacity. The facility matures on July 2, 2031, and can be further increased by up to $50 million. The company highlighted strong growth from 2021 to the last twelve months ending March 31, 2026, with sales rising from $1.1 billion to $2.1 billion and net income from $16.4 million to $88.1 million. No negative or flat metrics were reported in this filing.

• · The ABL Facility matures on July 2, 2031.
• · Interest rates: Term SOFR or Term CORRA plus 1.25% to 1.75% per annum, or alternate base rate plus 0.25% to 0.75% per annum, based on average daily excess availability.
• · The facility can be further increased by up to $50 million in minimum increments of $10 million.
• · The company operates in the United States, Canada, Mexico, and Dubai.
• · Business segments include Service Centers, Innovative Pumping Solutions, and Supply Chain Services.

10-07-2026

Ares Management Corporation disclosed a preliminary estimate of realized net performance income for the quarter ending June 30, 2026, expected to exceed $50 million, a significant increase from $16 million in the same quarter of 2025. The company cautioned that actual results may differ materially and that this estimate is not indicative of full-year performance.

• · The estimate is preliminary and subject to material change; the company has not completed financial closing procedures.
• · Realized net performance income is a non-GAAP measure; no GAAP reconciliation is provided due to unreasonable effort.
• · The company cautions that this estimate is not indicative of full-year 2026 results.
• · The filing is furnished under Items 2.02 and 7.01 and is not deemed filed for Exchange Act purposes.

10-07-2026

NOVONIX Ltd filed a Form 6-K with the SEC on July 10, 2026, attaching an ASX announcement regarding an updated timetable for its Share Purchase Plan (SPP). The filing was signed by CEO Mike O'Kronley. No financial results or material changes were disclosed.

• · The filing is a procedural update for the Share Purchase Plan timetable, not a financial disclosure.
• · No specific financial figures, growth metrics, or performance data were provided in the filing.

10-07-2026

Cyclerion Therapeutics, Inc. filed an S-4/A registration statement on July 9, 2026, detailing its proposed merger with Korsana Biosciences, Inc. The filing warns that Cyclerion is expected to become a shell company upon disposal of its historical assets, subjecting the combined company to stringent SEC requirements including a 12-month S-3 ineligibility, a 60-day S-8 filing delay, and three-year 'ineligible issuer' status. The filing also discloses that certain directors and executive officers have interests in the merger that may differ from those of other shareholders, including retention bonuses, extended option exercisability, and severance payments.

• · The combined company will be an 'ineligible issuer' for three years following the closing, preventing use of free writing prospectuses and well-known seasoned issuer status.
• · Rule 144(i)(2) will restrict public resale of Rule 145(c) securities and other restricted/control securities until one year after Form 10 information is filed with the SEC.
• · Affiliates of Korsana receiving securities in the merger may be deemed underwriters for resales, limiting their ability to include those securities in the anticipated Form S-1 resale registration statement.

10-07-2026

Ace Green Recycling, Inc. filed an S-4/A registration statement with the SEC on July 10, 2026, related to its business combination with Athena Technology Acquisition Corp. II. The filing includes financial statements for the fiscal year ended December 31, 2025, showing a net loss of $1,500,000 compared to a net loss of $2,000,000 in the prior year. The company had $5,000,000 in cash and cash equivalents as of December 31, 2025, down from $8,000,000 a year earlier.

• · The filing is an S-4/A registration statement for a business combination between Ace Green Recycling and Athena Technology Acquisition Corp. II.
• · The company's cash position decreased by $3.0M from $8.0M to $5.0M during fiscal year 2025.

10-07-2026

Netskope Inc. held its 2026 annual meeting on July 7, 2026, where stockholders approved the election of Sanjay Beri and Arif Janmohamed as Class I directors and ratified KPMG LLP as the independent auditor for fiscal year ending January 31, 2027. Both proposals passed with overwhelming support, with over 93% of votes cast in favor of each director and over 99% of votes cast for the auditor ratification.

• · The annual meeting was held on July 7, 2026.
• · The proxy statement was filed on May 27, 2026.
• · The elected directors will serve until the 2029 annual meeting.
• · KPMG LLP was ratified as the independent auditor for the fiscal year ending January 31, 2027.
• · No broker non-votes were cast on the auditor ratification proposal.

10-07-2026

Ocean Park Asset Management, LLC filed its Form 13F-HR with the SEC for the quarter ended June 30, 2026, reporting total holdings valued at approximately $2.076 billion across 81 equity positions. The portfolio is heavily concentrated in fixed-income ETFs, particularly high-yield corporate bonds, senior loans, and broad USD high-yield strategies, with top holdings including iShares Broad USD High Yield ETF ($307M), SPDR Series Trust ST BLOO High ETF ($169.7M), and iShares IBOXX Hi Yd ETF ($159M). The filing reflects a significant fixed-income focus with limited equity exposure, suggesting a conservative or income-oriented investment mandate.

• · The firm changed its name from Wright Fund Management, LLC to Ocean Park Asset Management, LLC on April 22, 2022.
• · All 81 positions are held with sole voting and dispositive power; no shared authority is reported.
• · The portfolio includes a small proprietary ETF position: Northern Lights FD TR OCEA PK DIVE ETF (ticker likely DIVE) valued at $228,304.
• · The filing covers the period ending June 30, 2026, and was filed on July 10, 2026.
• · The firm's business address is in Santa Monica, CA, and the filing agent is Aryn Sands based in Reno, NV.