US Pre-Market SEC Filings Roundup — July 13, 2026

13-07-2026

ZTO Express filed a Form 6-K with the SEC for July 2026, attaching a Next Day Disclosure Return dated July 7, 2026. The filing is a routine regulatory disclosure with no financial results or material events reported.

13-07-2026

AngloGold Ashanti PLC filed a Form 6-K with the SEC on July 13, 2026, attaching a shareholder communication letter as an exhibit. The filing is a routine foreign issuer report and does not contain any financial results, material transactions, or regulatory actions.

13-07-2026

HDFC Bank Limited filed its Integrated Annual Report for FY 2025-26 with the SEC via Form 6-K on July 13, 2026. The filing is a routine disclosure of the annual report by a foreign private issuer and does not contain specific financial figures or performance metrics.

• · The Integrated Annual Report covers FY 2025-26.
• · The filing was signed on July 10, 2026.
• · The report is furnished as Exhibit 99 to the Form 6-K.

13-07-2026

GigaCloud Technology Inc held its Annual Meeting on July 10, 2026, where shareholders ratified the appointment of Grant Thornton LLP as the independent auditor for the fiscal year ending December 31, 2026. The proposal was overwhelmingly approved with 91,729,257 votes in favor, 31,636 against, and 4,383 abstentions, with no broker non-votes. Quorum was achieved with 90.23% of combined voting power represented.

• · Class A shareholders had one vote per share; Class B had ten votes per share.
• · Record date was April 28, 2026.
• · No broker non-votes were cast on the proposal.
• · All classes voted together as a single class on all matters.

13-07-2026

New Century Logistics (BVI) Ltd filed a Form 6-K with the SEC on July 13, 2026, containing unaudited condensed consolidated financial statements for the six months ended March 31, 2026, with comparative figures for the same period in 2025. The filing provides interim financial performance data but does not disclose specific results or commentary.

• · Filing is a Form 6-K (Foreign Issuer Report) submitted to the SEC
• · Financial statements are unaudited and condensed
• · Reporting period: six months ended March 31, 2026, with comparative period for six months ended March 31, 2025
• · Signed by CEO Ching Shun Ngan

13-07-2026

Lisata Therapeutics filed Amendment No. 2 to its Schedule 14D-9, extending the tender offer by Kuva Acquisition Corp. (a subsidiary of Kuva Labs Inc.) to July 16, 2026. As of July 10, 2026, approximately 5,105,552 shares (55.98% of outstanding) had been validly tendered, exceeding the minimum condition. The offer price is $4.00 per share in cash at closing plus up to $3.00 per share in contingent value rights (CVRs) tied to milestones.

• · The tender offer was extended from July 10, 2026 to July 16, 2026.
• · The depositary reported 5,105,552 shares tendered as of 12:45 p.m. on July 10, 2026.
• · The offer includes a contingent value right (CVR) with potential additional payments up to $3.00 per share.
• · Parent and Purchaser expect consummation promptly after the extended expiration, subject to remaining conditions.

13-07-2026

Research Alliance Corporation IV priced its initial public offering of 7,500,000 Class A ordinary shares at $10.00 per share, raising $75,000,000 in gross proceeds. The SPAC will deposit $75,000,000 into a trust account and has 24 months to complete an initial business combination. Unlike many SPAC IPOs, this offering does not include warrants, and investors face immediate and substantial dilution from founder shares purchased at approximately $0.02 per share.

• · The SPAC is a newly organized blank check company incorporated in the Cayman Islands.
• · No business combination target has been selected, and no substantive discussions have been initiated.
• · Public shareholders may redeem shares upon completion of a business combination, but are restricted from redeeming more than 15% of the public shares without the company's consent.
• · If no business combination is completed within 24 months, the company will redeem 100% of public shares for cash.
• · The sponsor has indicated an interest to purchase up to $100 million of ordinary shares in a private placement concurrent with the business combination, but this is not binding.
• · Up to $300,000 in loans from the sponsor for offering-related expenses will be repaid from offering proceeds.
• · The founder shares are subject to anti-dilution rights that may result in conversion at a ratio greater than one-to-one.
• · The company is an 'emerging growth company' and 'smaller reporting company'.

13-07-2026

KE Holdings Inc. filed a Form 6-K with the SEC for July 2026, attaching Next Day Disclosure Returns dated July 7–10, 2026. The filing is a routine foreign issuer report and does not contain any financial results, material events, or operational updates.

• · The filing includes Next Day Disclosure Returns for July 7, 8, 9, and 10, 2026, but their content is not disclosed in the filing.

13-07-2026

Scully Royalty Ltd. announced that its Board of Directors adopted a Policy on Shareholder Reimbursements and Payments on July 11, 2026, effective immediately. The policy prohibits the company from making reimbursements or payments to shareholders without obtaining approval from at least 75% of shareholders. This governance change aims to enhance shareholder oversight and control over company expenditures.

• · Policy adopted on July 11, 2026, effective immediately.
• · Policy prohibits shareholder reimbursements without 75% shareholder approval.
• · Press release issued on July 12, 2026.
• · Filing made with the SEC on Form 6-K for July 2026.

13-07-2026

SharkNinja, Inc. disclosed that on July 10, 2026, its board granted Chairman CJ Xuning Wang a one-time waiver from the company's insider trading blackout policy, allowing him to sell a portion of his holdings to an existing institutional investor in a private, exempt transaction. The board determined the waiver was appropriate after reviewing the facts and circumstances.

• · The waiver was approved on July 10, 2026.
• · The sale was made to an existing institutional investor in a transaction exempt from registration requirements.
• · The waiver is a one-time limited exception to the company's Insider Trading Policy and Code of Business Conduct and Ethics.

13-07-2026

Ayalon Insurance Comp Ltd. filed its Form 13F-HR for the quarter ended June 30, 2026, disclosing 66 equity holdings with a total market value of approximately $814,954. The portfolio is heavily weighted toward U.S. and international ETFs, with the top holdings being Vanguard S&P 500 ETF ($70,950), SPDR S&P 500 ETF Trust ($70,735), and Technology Select Sector SPDR ETF ($65,192). The filing reflects a diversified, passive-oriented investment strategy with significant exposure to technology, emerging markets, and sector-specific ETFs.

• · The filing was signed by Chairman Avigdor Kaplan and CEO Sharon Reich on July 13, 2026.
• · The largest single stock holding is Apple Inc. ($10,998), followed by NVIDIA Corp ($9,985) and Amazon.com Inc ($9,705).
• · The portfolio includes niche ETFs such as Global X Uranium ETF ($2,709), Invesco Solar ETF ($2,325), and Roundhill Memory ETF ($3,212).
• · The smallest disclosed positions include Mobileye Global Inc ($206) and SPDR Dow Jones Industrial Average ETF Trust ($263).

13-07-2026

Elbit Systems Ltd. filed a Form 6-K with the SEC on July 13, 2026, attaching a press release of the same date. The filing is a routine foreign issuer report and does not contain any financial results or material corporate events.

• · Filing is a Form 6-K for the month of July 2026.
• · Commission File Number: 000-28998.
• · Principal executive offices located at Advanced Technology Center, P.O.B. 539, Haifa 3100401, Israel.
• · The registrant files annual reports under Form 20-F.

13-07-2026

Southern California Gas Company (SoCalGas) is urging shareholders to vote FOR a proposal to retire all outstanding shares of Preferred Stock and Series A Preferred Stock for a cash payment, which represents a premium of more than 20% over recent market prices, estimated fair value, and par value. The Board believes this will simplify the capital structure and allow shareholders to pursue more attractive investments, as the preferred stock has experienced material price declines, low trading volume, low liquidity, and high brokerage fees. The special meeting is scheduled for August 6, 2026.

• · Special Meeting of Shareholders scheduled for Thursday, August 6, 2026.
• · Proposal 1: Amendment and Restatement of Restated Articles of Incorporation to retire all outstanding shares of Preferred Stock and Series A Preferred Stock and make certain other related changes.
• · Proposal 2: Adjournment of the Special Meeting, if necessary or appropriate.
• · Trading prices of preferred stock have materially declined in recent years.
• · Low trading volume, low liquidity, and higher brokerage fees reduce shareholders' ability to liquidate positions.
• · Most preferred stock positions are relatively small.
• · Shareholders can vote via Internet at www.proxyvote.com or by telephone.
• · Assistance available from D.F. King & Co., Inc. toll free at (800) 769-7666.

13-07-2026

Patriot National Bancorp Inc. disclosed that on July 7, 2026, its bank subsidiary received an OCC letter removing its 'troubled condition' designation. This follows the termination of the Formal Agreement with the OCC on July 1, 2026. The filing is a positive regulatory update, reversing a prior troubled condition status that had been in place since at least January 2025.

• · The OCC letter is dated July 7, 2026, and the 8-K was filed on July 13, 2026.
• · The troubled condition removal is under 12 U.S.C. §1831i and 12 C.F.R. §5.51.
• · The prior troubled condition designation was disclosed on January 21, 2025.
• · The termination of the Formal Agreement with the OCC was disclosed on July 1, 2026.

13-07-2026

Amphastar Pharmaceuticals appointed Anthony Pierce as a Class III director, effective July 9, 2026, increasing the board size from 10 to 11. Mr. Pierce is independent under Nasdaq standards and will receive an annual cash retainer of $55,000 (pro-rated) and an initial equity grant with an aggregate grant date fair value of $300,000, consisting of 50% restricted stock units and 50% stock options. No other financial metrics or period-over-period comparisons are provided in this filing.

• · Mr. Pierce was not appointed to any board committees at this time.
• · The board size was increased from 10 to 11 directors.
• · Mr. Pierce's initial equity grant vests on the first anniversary of the grant date, subject to continued service.
• · The company will enter into its standard form of indemnification agreement with Mr. Pierce.

13-07-2026

Zhihu Inc. filed a Form 6-K with the SEC on July 13, 2026, attaching five routine disclosure returns related to its Hong Kong listing, including Next Day Disclosure Returns dated July 3, 7, 8, and 9, 2026, and a Monthly Return for Equity Issuer. These filings are standard administrative disclosures regarding movements in securities and do not contain any material financial or operational updates.

• · The filing includes five exhibits: four Next Day Disclosure Returns (July 3, 7, 8, 9, 2026) and one Monthly Return for Equity Issuer and Hong Kong Depositary Receipts listed under Chapter 19B of the Exchange Listing Rules.
• · No financial results, material events, or operational changes were disclosed in this filing.

13-07-2026

Adagio Medical Holdings, Inc. filed Amendment No. 1 to its Form 10-K for the fiscal year ended December 31, 2025, solely to correct an inadvertent omission in the certifications under Exhibits 31.1 and 31.2. No other changes were made to the original filing. The company's common stock trades on Nasdaq under the symbol ADGM, and as of June 30, 2025, the aggregate market value of common stock held by non-affiliates was $7.0 million.

• · The amendment was filed on July 13, 2026, to correct an inadvertent omission of certain language from paragraph 4 of the Exhibit 31.1 and 31.2 certifications.
• · The original Form 10-K was filed on March 27, 2026.
• · The company is a smaller reporting company and an emerging growth company.
• · The company is not a shell company.

13-07-2026

Evaxion A/S, a clinical-stage TechBio company, announced new preclinical data for its cytomegalovirus (CMV) vaccine program EVX-V1 via a press release on July 12, 2026. The filing is a routine foreign issuer report (Form 6-K) incorporating the press release by reference into several registration statements. No financial figures or period-over-period comparisons were provided in this filing.

• · The press release was issued on July 12, 2026.
• · The filing is incorporated by reference into multiple registration statements (Forms S-8, F-3, F-1).
• · The company is headquartered in Hoersholm, Denmark.

13-07-2026

Royale Energy, Inc. filed an amended 8-K/A on July 13, 2026, to provide audited and unaudited financial statements and pro forma financials for the Pradera Fuego acquisition properties. The filing includes audited statements for the year ended December 31, 2024, unaudited statements for the six months ended June 30, 2025, and pro forma consolidated financials for the same periods. No specific financial figures or performance metrics are disclosed in this filing, so no positive or negative trends can be assessed.

• · The filing is an amendment (8-K/A) to a prior 8-K filed on September 10, 2025.
• · Exhibits include audited statements of revenues and direct operating expenses of the Pradera Fuego Acquisition Properties for FY 2024, unaudited statements for H1 2025, and unaudited pro forma consolidated financials for the company as of and for the period ended June 30, 2025 and the year ended December 31, 2024.
• · Consent from BDO USA, P.C. is included as Exhibit 23.1.

13-07-2026

YY Group Holding Ltd. filed an F-3 registration statement on July 10, 2026, detailing a series of acquisitions completed in 2025 and early 2026, including Mediaplus Venture Group (54% stake), Property Facility Services (99.99997%), YY Circle (HK) (90%), 24iFM assets, YY Circle (TH) (49%), Uniforce Security (100%), TransOcean Oil (53%), and Pesticide Pest Control (100%). The company also disclosed that it regained Nasdaq compliance on April 15, 2026, after its bid price fell below $1.00, and completed several financings, including a September 2025 offering raising ~$4 million and a February 2026 convertible note offering for up to $11.88 million. While the acquisitions and financings signal growth ambitions, the company's reliance on dilutive equity and convertible debt, along with the prior Nasdaq deficiency, highlight financial strain.

• · The company repurchased all unexercised 14,285,718 September 2025 Warrants for $857,143 on January 27, 2026.
• · Ault Lending promissory note was repaid in full on March 4, 2026 for $1,109,945.21.
• · Convertible Notes carry an 8% original issue discount, 10% interest (18% on default), and a conversion floor price of $0.092 per share (pre-split).
• · The company's Class B ordinary shares voting rights were increased from 20 votes per share to 500 votes per share on December 31, 2025.
• · The company regained Nasdaq compliance on April 15, 2026 after maintaining a $1.00 bid price for 16 consecutive business days.

13-07-2026

Avricore Health Inc. filed a Form 6-K with the SEC, attaching its interim financial statements and MD&A for the period ended March 31, 2026, along with certifications. The filing also includes a news release announcing the closing of a $1.254 million financing and a related report of exempt distribution. The filing discloses no specific revenue, profit, or segment performance metrics, preventing a full period-over-period comparison.

• · Interim financial statements and MD&A are for the period ended March 31, 2026, released on June 1, 2026.
• · CEO and CFO certifications under NI 52-109FV2 were filed.
• · The financing of $1.254M closed on June 17, 2026, per the attached news release.
• · A report of exempt distribution (45-106F1) was dated June 23, 2026.

13-07-2026

Public Storage (PSA) and its subsidiary PSOC entered into an underwriting agreement on July 9, 2026, to sell $900 million aggregate principal amount of senior notes in two tranches: $400 million of 4.700% notes due 2032 and $500 million of 5.150% notes due 2036. The net proceeds will partially finance the pending acquisition of National Storage Affiliates Trust and for general corporate purposes. The offering is expected to close on July 20, 2026.

• · The 2032 notes were issued at 99.283% of par value and mature on February 1, 2032.
• · Interest on the 2032 notes is payable semi-annually on February 1 and August 1, commencing February 1, 2027.
• · The 2036 notes were issued at 98.553% of par value and mature on August 15, 2036.
• · Interest on the 2036 notes is payable semi-annually on February 15 and August 15, commencing February 15, 2027.
• · The offering was made under a shelf registration statement on Form S-3 filed December 2, 2024.
• · The underwriting agreement includes customary representations, warranties, and indemnification provisions.

13-07-2026

Avalon GloboCare Corp. (ALBT) filed an S-1 registration statement with the SEC on July 10, 2026, for a proposed public offering of its common stock. The filing details a recent management overhaul, including the appointment of Sam Knipper as CFO (June 2026) and Luisa Ingargiola as Chief Strategy Officer (June 2026), following the resignation of the former CEO and three directors in late 2025 and early 2026. The company is a healthcare technology firm with a focus on AI and internet services, but the filing does not disclose the number of shares to be offered or the expected price range.

• · The S-1 registration statement was filed under SEC file number 333-297405.
• · The company's common stock is listed on The Nasdaq Capital Market.
• · The board currently has four directors, three of whom are classified as independent under Nasdaq rules.
• · The positions of Chairman and CEO are separated; Meng Li serves as Interim CEO while Wenzhao Lu remains Chairman.
• · The filing does not include the proposed maximum aggregate offering price or number of shares.

13-07-2026

XAI Octagon Floating Rate & Alternative Income Trust (XFLT) is holding a Special Meeting on July 30, 2026, to approve a new investment sub-advisory agreement with King Street Capital Management (via its subsidiary Rockford Tower Asset Management), replacing the terminated sub-adviser Octagon Credit Investors. The Board unanimously supports the change, citing the Fund's severe underperformance under Octagon: -19.09% over one year and -4.30% over three years versus its benchmark as of March 31, 2026. However, the terminated sub-adviser is waging a proxy contest against the proposal, and the outcome remains uncertain.

• · The terminated sub-adviser Octagon has initiated a proxy contest against the proposal, making what the Board calls 'false and misleading statements'.
• · The Board notes that Octagon's CLOs experienced seven defaults in 2026 despite historic lows in CLO defaults over the past seven years.
• · Octagon offered to take over as investment adviser and reduce the Fund's advisory fee, but the Board rejected this as not in shareholders' best interest and not on the ballot.
• · The Board emphasizes that King Street's track record includes managing a strategy similar to the Fund's, even though it was not publicly disclosed before becoming sub-adviser.

13-07-2026

AB CarVal Credit Opportunities Fund filed definitive additional proxy materials (DEFA14A) on July 13, 2026, notifying shareholders of a required vote on new advisory agreements following the merger of equals between Equitable Holdings, Inc. (the fund's parent) and Corebridge Financial, Inc. announced on March 26, 2026. Proxy ballots were mailed in late June, and shareholders must vote before the August 3, 2026 shareholder meetings. The filing includes internal communications urging employee-shareholders to vote and directing questions to Sodali & Co. or their financial advisor.

• · The merger of equals between Equitable Holdings and Corebridge Financial was announced on March 26, 2026.
• · Proxy ballots were mailed or emailed to shareholders in late June 2026.
• · Shareholder meetings are scheduled for August 3, 2026.
• · Shareholders can contact Sodali & Co. at 800-311-1512 for proxy questions.
• · The filing includes internal communications via AB's internal website (The Loop) and employee email.

13-07-2026

AB Private Lending Fund filed a DEFA14A (definitive additional proxy materials) on July 13, 2026, related to the merger of its parent company, Equitable Holdings, Inc., with Corebridge Financial, Inc., announced on March 26, 2026. Shareholders of AB funds must vote to approve new advisory agreements by the shareholder meetings on August 3, 2026. The filing includes internal communications urging employees who own AB fund shares to vote and providing contact information for questions.

• · The merger of Equitable Holdings and Corebridge Financial is described as a 'merger of equals'.
• · Proxy ballots were mailed or emailed to shareholders in late June 2026.
• · Shareholder meetings are scheduled for August 3, 2026.
• · Employees who hold AB funds in a Bernstein account are directed to contact their Bernstein Advisor for questions.

13-07-2026

Banco Santander (Brasil) S.A. approved the declaration and payment of Interest on Equity (JCP) in the gross amount of R$ 2,000,000,000.00 (R$ 0.25461616380 per common share, R$ 0.28007778018 per preferred share, R$ 0.53469394398 per Unit). The net amount after withholding tax is R$ 1,650,000,000.00. The payment will be made on August 6, 2026, to shareholders of record as of July 21, 2026, with shares trading ex-interest from July 22, 2026. The JCP will be fully considered within the mandatory dividends for 2026.

• · The JCP will be fully considered within the mandatory dividends for 2026.
• · Payment date is August 6, 2026, with no monetary restatement compensation.
• · Record date for entitlement is July 21, 2026; shares trade ex-interest from July 22, 2026.
• · The JCP amount fits the limits settled in tax legislation.
• · The resolution is ad referendum of the Ordinary General Meeting to be held by April 30, 2027.

13-07-2026

AB Commercial Real Estate Private Debt Fund, LLC filed definitive additional proxy materials (DEFA14A) on July 13, 2026, to solicit shareholder approval of new advisory agreements following the announced merger of equals between Equitable Holdings (parent) and Corebridge Financial. The filing includes internal communications urging shareholders to vote before the August 3, 2026 shareholder meetings. No financial figures or performance metrics are provided in this solicitation.

• · Merger of equals between Equitable Holdings and Corebridge Financial announced on March 26, 2026.
• · Proxy ballots mailed/emailed to shareholders in late June 2026.
• · Shareholder meetings scheduled for August 3, 2026.
• · Proxy solicitation firm: Sodali & Co. (phone: 800-311-1512).
• · Internal communications distributed via AB's internal website (The Loop) and employee email.

13-07-2026

AB Private Credit Investors Corporation filed definitive additional proxy materials (DEFA14A) to solicit shareholder approval for new advisory agreements following the announced merger of equals between its parent company, Equitable Holdings, Inc., and Corebridge Financial, Inc. The proxy ballots were mailed in late June, and shareholders must vote before the August 3, 2026 shareholder meetings. The filing includes internal communications urging employees who own AB funds to vote and highlights the transaction as a positive step for the parent company, though no financial metrics or performance data are provided.

• · The merger of equals between Equitable Holdings and Corebridge Financial was announced on March 26, 2026.
• · Proxy ballots were mailed or emailed to shareholders in late June 2026.
• · Shareholder meetings are scheduled for August 3, 2026.
• · Shareholders can direct questions to Sodali & Co. at 800-311-1512 or their financial advisor.
• · Employees holding AB funds in a Bernstein account should contact their Bernstein Advisor.

13-07-2026

Onar Holding Corp reported revenue of $1,021,085 for Q1 2026, a 39% increase from $734,515 in Q1 2025, driven by growth in continuing operations. However, gross profit declined 41% to $56,239 from $94,656 due to a higher cost of revenues, and the net loss narrowed slightly to $1,128,066 from $1,287,502. The company's cash position dropped sharply to $11,213 from $94,420 at year-end 2025, and total stockholders' deficit widened to $6,652,712 from $5,859,225.

• · Total current liabilities of $10,616,250 exceed total assets of $3,963,538, indicating a working capital deficit.
• · Goodwill increased to $2,669,875 from $2,509,875, likely due to an acquisition.
• · Convertible notes payable, net rose to $2,441,608 from $2,067,997.
• · Operating loss improved to $325,643 from $1,017,226, a 68% reduction.
• · General and administrative expenses fell sharply to $344,876 from $1,002,556, a 66% decrease.
• · Depreciation and amortization declined to $37,006 from $109,326.
• · Net cash used in operating activities from continuing operations improved to $205,094 from $344,264.
• · The company issued 41,407,781 common shares upon conversion of notes payable and accrued interest during Q1 2026.
• · Series E Preferred Stock was issued for acquisition consideration (100 shares, $100,000).
• · Notes payable of $85,000 were issued as acquisition consideration.

13-07-2026

Braskem S.A. filed a Form 6-K with the SEC for July 2026, disclosing management and related persons' trading of securities under CVM Resolution #44/2021. The report shows no transactions were executed during June 2026 for most categories, but includes opening and closing balances of shares held by management, board members, and related parties. The filing is a routine regulatory disclosure with no material financial impact.

• · No transactions involving securities and derivatives were executed in June 2026 for most categories of insiders.
• · The report includes holdings of common and preferred shares by management, board, fiscal council, and technical/advisory bodies.
• · Petrobras is also mentioned as a company whose securities are held by Braskem's insiders.

13-07-2026

GreenPower Motor Company Inc. filed a Form 6-K with the SEC on July 10, 2026, submitting a press release dated the same day. The filing is a routine foreign issuer report and does not contain any financial results or material operational updates.

• · Filing is a Form 6-K for the month of July 2026.
• · Commission File Number: 001-39476.
• · Registrant's address: #240 - 209 Carrall Street, Vancouver, British Columbia V6B 2J2.
• · The registrant files annual reports under Form 20-F.

13-07-2026

Silo Pharma, Inc. announced a private placement of up to $11.7 million, with $4 million in upfront gross proceeds and up to $7.7 million in potential additional proceeds from the exercise of warrants. The offering, priced at-the-market under Nasdaq rules, involves the sale of common stock and warrants at $6.452 per share, with H.C. Wainwright & Co. acting as exclusive placement agent. However, there is no assurance that any warrants will be exercised, and the company remains a developmental-stage biopharmaceutical firm with no approved products, highlighting significant execution risk.

• · The offering is a private placement under Section 4(a)(2) of the Securities Act and Regulation D, and the securities are not registered under the Act.
• · Silo Pharma has agreed to file a Resale Registration Statement with the SEC to cover the resale of the unregistered securities.
• · The Series A-3 warrants expire five years after the effective date of the Resale Registration Statement; the Series A-4 warrants expire eighteen months after that date.
• · The company intends to use net proceeds for working capital and general corporate purposes.
• · Silo Pharma is a developmental-stage biopharmaceutical company with no approved products, focusing on stress-induced psychiatric disorders, chronic pain, and CNS diseases.

13-07-2026

Helix Energy Solutions Group filed an amended registration statement (S-4/A) with the SEC on July 10, 2026, in connection with its pending mergers. The filing includes consents from independent auditors KPMG LLP and Ernst & Young LLP, and indicates that certain consents and a proxy card form are still to be filed by amendment.

• · The S-4/A registration statement was originally filed on May 5, 2026 (No. 333-296508).
• · Certain exhibits (23.4, 99.1, 99.4, 99.5, 99.6) are marked as 'To be filed by amendment.'
• · The filing includes a power of attorney for Helix Energy Solutions Group, Inc. (previously filed).
• · Consents from KPMG LLP (Helix's auditor) and Ernst & Young LLP (Hornbeck's auditor) are filed with this amendment.

13-07-2026

Apex 11 Inc. filed its 10-K annual report for the year ended December 31, 2025, reporting zero revenue and a net loss of $46,213, widening from a $32,715 loss in 2024. The company remains a shell company with no cash, no current liabilities, and total assets of only $419, funded entirely by stock issuances to settle accrued liabilities. Accumulated deficit grew to $312,659, and the company has no operating or investing cash flows.

• · Entity is a shell company (Entity Shell Company = true).
• · Entity public float is $0.
• · No deferred income tax asset recognized due to full valuation allowance of $80,634 (2025) and $69,010 (2024).
• · General and administrative expenses increased 41.3% to $46,213 in 2025 from $32,715 in 2024.
• · Stockholders' equity improved from a deficiency of $(7,387) at end of 2024 to positive $419 at end of 2025, entirely due to stock issuances for liability settlements.
• · No cash was used or provided by operating, investing, or financing activities in either year.

13-07-2026

Team Financial Group, LLC filed its Form 13F-HR for the quarter ended June 30, 2026, reporting total holdings of approximately $235.5 million across 56 positions. The portfolio is heavily weighted toward ETFs, with the top holdings being WisdomTree US Quality Dividend Growth Fund ($39.0M), WisdomTree U.S. LargeCap Fund ($35.6M), and WisdomTree Floating Rate Treasury Fund ($19.5M). The filing does not provide prior-period comparisons, so no period-over-period analysis is available.

• · The portfolio consists entirely of ETFs except for five individual common stocks: Apple Inc. ($787,753), Costco Wholesale ($460,406), Amazon.com ($354,173), NVIDIA ($341,887), Home Depot ($286,442), and Procter & Gamble ($242,908).
• · The largest sector exposure appears to be U.S. large-cap equities and fixed income, with significant allocations to WisdomTree and Avantis products.
• · No options, warrants, or convertible securities are reported; all positions are listed as shares (SH) with sole voting and dispositive power.

13-07-2026

Apollo Commercial Real Estate Finance, Inc. (ARI) held its Annual Meeting on July 9, 2026, with 107,005,450 shares (81.7% of outstanding) represented. Stockholders elected all eight directors, ratified Deloitte & Touche as auditor for FY2026, and approved advisory say-on-pay. All proposals passed with strong support, though director Pamela G. Carlton received a notable 15.5 million withheld votes (18.3% of votes cast).

• · Director Pamela G. Carlton received 15,506,302 votes withheld (18.3% of votes cast), the highest withhold count among all nominees.
• · Ratification of Deloitte & Touche passed with 106,073,804 votes for, 515,400 against, and 416,246 abstentions.
• · Advisory say-on-pay was approved with 80,938,314 votes for, 2,718,117 against, and 929,854 abstentions.
• · Broker non-votes were 22,419,148 for director elections and say-on-pay, and zero for auditor ratification.

13-07-2026

Client First Capital LLC filed its quarterly 13F-HR report with the SEC for the period ending June 30, 2026, disclosing 28 equity holdings with a total reported value of approximately $251.1 million. The portfolio is heavily weighted toward fixed-income and broad-market ETFs, with the largest positions in iShares 0-1 Year Treasury Bond ETF ($30.5M), iShares Core S&P 500 ETF ($35.7M), and Invesco QQQ Trust ($56.6M). The filing reflects a diversified, income-oriented strategy with significant allocations to municipal bond ETFs and gold ETFs.

• · The portfolio includes 28 positions, all held with sole voting and dispositive power.
• · The largest single equity holding is Invesco QQQ Trust at $56.6M (76,847 shares), representing about 22.5% of total portfolio value.
• · The firm holds call options on SPDR Gold Trust (2,000 shares) and SPDR S&P 500 ETF (3,500 shares), indicating a bullish options strategy on gold and broad market.
• · Fixed-income ETFs (iShares 0-1 Year Treasury, iShares AAA CLO, WisdomTree Floating Rate Treasury, municipal bond ETFs) collectively account for over $60M, reflecting a significant income-oriented allocation.
• · No period-over-period comparisons are available as this is a single-quarter filing without prior data.

13-07-2026

B2Gold Corp. filed a Form 6-K with the SEC on July 13, 2026, attaching a press release dated July 10, 2026. The filing is a routine foreign issuer report under Rule 13a-16 or 15d-16, and the company indicates it will file annual reports under Form 40-F. No specific financial results or material events are disclosed in the filing itself.

• · Filing type: Form 6-K (Report of Foreign Private Issuer)
• · Commission file number: 001-35936
• · Jurisdiction of incorporation: British Columbia, Canada
• · Principal executive office: Suite 3400, Park Place, 666 Burrard Street, Vancouver, British Columbia V6C 2X8
• · Exhibit 99.1 is a press release dated July 10, 2026, but its content is not included in this filing.

13-07-2026

Quadratic Capital Management LLC filed its quarterly Form 13F-HR for the period ending June 30, 2026, disclosing two major holdings: approximately $213.4 million in the Schwab Strategic Trust US TIPS ETF (8,053,035 shares) and approximately $36.7 million in the Vanguard Scottsdale Funds Long-Term Treasury ETF (665,746 shares). The filing reflects a concentrated fixed-income ETF portfolio with a strong tilt toward inflation-protected securities.

• · The filing was made on July 13, 2026, for the quarter ended June 30, 2026.
• · All shares are held with sole voting and dispositive power.
• · The portfolio is entirely composed of two fixed-income ETFs, indicating a conservative, inflation-aware strategy.

13-07-2026

Park Edge Advisors, LLC filed its quarterly 13F-HR for the period ending June 30, 2026, reporting a total portfolio value of approximately $474.9 million across 154 equity holdings. The filing shows a diversified portfolio with significant positions in Simplify Exchange Traded Funds (notably $16.3M in High Yield ETF and $8.4M in Aggregate Bond ETF), iShares TIPS and bond ETFs, and individual stocks such as Lincoln Electric Holdings ($167.6M), Johnson & Johnson ($4.2M), and Exxon Mobil ($4.6M). The firm also holds put and call options on a few securities, including Coherent Corp, AXT Inc, iShares 20+ Year Treasury Bond ETF, and SPDR S&P 500 ETF, indicating hedging or speculative strategies.

• · The filing includes 154 equity positions with a total market value of $474,909,917.
• · The largest single holding is Lincoln Electric Holdings Inc at $167,575,043 (631,144 shares), representing about 35% of the portfolio.
• · The firm holds put options on AXT Inc (4,000 shares), Coherent Corp (1,500 shares), iShares 20+ Year Treasury Bond ETF (15,900 shares), and SPDR S&P 500 ETF (2,600 shares).
• · The firm holds call options on iShares 20+ Year Treasury Bond ETF (16,900 shares).
• · Significant ETF positions include Simplify High Yield ETF ($16.3M), Simplify Aggregate Bond ETF ($8.4M), iShares 0-5 Year TIPS ETF ($13.7M), Vanguard Total World Stock ETF ($14.7M), Invesco S&P 500 Quality ETF ($12.6M), Invesco International Buyback ETF ($11.0M), and SPDR Bloomberg 1-3 Month T-Bill ETF ($10.4M).
• · Notable individual stock holdings include Johnson & Johnson ($4.2M), Exxon Mobil ($4.6M), JPMorgan Chase ($4.0M), Apple ($3.9M), Amazon ($3.6M), Microsoft ($3.3M), NVIDIA ($3.3M), and Alphabet Class C ($2.9M).
• · The portfolio includes a mix of US and international equities, fixed income ETFs, commodity ETFs (gold, copper), and alternative ETFs (bitcoin, ethereum).
• · The filing is a combination report, indicating the firm is using other investment managers for some of its holdings.

13-07-2026

Bowen Acquisition Corp (BOWN) is being delisted from Nasdaq effective July 20, 2026, after a lengthy appeals process that ended with the Nasdaq Listing and Hearing Review Council upholding the initial delisting determination. The company failed to meet multiple listing standards, including Listing Rules 5450(b)(2)(B), 5450(a)(2), 5450(b)(2)(A), 5450(b)(2)(C), and 5101, and all appeals were exhausted by January 2026.

• · Delisting effective at the opening of trading on July 20, 2026.
• · Initial Staff determination notified on July 15, 2025.
• · Company appealed to the Listing Qualifications Hearings Panel on July 22, 2025; hearing held August 21, 2025; Panel decision issued September 4, 2025.
• · Company appealed Panel decision on September 18, 2025; Panel upheld decision and suspended securities on November 3, 2025.
• · NLHRC issued Final Action Letter on January 26, 2026, upholding the Panel decision; no further appeal was filed.
• · Staff determination became final on December 15, 2025 due to the NLHRC decision.

13-07-2026

Oak Asset Management, LLC filed its quarterly 13F-HR report for the period ending June 30, 2026, disclosing a diversified equity portfolio of 115 holdings with a total market value of approximately $311 million. The filing shows significant positions in Apple Inc. ($36.2M), Amgen Inc. ($20.9M), and NVIDIA Corporation ($18.3M), alongside a mix of large-cap growth and value ETFs. No period-over-period comparisons are available as this is a snapshot of current holdings only.

• · The portfolio is heavily weighted toward large-cap U.S. equities, with top holdings in technology (Apple, NVIDIA, Microsoft, Qualcomm) and healthcare (Amgen, AbbVie, Johnson & Johnson).
• · Energy exposure includes Chevron ($12.9M), Exxon Mobil ($2.2M), and Valero Energy ($0.4M).
• · The filing includes a mix of individual stocks and 15 ETFs/ETPs, primarily from iShares, Vanguard, and State Street.
• · All positions are reported as sole voting and dispositive power, indicating direct ownership without shared control.
• · The filing was signed by Thomas J. Robertson, Chief Compliance Officer, on July 10, 2026.

13-07-2026

Cypress Wealth Services, LLC filed its quarterly 13F-HR for the period ending June 30, 2026, reporting total holdings of approximately $814.9 million across 436 positions. The portfolio is heavily weighted toward ETFs, with the largest positions in BlackRock ETF Trust funds (ISHARES US EQUIT, ISHA IN CTRY ETF, ISHA LA CORE ETF) and Innovator ETFs Trust defined-outcome funds. Top equity holdings include Apple Inc. ($47.0M), Alphabet Inc. ($17.5M), Amazon.com Inc. ($8.2M), and Berkshire Hathaway ($5.5M). The filing shows a balanced mix of U.S. equities, sector ETFs, and income-oriented funds, with no prior-period data for comparison.

• · The filing includes 436 positions with a total market value of $814,935,859.
• · The largest single equity position is Apple Inc. at $47,044,426 (162,581 shares).
• · The largest ETF position is BlackRock ETF Trust ISHARES US EQUIT at $29,283,515 (430,577 shares).
• · The portfolio includes 2 put option positions: 200 shares of CoreWeave Inc. (value $19,908) and 500 shares of Costco Wholesale Corporation (value $467,735).
• · The filing also includes 1 call option position: 300 shares of Accenture PLC (value $37,332).
• · Notable sector exposures include technology (Apple, Microsoft, NVIDIA, Broadcom), energy (Exxon Mobil, Chevron, ConocoPhillips), healthcare (Eli Lilly, UnitedHealth, Johnson & Johnson), and financials (Berkshire Hathaway, JPMorgan Chase, Goldman Sachs).
• · The portfolio has significant exposure to defined-outcome ETFs from Innovator ETFs Trust, with multiple series covering various equity protection and growth strategies.
• · The filing was signed by Marc Koven, Chief Compliance Officer, on July 10, 2026.
• · No prior-period comparison data is available in this filing, so period-over-period changes cannot be calculated.

13-07-2026

Chatham Capital Group, Inc. filed its quarterly 13F-HR report for the period ending June 30, 2026, disclosing a portfolio of 200 equity holdings with a total market value of approximately $783 million. The filing shows a diversified portfolio spanning large-cap U.S. equities, sector ETFs, and fixed-income ETFs, with top holdings including NVIDIA, Apple, and iShares Gold Trust. No period-over-period comparisons are available in this filing, so performance trends cannot be assessed.

13-07-2026

Shelter Rock Management, LLC filed its quarterly 13F-HR report for the period ending June 30, 2026, disclosing a portfolio of 37 equity positions with a total market value of approximately $103.1 million. The largest holdings include Alphabet Inc. (Class A) at $10.1 million, Taiwan Semiconductor Manufacturing (ADS) at $11.2 million, and Amazon.com at $3.3 million. The filing reflects the firm's investment strategy as of the end of the second quarter of 2026.

• · The portfolio is concentrated in technology and industrial sectors, with top holdings including Alphabet (Class A) at $10.1M, Taiwan Semiconductor ADS at $11.2M, and Amazon.com at $3.3M.
• · Other significant positions include O'Reilly Automotive ($7.4M), TransDigm Group ($8.1M), Hilton Worldwide ($7.6M), and Trane Technologies ($5.5M).
• · The filing includes 37 equity positions, all held with sole voting and dispositive power.
• · No period-over-period comparisons are available as this is a single-period snapshot filing.

13-07-2026

Baugh & Associates, LLC filed its quarterly 13F-HR for the period ending June 30, 2026, reporting a total portfolio value of approximately $226.0 million across 42 equity positions. The filing shows a diversified portfolio with top holdings in Apple, Intel, Microsoft, and JPMorgan Chase, reflecting a mix of large-cap technology, financial, and consumer stocks. No period-over-period comparisons are available as this is a single snapshot filing.

• · Largest holdings by value: Apple ($16.1M), Intel ($16.6M), Microsoft ($13.6M), JPMorgan Chase ($9.6M), Walmart ($9.5M).
• · Smallest holdings by value: Caterpillar ($0.5M), Coca-Cola ($0.3M), Progressive ($0.3M), Service Properties Trust ($0.3M).
• · Top holdings by share count: Service Properties Trust (177,810 shares), Energy Transfer LP (140,329 shares), Intel (118,750 shares), Bank of America (119,218 shares), Truist Financial (112,195 shares).
• · The portfolio includes 2 ETFs: Invesco QQQ Trust and SPDR Series Trust (dividend ETF), plus the State Street SPDR S&P 500 ETF.