US Pre-Market SEC Filings Roundup — July 15, 2026

14-07-2026

Chief Executive Officer Tan Anthony Ping Yeow sold 400,000 Class A Ordinary Shares at $3.91 (~$1.56M). Tan Anthony Ping Yeow holds 28,498 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Chief Executive Officer Tan Anthony Ping Yeow sold 400,000 Class A Ordinary Shares at $3.91 (~$1.56M)

14-07-2026

Ocean Capital LLC, William Heath Hawk, and Ethan A. Danial filed Amendment No. 9 to Schedule 13D, adding Mr. Danial as a Reporting Person and disclosing a joint filing and solicitation agreement to support a shareholder proposal at the Fund's 2026 annual meeting. As of July 14, 2026, Ocean Capital and Mr. Hawk each beneficially own 2,181,569 shares (8.1% of outstanding common stock), while Mr. Danial beneficially owns 1,388,483 shares (5.1%). Mr. Danial purchased 51,052 shares on the open market at $1.285 per share on July 8, 2026; no other transactions occurred in the past 60 days.

• · The filing is Amendment No. 9 to Schedule 13D initially filed on October 6, 2021.
• · The group formed a Joint Filing and Solicitation Agreement dated July 13, 2026, to support the Shareholder Proposal at the 2026 annual meeting.
• · Ocean Capital and Mr. Hawk have shared voting and dispositive power over 2,181,569 shares; Mr. Danial has shared power over 1,388,483 shares.
• · No transactions in the Fund's securities by Ocean Capital or Mr. Hawk in the past 60 days.
• · Mr. Danial's purchase of 51,052 shares was made through RAD Investments, LLC on the open market.

14-07-2026

Chief Financial Officer Hyllengren Eric J was awarded 1,650,000 Stock Option (Right to buy).

• · Chief Financial Officer Hyllengren Eric J was awarded 1,650,000 Stock Option (Right to buy)

14-07-2026

CTO RICHMOND DONALD P. II had withheld for taxes 328 Common Stock at $72.01 (~$23.6K). RICHMOND DONALD P. II holds 186,669 shares after the transaction.

• · CTO RICHMOND DONALD P. II had withheld for taxes 328 Common Stock at $72.01 (~$23.6K)

14-07-2026

See Remarks Frangou Angeliki bought 1,129 Common Unit at $75.36 (~$85.1K). Frangou Angeliki holds 4,768,783 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · See Remarks Frangou Angeliki bought 1,129 Common Unit at $75.36 (~$85.1K)
• · See Remarks Frangou Angeliki bought 1,100 Common Unit at $75.41 (~$83K)
• · See Remarks Frangou Angeliki bought 1,105 Common Unit at $75.58 (~$83.5K)

14-07-2026

President & CEO Hassanein Waleed H was awarded 49,669 Common Stock. Hassanein Waleed H holds 171,093 shares after the transaction.

• · President & CEO Hassanein Waleed H was awarded 49,669 Common Stock
• · President & CEO Hassanein Waleed H was awarded 112,984 Stock Option (Right to Buy)

14-07-2026

Chief Executive Officer OYLER JOHN sold 45,895 American Depositary Shares at $306.21 (~$14.1M). 10 transactions reported in total. OYLER JOHN holds 7,834 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Chief Executive Officer OYLER JOHN sold 4,139 American Depositary Shares at $303.07 (~$1.25M)
• · Chief Executive Officer OYLER JOHN sold 8,122 American Depositary Shares at $303.93 (~$2.47M)
• · Chief Executive Officer OYLER JOHN exercised/converted 97,282 American Depositary Shares at $36.90 (~$3.59M)
• · Chief Executive Officer OYLER JOHN exercised/converted 36,318 American Depositary Shares at $100.04 (~$3.63M)
• · Chief Executive Officer OYLER JOHN sold 39,090 American Depositary Shares at $305.02 (~$11.9M)
• · Chief Executive Officer OYLER JOHN sold 45,895 American Depositary Shares at $306.21 (~$14.1M)
• · Chief Executive Officer OYLER JOHN sold 40,781 American Depositary Shares at $306.93 (~$12.5M)
• · Chief Executive Officer OYLER JOHN sold 7,834 American Depositary Shares at $307.57 (~$2.41M)

14-07-2026

Director Courtemanche Craig F. Jr. sold 42,911 Common Stock at $43.63 (~$1.87M). 4 transactions reported in total. Courtemanche Craig F. Jr. holds 919,704 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Director Courtemanche Craig F. Jr. exercised/converted 56,122 Common Stock at $2.42 (~$136K)
• · Director Courtemanche Craig F. Jr. sold 42,911 Common Stock at $43.63 (~$1.87M)
• · Director Courtemanche Craig F. Jr. sold 13,211 Common Stock at $44.76 (~$591K)
• · Director Courtemanche Craig F. Jr. exercised/converted 56,122 Stock Option (Right to Buy) at $2.42 (~$136K)

14-07-2026

Director Lee Hon Nam was awarded 25,000 Nonqualified Stock Option (right to buy).

• · Director Lee Hon Nam was awarded 25,000 Nonqualified Stock Option (right to buy)

14-07-2026

AJB Investment Fund II, LP and related parties (AJB Capital, Adam Bradley, and Melinda Bradley) filed an amended Schedule 13D disclosing collective beneficial ownership of 428,158 shares (12.16%) of Jewett Cameron Trading Co Ltd as of July 14, 2026. The group increased its stake through open-market purchases between July 7-14, 2026, paying aggregate prices ranging from $2.38 to $2.63 per share. The filing states the shares were purchased based on a belief they were undervalued, and the group may continue to adjust its position depending on market conditions.

• · The group's aggregate beneficial ownership is 12.16% of outstanding shares, up from a prior filing (not specified).
• · Adam Bradley directly owns 44,394 shares (1.26%) held in an IRA and accounts of his children.
• · Melinda Bradley directly owns 46,436 shares (1.3%) held in an IRA.
• · The filing does not disclose any plans for a business combination, change in board, or other major corporate actions.
• · The group may engage in hedging or derivative transactions with respect to the shares.

14-07-2026

Edward M. Weil, Jr. filed a Schedule 13G with the SEC on July 14, 2026, disclosing beneficial ownership of 300,109 shares of American Strategic Investment Co. (formerly New York City REIT, Inc.) Class A Common Stock, representing 9.49% of the 3,163,632 shares outstanding as of July 8, 2026. Notably, Mr. Weil has entered into a voting agreement covering an additional 300,000 shares, granting an irrevocable proxy to Bellevue Capital Partners, LLC, meaning he lacks voting control over those shares but retains full dispositive power. The filing is made under Rule 13d-1(c) and includes a certification that the securities were not acquired to change or influence control of the issuer.

• · The filing is a Schedule 13G (not 13D), indicating passive investment intent.
• · Mr. Weil's direct ownership is only 109 shares; the remaining 300,000 shares are held indirectly.
• · The voting agreement with Bellevue Capital Partners covers 300,000 shares, stripping Mr. Weil of voting control over those shares.
• · The company changed its name from New York City REIT, Inc. to American Strategic Investment Co. on March 13, 2019.
• · The filing date is July 14, 2026, with the event date of July 7, 2026.

14-07-2026

Chief Legal Officer Montano Maricel Perea disposed of 42,306 Common Stock. 4 transactions reported in total.

• · Chief Legal Officer Montano Maricel Perea disposed of 42,306 Common Stock
• · Chief Legal Officer Montano Maricel Perea disposed of 65 Common Stock
• · Chief Legal Officer Montano Maricel Perea disposed to the issuer 37,074 Performance Stock Units
• · Chief Legal Officer Montano Maricel Perea disposed to the issuer 11,316 Performance Stock Units

14-07-2026

Ryan Saadi, Chairman and CEO of Tevogen Bio Holdings Inc., filed an amended Schedule 13D reporting beneficial ownership of 3,709,567 shares of common stock, representing 59.7% of the outstanding shares as of July 14, 2026. The filing discloses a grant of 1,220,000 shares of restricted stock on July 10, 2026, as compensation for his services, which vest in four equal annual installments beginning on the seventh anniversary of the grant date. The filing also notes that 1,766,979 shares of restricted stock are outstanding and carry voting rights but are subject to forfeit and cannot be transferred.

• · The restricted stock grant was made under the 2024 Plan.
• · The restricted stock vests in four equal annual installments beginning on the seventh anniversary of the grant date (July 10, 2026).
• · The shares will automatically vest in full in the event of termination due to death or disability.
• · Dr. Saadi is entitled to vote the restricted shares, but they cannot be sold, assigned, transferred, pledged, hypothecated, or otherwise encumbered prior to vesting.
• · All unvested shares are automatically forfeited if Dr. Saadi departs the company for any reason, unless termination triggers accelerated vesting.
• · The filing is Amendment No. 3 to the original Schedule 13D filed on February 22, 2024.

14-07-2026

Director STOVER JACK E was awarded 14,150 Stock Option (right to buy).

• · Director STOVER JACK E was awarded 14,150 Stock Option (right to buy)

14-07-2026

Chief Executive Officer Hong Zhida was awarded 12,222 Common Stock. Hong Zhida holds 23,815 shares after the transaction.

• · Chief Executive Officer Hong Zhida was awarded 12,222 Common Stock

14-07-2026

10% owner SRB CORP sold 34,272 Common Stock at $76.04 (~$2.61M). SRB CORP holds 1,757,733 shares after the transaction.

• · 10% owner SRB CORP sold 34,272 Common Stock at $76.04 (~$2.61M)

14-07-2026

Actelis Networks Inc. (ASNS) received a final delisting determination from Nasdaq, with its common stock to be removed from listing effective July 23, 2026. The delisting follows a process that began with a Staff determination on February 4, 2026, an unsuccessful appeal to a Hearings Panel, and a suspension on April 10, 2026. The company failed to meet Nasdaq's minimum bid price requirement under Listing Rule 5550(a)(2), and all appeals have been exhausted.

• · The delisting is effective at the opening of the trading session on July 23, 2026.
• · The company's common stock was suspended from trading on April 10, 2026.
• · The Staff determination to delist became final on May 26, 2026.
• · The company failed to meet the minimum bid price requirement under Nasdaq Listing Rule 5550(a)(2).

14-07-2026

American Rebel Holdings Inc. (AREBW) has been formally delisted from Nasdaq, with trading suspended on May 13, 2026, and the delisting effective July 23, 2026. The delisting follows Nasdaq Staff determinations that the company failed to meet Listing Rules 5550(a)(2) (bid price) and 5550(a)(4) (other requirements), and the company's appeal to the Hearings Panel was denied. This represents a significant negative event for shareholders, as the company loses its Nasdaq listing and associated liquidity.

• · Delisting effective at the opening of trading on July 23, 2026.
• · Trading was suspended on May 13, 2026, after the Panel's decision.
• · The Staff determination to delist became final on June 25, 2026.
• · The company failed to meet Listing Rule 5550(a)(2) (bid price requirement) and Listing Rule 5550(a)(4) (other listing requirements).
• · The company appealed the Staff determination on February 11, 2026, but the Panel upheld the delisting on May 11, 2026.

14-07-2026

Blue Hat Interactive Entertainment Technology (BHAT) has been delisted from Nasdaq following a determination that it no longer met Listing Rule 5550(a)(2). The company's shares were suspended on March 16, 2026, and the Staff's delisting decision became final on June 8, 2026. The delisting will be effective from the opening of trading on July 23, 2026.

• · Delisting is due to non-compliance with Nasdaq Listing Rule 5550(a)(2) (minimum bid price or market value of publicly held shares).
• · Staff determination was initially made on March 9, 2026.
• · Company appealed the decision on March 13, 2026; a hearing was held on April 7, 2026.
• · The Panel issued a decision on April 21, 2026 (letter issued April 22, 2026) to suspend the company from the Exchange.
• · Shares were suspended on March 16, 2026.
• · Delisting is effective at the opening of the trading session on July 23, 2026.

14-07-2026

Captivision Inc. (CAPTW) has been formally delisted from Nasdaq, effective July 23, 2026, after failing to regain compliance with Listing Rule 5450(b)(2)(A). The company was initially notified of non-compliance in June 2025, granted an appeal and extension, but ultimately suspended on April 9, 2026, with the delisting determination becoming final on May 22, 2026. This represents a significant negative event for shareholders, as the company's securities will no longer trade on a major U.S. exchange.

• · Initial non-compliance notice was issued on June 4, 2025.
• · Company appealed on June 11, 2025, and a hearing was held on July 22, 2025.
• · The Panel initially granted a conditional extension on July 25, 2025.
• · On April 6, 2026, the Panel decided to suspend the company because it was unable to regain compliance despite an extended period.
• · Securities were suspended on April 9, 2026.
• · The delisting determination became final on May 22, 2026.
• · The delisting is effective at the opening of trading on July 23, 2026.

14-07-2026

Sleep Number Corp (SNBR) is being delisted from Nasdaq effective July 23, 2026, after Nasdaq Staff determined the company no longer met listing qualifications under Rules 5101, 5110(b), and IM-5101-1. The company did not appeal the delisting determination, and its common stock was suspended on June 23, 2026. This marks a significant negative event for shareholders, as the stock will no longer trade on a major exchange.

• · Delisting effective at the opening of the trading session on July 23, 2026.
• · Nasdaq Staff determination was made on June 16, 2026.
• · Company did not appeal the Staff's Delist Determination Letter.
• · Company common stock was suspended on June 23, 2026.
• · Staff determination to delist became final on June 23, 2026.
• · Delisting based on Listing Rules 5101, 5110(b), and IM-5101-1.

14-07-2026

Nasdaq has determined to delist X3 Holdings Co., Ltd. (XTKG) effective July 23, 2026, after the company failed to meet Listing Rule 5550(a)(2) regarding minimum bid price. The company's shares were suspended on April 2, 2026, following an unsuccessful appeal to the Nasdaq Hearings Panel, and the delisting determination became final on May 15, 2026.

• · The company was originally notified of the Staff determination on February 10, 2026.
• · The company appealed the determination on February 11, 2026, and a hearing was held on March 19, 2026.
• · The Panel decided to suspend the company on March 27, 2026, with a decision letter issued on March 31, 2026.
• · Shares were suspended on April 2, 2026.
• · The delisting determination became final on May 15, 2026.
• · The company was formerly known as Powerbridge Technologies Co., Ltd. (name changed September 26, 2018).

15-07-2026

SK hynix Inc. announced it will hold a conference call on July 29, 2026, to discuss its second-quarter 2026 earnings results. The call will be webcast in Korean and English, with materials available on the company's IR website. No financial results or performance data are included in this filing.

• · Conference call scheduled for July 29, 2026 at 9:00 a.m. Seoul Time
• · Webcast archive will be available on the company's IR website
• · Materials will be posted on July 29, 2026 (Seoul time)

15-07-2026

Sinovac Biotech Ltd. announced a further extension of the deadline for shareholders and nominee brokers to submit payment instructions for its previously declared special cash dividend of US$55.00 per common share. The submission deadline has been extended from June 30, 2026 to December 31, 2026. This is the second extension of the deadline, indicating ongoing administrative delays in distributing the dividend.

• · Record date for the special dividend was May 23, 2025 ET.
• · Original submission deadline was December 31, 2025, first extended to June 30, 2026, now further extended to December 31, 2026.
• · Shareholders and nominee brokers must submit instruction materials by December 31, 2026 to receive payment.
• · Information agent: D.F. King & Co., Inc., 28 Liberty Street, 53rd Floor, New York, NY 10005, email: sva@dfking.com.

15-07-2026

SemiLEDs Corporation filed its definitive proxy statement (DEF 14A) on July 15, 2026, for the 2026 Annual Meeting of Stockholders to be held on August 28, 2026. The agenda includes the election of five director nominees (including Chairman/CEO Trung T. Doan and three independent directors) and ratification of DLEE Accountancy Inc. as independent auditor for fiscal year 2026. The company has 8,273,403 shares of common stock outstanding as of the record date of July 1, 2026.

• · Annual meeting will be held on Friday, August 28, 2026 at 9 a.m. local time at SemiLEDs office in Chu-Nan, Taiwan.
• · Record date for voting is July 1, 2026.
• · Quorum requires holders of more than one third of voting power present in person or by proxy.
• · Proxies submitted by Internet or telephone must be received by 11:59 p.m. Eastern Standard Time on August 26, 2025 (note: year appears to be a typo in the filing).
• · Election of directors is determined by plurality of votes; ratification of auditor is determined by majority of votes cast affirmatively or negatively.
• · Broker non-votes will have no effect on either proposal.
• · The Board recommends a vote FOR all five director nominees and FOR ratification of DLEE Accountancy Inc.

15-07-2026

Polibeli Group Ltd has entered into a non-binding Memorandum of Understanding with PT Grosirone Prima Nusantara to evaluate a potential AI data center project in Indonesia. The project, if pursued, could involve up to approximately 10MW of power capacity, with an initial phase of 2MW to 5MW. However, the MOU is non-binding and does not obligate either party to proceed; the project remains subject to due diligence, approvals, and definitive agreements, with no assurance of completion.

• · The MOU was entered into on July 1, 2026.
• · The MOU covers preliminary evaluation of colocation data center facilities, power supply, cooling systems, network connectivity, and commercial feasibility.
• · The MOU is non-binding except for confidentiality, compliance, governing law, and dispute resolution provisions.
• · Any definitive transaction requires satisfactory due diligence, internal approvals, financing availability, and regulatory approvals.

15-07-2026

ASML Holding N.V. reported Q2 2026 total net sales of €9.3 billion and net income of €2.9 billion. The company raised its full-year 2026 outlook, now expecting total net sales between €43 billion and €45 billion with a gross margin between 54% and 56%. The filing includes a press release, investor presentation, US GAAP financial statements, and an interim report for the six-month period ended June 28, 2026.

• · The filing incorporates exhibits 99.1, 99.3, and 99.4 by reference into multiple S-8 registration statements (File Nos. 333-203390, 333-219442, 333-227464, 333-291580).
• · The statutory interim report covers the six-month period ended June 28, 2026.

15-07-2026

AEON Biopharma priced a public offering of 17,851,599 shares of common stock and pre-funded warrants to purchase 24,837,008 shares, each accompanied by milestone warrants, at a combined price of $0.3221 per share and $0.3220 per pre-funded warrant, for total gross proceeds of approximately $13.75 million. The offering includes two-year and five-year milestone warrants tied to FDA and clinical milestones for ABP-450, a biosimilar to BOTOX. Proceeds will be used to advance ABP-450 through the 351(k) biosimilar pathway toward a BLA in the U.S., targeting a therapeutic botulinum toxin market estimated at $3.5 billion in 2026.

• · Milestone warrants expire upon FDA Type 2B meeting minutes (two-year) or initiation of Phase 3 trial (five-year), plus 45 days after public announcement.
• · Pre-funded warrants have an exercise price of $0.0001 per share and are exercisable immediately until exercised in full.
• · Milestone warrants are not listed and no trading market is expected; underlying common stock will trade on NYSE American.
• · Underwriters received a reduced discount of 5.0% on 2,328,469 shares and 12,418,504 pre-funded warrants.
• · ABP-450 is manufactured by Daewoong Pharmaceutical and is already approved as a biosimilar in Mexico, India, and the Philippines.

15-07-2026

ICICI Bank has informed exchanges that its Board meeting scheduled for July 18, 2026 will consider revising the fund raising limit through issuance of bonds/notes/offshore certificates of deposit in overseas markets. This is a routine corporate action update with no financial figures disclosed.

• · Board meeting scheduled for July 18, 2026
• · Revision of fund raising limit via overseas market instruments to be considered
• · Disclosure made under SEBI Regulations 29 & 50

15-07-2026

NetEase, Inc. filed a Form 6-K with the SEC on July 15, 2026, reporting the amendment and restatement of its 2019 Share Incentive Plan, effective June 30, 2026, in connection with its conversion to dual primary listing status on the Hong Kong Stock Exchange. The Second Amended and Restated 2019 Plan is attached as Exhibit 99.1 and incorporated by reference into the company's Form S-8 registration statement. The filing is a routine corporate governance update with no financial figures or performance data.

• · The Second Amended and Restated 2019 Plan took effect on June 30, 2026.
• · The plan is incorporated by reference into NetEase's Registration Statement on Form S-8 (File No. 333-234189).
• · The filing is made under Commission File Number 000-30666.

15-07-2026

Trellis Wealth Advisors LLC filed its quarterly 13F-HR for the period ending June 30, 2026, reporting total holdings of approximately $291.3 million across 49 equity positions. The portfolio is heavily weighted toward ETFs, with the largest positions in Dimensional ETF Trust World Ex US Core ($58.8M), Dimensional ETF Trust US Cor Equ 2 ETF ($43.2M), and Vanguard Index Fds Total Stk Mkt ($31.3M). Top individual stock holdings include Amazon.com ($4.9M), Microsoft ($985K), and Alphabet Class A ($421K) and Class C ($480K). The filing shows a diversified, ETF-centric strategy with significant international and fixed-income exposure.

• · The filing was signed by Carrie Miller, Partner, on July 15, 2026.
• · All 49 positions are held with sole voting and dispositive power; no shared positions are reported.
• · The portfolio includes a small position in Blend Labs Inc Class A valued at approximately $18,694, indicating a speculative or early-stage investment.
• · The largest single stock holding is Amazon.com Inc at $4.9M, followed by Microsoft at $985K and Apple at $783K.
• · ETF holdings dominate the portfolio, with the top 10 ETF positions accounting for over $200M of the total $291M.
• · The portfolio has significant international exposure through Dimensional World Ex US Core ($58.8M), Vanguard Total Intl Stock ($9.9M), and American Century Intl Eqt ETF ($22.3M).
• · Fixed-income exposure is notable via Vanguard Short Term Bond ($22.4M), Vanguard Total Bond ($14.9M), and Vanguard Short Term Corp Bond ($9.6M).

15-07-2026

Purebase Corporation filed a Form NT 10-Q on July 15, 2026, indicating it will not file its quarterly report for the period ended May 31, 2026 by the prescribed due date. The company cites the need for additional time to finalize certain disclosures, but does not anticipate any significant change in results of operations compared to the prior year. The filing is a routine late notification with no negative financial implications disclosed.

• · The report will be filed within five calendar days of the prescribed due date (by July 20, 2026).
• · All other periodic reports required in the preceding 12 months have been filed.
• · No significant change in results of operations from the prior year is anticipated.