US Pre-Market SEC Filings Roundup — August 28, 2026

27-08-2026

Chief Executive Officer Nuzzo Michael had withheld for taxes 22,221 Class A Common Stock at $5.03 (~$112K). Nuzzo Michael holds 879,272 shares after the transaction.

• · Chief Executive Officer Nuzzo Michael had withheld for taxes 22,221 Class A Common Stock at $5.03 (~$112K)

27-08-2026

Director Reed Andrew Phillips disposed of 2,215,239 Class A Common Stock. 12 transactions reported in total. Reed Andrew Phillips holds 130,199 shares after the transaction.

• · Director Reed Andrew Phillips disposed of 2,215,239 Class A Common Stock
• · Director Reed Andrew Phillips disposed of 713,067 Class A Common Stock
• · Director Reed Andrew Phillips disposed of 14,533 Class A Common Stock
• · Director Reed Andrew Phillips acquired 143,536 Class A Common Stock
• · Director Reed Andrew Phillips acquired 35,320 Class A Common Stock
• · Director Reed Andrew Phillips acquired 58,892 Class A Common Stock
• · Director Reed Andrew Phillips disposed of 2,215,239 Class A Common Stock
• · Director Reed Andrew Phillips disposed of 713,067 Class A Common Stock

27-08-2026

Zachary Hornby, a director of Boundless Bio, Inc., filed a Schedule 13G on August 27, 2026, disclosing beneficial ownership of 2,426,857 shares of common stock, representing 9.8% of the company's outstanding shares as of August 17, 2026. The filing is a routine disclosure of insider holdings and does not indicate any change in control intent.

• · The filing is made under Rule 13d-1(c), indicating passive investment intent.
• · The reporting person certifies the securities were not acquired to change or influence control of the issuer.
• · The beneficial ownership includes shares held directly and shares underlying stock options that are vested or will vest within 60 days of August 17, 2026.

27-08-2026

Form 4 ownership filing; the structured EDGAR document could not be retrieved for automated parsing.

27-08-2026

Chief Executive Officer Dudum Andrew gifted 463,289 Class A Common Stock. Dudum Andrew holds 103,406 shares after the transaction.

• · Chief Executive Officer Dudum Andrew gifted 463,289 Class A Common Stock
• · Chief Executive Officer Dudum Andrew disposed of 977,566 Class A Common Stock

27-08-2026

Chief Financial Officer Gendron Teresa S was awarded 70,821 Common Stock. Gendron Teresa S holds 136,437 shares after the transaction.

• · Chief Financial Officer Gendron Teresa S was awarded 70,821 Common Stock

27-08-2026

Feis Equities LLC and its managing member Lawrence M. Feis disclosed beneficial ownership of 637,191 ordinary shares of OceanLight Acquisition Corp, representing 6.37% of the 10,000,000 shares outstanding as of August 10, 2026. The filing is a Schedule 13G submitted under Rule 13d-1(c), indicating the shares were not acquired to change or influence control of the issuer.

• · The filing was made pursuant to Rule 13d-1(c), indicating passive investment intent.
• · Feis Equities LLC is organized in Illinois and has its business address at 1740 Waukegan Road, Suite 206, Glenview, IL 60025.
• · Lawrence M. Feis individually holds the same 637,191 shares and is deemed to have shared voting and dispositive power over all of them.
• · The issuer, OceanLight Acquisition Corp, is a blank check company incorporated in the Cayman Islands (E9) with a fiscal year ending May 31.

27-08-2026

Director Simanovsky Michael sold 115,000 Common Stock at $40.71 (~$4.68M). Simanovsky Michael holds 224,361 shares after the transaction.

• · Director Simanovsky Michael sold 115,000 Common Stock at $40.71 (~$4.68M)
• · Director Simanovsky Michael sold 15,086 Common Stock at $40.94 (~$618K)
• · Director Simanovsky Michael sold 15,000 Common Stock at $39.00 (~$585K)

27-08-2026

EVP & CHIEF FINANCIAL OFFICER Ali Wajid was awarded 22,760 Common Stock. Ali Wajid holds 80,797 shares after the transaction.

• · EVP & CHIEF FINANCIAL OFFICER Ali Wajid was awarded 22,760 Common Stock

27-08-2026

Siren ETF Trust's Siren DIVCON Leaders Dividend ETF (LEAD) is being voluntarily delisted from Cboe BZX Exchange, Inc. The security was suspended from trading on July 15, 2026, and liquidated on August 4, 2026, with the delisting effective September 7, 2026. This filing is a routine notification under SEC Rule 12d2-2(a)(2) and does not indicate any regulatory action against the issuer.

• · Suspension date: July 15, 2026
• · Liquidation date: August 4, 2026
• · Delisting effective date: September 7, 2026
• · Filing is a voluntary delisting, not a forced removal

28-08-2026

Lockheed Martin entered into a new $2.25 billion 364-day unsecured revolving credit facility on August 24, 2026, replacing its prior 364-day facility without early termination penalties. Concurrently, the company extended its existing $3.0 billion 5-year revolving credit agreement by one year to August 24, 2031. No borrowings were made under the new facility at closing, and the agreements contain no financial maintenance covenants.

• · The new 364-day facility matures on August 23, 2027, with an option to extend up to one additional year (to August 23, 2028) upon payment of a 0.50% conversion fee.
• · Interest rate options include Base Rate, Term SOFR plus margin, Daily Simple SOFR plus margin, or a competitive bid rate.
• · The Term SOFR Margin ranges from 0.585% to 1.085% per annum based on Lockheed Martin's senior unsecured long-term debt credit ratings.
• · The facility fee is 0.04% per annum on aggregate commitments, payable quarterly in arrears.
• · The 5-year revolving credit agreement was extended by one year from August 24, 2030 to August 24, 2031.
• · Events of default include failure to pay principal or interest within 5 days, breach of covenants, material misrepresentation, cross-default on Material Debt, bankruptcy, unsatisfied judgment over $300 million, and change of control.
• · No financial maintenance covenant is included in either agreement.

28-08-2026

Studio City International Holdings Limited filed a Form 6-K with the SEC for August 2026, attaching quarterly reports of its subsidiaries Studio City Finance Limited and Studio City Investments Limited. The filing is a routine periodic disclosure with no financial figures or operational updates provided.

• · The filing is a Form 6-K for the month of August 2026.
• · The report is signed by CFO Geoffrey Davis, CFA.
• · The company's principal executive offices are in Singapore and Hong Kong.

28-08-2026

INX Ltd reported a cumulative adjusted operating cash flow of negative $91.8 million as of June 30, 2026, worsening from negative $87.0 million at the end of 2025. The company generated no proceeds from INX Token sales in the first half of 2026, and the indicative pro rata distributable amount per INX Token stands at $0.24145.

• · Indicative Pro Rata Portion of the Distributable Amount per INX Token is $0.24145.
• · No proceeds from INX Token sales were recorded in the first half of 2026.

28-08-2026

ICICI Bank completed the issuance of USD 1 billion in Senior Unsecured Fixed Rate Notes under its USD 7.5 billion Global Medium Term Note Programme. The Notes are rated BBB by S&P and Baa3 by Moody's and will be listed on exchanges in India and Singapore. The offering is not registered in the U.S. and is not available for distribution there.

• · The Notes are rated BBB by S&P Global Ratings and Baa3 by Moody's Ratings.
• · The Notes will be listed on the Global Securities Market of the India International Exchange IFSC Limited, Debt Securities Market of the NSE IFSC Limited, and SGX-ST.
• · The issuance was completed on August 27, 2026, following a prior announcement on August 24, 2026.
• · The Notes are not registered under the U.S. Securities Act of 1933 and may not be offered or sold in the United States.

28-08-2026

Netcapital Inc. received a Nasdaq delinquency notice on August 24, 2026, for failing to file its Annual Report (Form 10-K) for the fiscal year ended April 30, 2026, violating Listing Rule 5250(c)(1). The company has 60 days (until October 23, 2026) to submit a compliance plan, with a possible extension to February 9, 2027. While the notice has no immediate effect on trading, non-compliance will be publicly broadcast, and there is no assurance Nasdaq will accept the plan or that compliance can be regained.

• · The delinquency notification was received on August 24, 2026, and the 8-K was filed on August 28, 2026.
• · The company's common stock (NCPL) and warrants (NCPLW) are listed on Nasdaq.
• · If the compliance plan is not accepted, the company can appeal to a Nasdaq Hearings Panel under Rule 5815(a).
• · A press release announcing the notice was issued on August 28, 2026, and is attached as Exhibit 99.1.

28-08-2026

Magnum Ice Cream Co B.V. disclosed share purchases for its Long Term Incentive Plans over four trading days (August 24-27, 2026), acquiring a total of 1,476,362 ordinary shares at an aggregate cost of approximately €25.6 million. The purchases were executed across Euronext, CBOE DXE, and Turquoise Europe, with the largest daily volume on August 25 (485,411 shares). No comparative prior-period data is provided, so period-over-period trends cannot be assessed.

• · Total shares purchased: 1,476,362 over four days.
• · Total purchase amount: approximately €25,582,265.03.
• · Average daily purchase prices ranged from €17.25315 to €17.45771.
• · Largest daily volume was on August 25, 2026 (485,411 shares).
• · Shares were bought on three venues: Euronext, CBOE DXE, and Turquoise Europe.
• · No prior-period or comparative data is provided in the filing.

28-08-2026

Hafnia Ltd reported its financial results for the six months ended June 30, 2026, with total revenue of $1,525.4 million, a decrease of 7.0% from $1,640.1 million in the same period of 2025. Net income declined to $310.2 million from $412.5 million, a drop of 24.8% year-over-year. While the company maintained a strong balance sheet with total assets of $4,089.3 million, the results reflect a significant downturn in profitability amid a challenging tanker market.

• · Revenue from voyage charters was $1,525.4 million in H1 2026, down from $1,640.1 million in H1 2025.
• · Revenue from time charters was $0 in H1 2026, compared to $0 in H1 2025 (no time charter revenue reported).
• · Total assets decreased slightly to $4,089.3 million as of June 30, 2026 from $4,100.0 million at December 31, 2025.
• · The company had multiple credit facilities outstanding, including a $715 million revolving credit facility and a $175 million borrowing base facility as of June 30, 2026.
• · Vista Shipping Pte Ltd had several credit facilities totaling approximately $340.9 million as of June 30, 2026.
• · The company reported no material acquisitions or disposals during the period.

28-08-2026

On August 24, 2026, PJ Millennium I Limited and PJ Millennium II Limited (wholly owned subsidiaries of PJ Millennium Limited Partnership) acquired 195,127,260 Class A ordinary shares of VNET Group, Inc. from Choice Faith Group Holdings Limited for an aggregate consideration of US$282,654,841 (US$1.4486 per share). This represents 11.4% of VNET's outstanding ordinary shares. The acquisition is part of a larger Share Purchase Agreement dated May 13, 2026, under which the Purchasers agreed to acquire a total of 650,424,192 Class A shares from two sellers for US$942,182,804; the remaining 455,296,932 shares from Success Flow International Investment Limited are still pending closing. The filing also reveals that Lochpine Capital Limited, the ultimate parent of the Purchasers, is 45% owned by CATL Investment Limited (a subsidiary of Contemporary Amperex Technology Co., Ltd., stock codes 300750.SZ and 03750.HK), 35% by Mr. Wang Hongbo, and 20% by Mr. Yee Chun Keung.

• · The per share price for the acquisition was US$1.4486 per Class A ordinary share.
• · Each of PJ Millennium I Limited and PJ Millennium II Limited acquired 97,563,630 Class A shares at the Seller B Shares Closing.
• · The remaining 455,296,932 Seller A Shares are to be acquired in a subsequent closing, with each Purchaser taking 227,648,466 shares.
• · Lochpine Capital Limited is the ultimate parent of the Purchasers and is held 45% by CATL Investment Limited (a CATL subsidiary), 35% by Mr. Wang Hongbo, and 20% by Mr. Yee Chun Keung.
• · VNET's ADSs, each representing six Class A ordinary shares, are listed on the Nasdaq Global Select Market under the symbol 'VNET'.

28-08-2026

BHP Group Ltd filed a Form 6-K with the SEC on August 28, 2026, providing additional information required by the JSE Listing Requirements regarding the classification of its dividend as a 'foreign dividend' for South African tax purposes. The dividend will be paid from the United Kingdom to shareholders on the South African branch register.

• · The dividend is classified as a 'foreign dividend' under South African income tax and Dividend Tax.
• · Payment to shareholders on the South African branch register will be made from the United Kingdom.

28-08-2026

BW LPG Ltd filed a Form 6-K with the SEC on August 28, 2026, announcing its financial results for the second quarter ended June 30, 2026 (Q2 2026). The filing includes a press release, interim financial report, earnings presentation, and a separate press release detailing the cash dividend for Q2 2026. The results and dividend information are incorporated by reference into the company's existing registration statements.

• · The filing includes four exhibits: press release for Q2 2026 financial results (Exhibit 99.1), Q2 2026 Interim Financial Report (Exhibit 99.2), Q2 2026 Earnings Presentation (Exhibit 99.3), and press release for Q2 2026 cash dividend (Exhibit 99.4).
• · The interim financial report (Exhibit 99.2) is incorporated by reference into the company's Form S-8 (File No. 333-280892) and Form F-3 (File No. 333-287996) registration statements, except for the 'Market Update' and 'Statements to the Interim Financial Information' sections.
• · The company's commission file number is 001-42008.

28-08-2026

Alterity Therapeutics Ltd filed a Form 6-K with the SEC for August 2026, attaching an Appendix 4G (corporate governance statement) and incorporating the filing by reference into its existing registration statements. The report is a routine foreign issuer disclosure with no financial results or material operational updates.

• · The filing incorporates by reference into multiple S-8 and F-3 registration statements (File Nos. 333-251073, 333-248980, 333-228671, 333-274816, 333-251647, 333-231417, 333-250076).
• · The company is described as a 'development stage enterprise'.
• · The report is signed by Chairman Julian Babarczy.

28-08-2026

Mitsubishi UFJ Financial Group, Inc. filed a Form 6-K with the SEC on August 28, 2026, as a routine foreign private issuer report. The filing contains no financial results, business updates, or material events beyond the administrative submission.

28-08-2026

BioXcel Therapeutics has filed for Chapter 11 bankruptcy and entered into a stalking horse asset purchase agreement with Teva Pharmaceuticals. Teva will acquire substantially all of the company's assets for $57.5 million upfront cash plus assumption of liabilities, with additional contingent milestone payments of up to $67.5 million for the pending sNDA for IGALMI® at-home use and up to $20 million in commercial milestone payments. The company has appointed Samir Saleem as Chief Restructuring Officer to oversee the restructuring process, and the transaction is subject to court approval and higher bids.

• · The stalking horse bid serves as the minimum floor bid, and the transaction is subject to higher or otherwise better bids in an auction process.
• · The transaction must be consummated by October 30, 2026, or either party may terminate the agreement.
• · The company has appointed a Strategic Process Committee of the Board to evaluate and implement restructuring or sale transactions.
• · Teva has agreed to serve as the stalking horse bidder, and the company has filed a motion under Section 363 of the Bankruptcy Code to sell assets.

28-08-2026

Caledonia Mining Corporation Plc filed a Form 6-K with the SEC on August 28, 2026, covering the month of August 2026. The filing includes a press release (Exhibit 99.1) dated August 28, 2026, but the content of the press release is not included in the filing text. The report is signed by CEO and Director John Mark Learmonth.

• · The filing is a routine Form 6-K for the month of August 2026.
• · The press release dated August 28, 2026 is attached as Exhibit 99.1 but its content is not disclosed in the filing text.
• · The company's principal executive office is located at 2 Mulcaster Street, St Helier, Jersey JE2 3NJ.
• · The company files annual reports under Form 20-F.

28-08-2026

Niki BioSolutions, Inc. (formerly Aptorum Group Ltd) filed an S-3 shelf registration statement on August 28, 2026, following its July 20, 2026 merger with DiamiR Biosciences Corp. and domestication to Delaware. The company, now trading on Nasdaq under 'NIKI', reported a net loss of $1,326,004 for the six months ended June 30, 2026, compared to a net loss of $441,780 in the same period of 2025, representing a significant increase in losses. However, the company's net loss for the full year 2025 improved to $1,363,270 from $4,267,806 in 2024.

• · The company is a 'smaller reporting company' as defined under the Exchange Act.
• · The S-3 registration covers the offering of common stock, preferred stock, debt securities, warrants, subscription rights, and units.
• · A 1-for-10 reverse stock split was effective on July 20, 2026, and all per-share amounts and share counts have been retroactively restated.
• · The company's principal executive offices are at 116 Village Boulevard, Suite 200, Princeton, NJ 08540.
• · The CUSIP number for Niki Common Stock is 653942 102.

28-08-2026

NorthStrive Acquisition Corp I. consummated its initial public offering (IPO) on August 19, 2026, issuing 10,000,000 units at $10.00 per unit for gross proceeds of $100,000,000. Simultaneously, the company completed a private placement of 231,750 units to its sponsor for $2,317,500, bringing total proceeds to $102,317,500, of which $100,000,000 is held in trust. However, the auditor's report includes a going concern explanatory paragraph, noting the company lacks sufficient capital to fund operations for one year from the balance sheet date, and the company has an accumulated deficit of $2,908,777.

• · The company is a blank check company (SPAC) incorporated in the Cayman Islands on April 27, 2026, and has not yet commenced any operations.
• · The company has not selected any specific business combination target and has not engaged in any substantive discussions with any target.
• · The auditor's report includes an explanatory paragraph about substantial doubt regarding the company's ability to continue as a going concern, as it lacks capital resources to fund operations for one year from the balance sheet date.
• · Total shareholders' deficit is $2,908,271, driven by an accumulated deficit of $2,908,777.
• · The company has 4,829,998 Class B ordinary shares issued and outstanding, of which 629,998 are subject to forfeiture if the over-allotment option is not exercised.
• · The deferred underwriting fee of $3,500,000 is a non-current liability.
• · The company's sponsor is NorthStrive Sponsor I LLC.