US Pre-Market SEC Filings Roundup — September 01, 2026

31-08-2026

Director Lawee David sold 4,613 Class A Common Stock at $17.33 (~$80K). Lawee David holds 119,124 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Director Lawee David sold 4,613 Class A Common Stock at $17.33 (~$80K)

31-08-2026

Milton C. Ault III and his entity Ault & Company, Inc. filed Amendment No. 16 to their Schedule 13D, disclosing combined beneficial ownership of 187,500,466 Class A shares (57.9% of the class) in Hyperscale Data, Inc. as of August 31, 2026. The filing details the conversion terms of various preferred stock series and warrants, and notes that Ault & Company's voting power is 16.76% of total voting securities due to super-voting Class B shares and NYSE American conversion price rules. No transactions in the shares occurred during the past sixty days.

• · The conversion price for Series C, G, and H Preferred Stock is the greater of $0.10 per share or 105% of the 10-day VWAP; for this filing, a conversion price of $0.30 was used.
• · Stock options awarded to officers: Milton C. Ault III (400,000 shares), William B. Horne (400,000), Henry Carl Nisser (300,000), Kenneth S. Cragun (200,000) at a strike price of $3.60 per share, expiring July 30, 2035. 50% vested on May 6, 2026; remaining 50% vest monthly over 24 months starting June 1, 2026.
• · No transactions in the shares occurred during the past sixty days.

31-08-2026

Director Jaros Carey F. bought 15,000 Common Stock at $11.70 (~$176K). Jaros Carey F. holds 60,000 shares after the transaction.

• · Director Jaros Carey F. disposed of 45,000 Common Stock
• · Director Jaros Carey F. acquired 45,000 Common Stock
• · Director Jaros Carey F. bought 15,000 Common Stock at $11.70 (~$176K)

31-08-2026

Chief Executive Officer Sellers Kevin was awarded 50,000 Common Stock. Sellers Kevin holds 50,000 shares after the transaction.

• · Chief Executive Officer Sellers Kevin was awarded 50,000 Common Stock

31-08-2026

Andrew Dudum, CEO and board member of Hims & Hers Health, filed Amendment No. 4 to his Schedule 13D, disclosing beneficial ownership of 22,610,002 shares of Class A Common Stock (9.4% of the class on a fully converted and exercised basis) and 100% of Class V Common Stock. The filing outlines holdings via trusts, direct shares, and exercisable stock options, with no recent transactions reported.

• · The filing is Amendment No. 4 to the original Schedule 13D filed February 1, 2021, with prior amendments in December 2021, October 2024, and August 2025.
• · All shares of Class V Common Stock automatically convert to Class A Common Stock upon transfer or upon board resolution after the one-year anniversary of certain trigger conditions.
• · No transactions were reported by the Reporting Person in the 60 days prior to the filing date.
• · No other person has the right to receive dividends or sale proceeds from the reported shares.

31-08-2026

Global Chief Financial Officer Drucker Mann Lindsay sold 21,571 Class A ordinary shares at $15.14 (~$327K). 9 transactions reported in total. Drucker Mann Lindsay holds 116,135 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Global Chief Financial Officer Drucker Mann Lindsay exercised/converted 5,503 Class A ordinary shares at $9.39 (~$51.7K)
• · Global Chief Financial Officer Drucker Mann Lindsay sold 5,503 Class A ordinary shares at $15.00 (~$82.5K)
• · Global Chief Financial Officer Drucker Mann Lindsay exercised/converted 21,571 Class A ordinary shares at $9.39 (~$203K)
• · Global Chief Financial Officer Drucker Mann Lindsay sold 21,571 Class A ordinary shares at $15.14 (~$327K)
• · Global Chief Financial Officer Drucker Mann Lindsay exercised/converted 23,929 Class A ordinary shares
• · Global Chief Financial Officer Drucker Mann Lindsay sold 12,286 Class A ordinary shares at $14.27 (~$175K)
• · Global Chief Financial Officer Drucker Mann Lindsay exercised/converted 5,503 Stock Option (Right to Buy)
• · Global Chief Financial Officer Drucker Mann Lindsay exercised/converted 21,571 Stock Option (Right to Buy)

31-08-2026

Chief Financial Officer Edwards Simon Stephen was awarded 15,000 Common Stock. Edwards Simon Stephen holds 25,000 shares after the transaction.

• · Chief Financial Officer Edwards Simon Stephen was awarded 15,000 Common Stock

31-08-2026

Chief Medical Officer KENNEY CHRISTOPHER JOHN sold 6,368 Common Shares at $60.17 (~$383K). KENNEY CHRISTOPHER JOHN holds 2 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Chief Medical Officer KENNEY CHRISTOPHER JOHN sold 6,368 Common Shares at $60.17 (~$383K)
• · Chief Medical Officer KENNEY CHRISTOPHER JOHN sold 700 Common Shares at $60.98 (~$42.7K)

01-09-2026

Regis Corp reported mixed fiscal Q4 and full-year 2026 results. Full-year consolidated revenue grew 6.9% to $224.5M and Adjusted EBITDA improved 3.8% to $32.8M, driven by company-owned salon revenue and cost controls. However, Q4 revenue declined 7.3% to $56.0M, Q4 Adjusted EBITDA fell 5.2% to $9.2M, and net income dropped sharply due to a prior-year tax benefit. Franchise revenue continued to decline, and total salon count decreased by 229 locations year-over-year.

• · Full-year system-wide revenue declined 3.5% to $1,066.3M from $1,104.9M.
• · Q4 system-wide revenue declined 2.9% to $270.5M from $278.5M.
• · Franchise segment profit for Q4 decreased 15.2% to $5.6M from $6.6M.
• · Company-owned segment profit improved to $1.0M in Q4 from $0.7M, and to $3.4M for the full year from a loss of $0.2M.
• · Company-owned Adjusted EBITDA margin improved to 14.1% in Q4 from 9.8% a year ago.
• · Franchise Adjusted EBITDA margin on adjusted revenue declined to 41.0% in Q4 from 47.4%.
• · The company is actively evaluating refinancing alternatives to reduce cost of debt, with board oversight including a recently appointed director who is also a significant shareholder.
• · Diluted EPS from continuing operations was $2.41 for FY2026 vs $43.67 in FY2025; adjusted diluted EPS was $2.70 vs $2.85.
• · Q4 adjusted diluted EPS improved to $1.04 from $0.74.
• · The company has a $10.0M minimum liquidity covenant on its revolving credit facility, which expires in June 2029.

01-09-2026

TSMC announced a minor adjustment to its Q1 2026 cash dividend per share from NT$7.0 to NT$7.00000137 due to share reclamation from 2024 restricted stock awards. The total dividend distribution remains NT$181,526,590,469, payable on October 8, 2026. The change is negligible and does not materially impact shareholders.

• · Dividend per share adjusted from NT$7.0 to NT$7.00000137.
• · Adjustment due to reclamation of shares from 2024 restricted stock awards.
• · Dividend payment date: October 8, 2026.

01-09-2026

AptarGroup, Inc. appointed Gael Touya as a director effective September 1, 2026, increasing the board from 10 to 11 members, concurrent with his planned succession to President and CEO. Touya will serve until the 2028 annual meeting and receives no additional director compensation as a company employee. No negative or flat metrics are present in this filing as it solely covers a routine board expansion and officer appointment.

01-09-2026

Capstone 72, Inc. filed Amendment No. 5 to its Form S-11 registration statement for an initial public offering of 3,750,000 shares of common stock at an assumed price of $4.00 per share, with an over-allotment option for an additional 562,500 shares. The company, a real estate investment firm focused on single-family homes, plans to list on Nasdaq under the symbol 'CAPI' and is controlled by CEO Bonnie Wu, who holds over 50% voting power. The offering is subject to Nasdaq listing approval and the registration statement becoming effective.

• · The company effected a 1-for-180,000 stock split on May 18, 2026, increasing authorized shares from 990 to 30,000,000.
• · The company is an emerging growth company and a smaller reporting company, eligible for reduced reporting requirements.
• · The company is a controlled company, with CEO Bonnie Wu holding more than 50% voting power, and plans to rely on certain corporate governance exemptions.
• · The offering will not proceed unless the shares are approved for listing on Nasdaq under the symbol 'CAPI'.
• · The underwriters have a 45-day option to purchase up to 562,500 additional shares to cover over-allotments.
• · The company's business model includes buy-and-hold and buy-and-flip strategies for single-family homes, using AI and proprietary datasets for marketing intelligence.

01-09-2026

Peter Costello, President of Upstream at Shell plc, disposed of 31,786 ordinary shares at £33.41 per share on August 28, 2026, for a total of approximately £1.06 million. This is a routine insider transaction disclosure under EU and UK market abuse regimes.

• · Share price at disposal: £33.41 per share
• · Transaction date: August 28, 2026
• · Place of transaction: London
• · Instrument: Ordinary shares of €0.07 each (ISIN GB00BP6MXD84)
• · Initial notification, not an amendment

01-09-2026

Equinor ASA disclosed the 6th weekly update (24–28 Aug 2026) of the third tranche of its 2026 share buy-back programme. Over the five-day period, the company repurchased 720,516 shares on the Oslo Børs (OSE) at an average price of NOK 388.07 for a total consideration of ~NOK 279.6 million. Accumulated buybacks under this tranche now stand at 3,648,520 shares for ~NOK 1,406.7 million. All repurchases were executed on OSE; no activity was reported on CEUX or TQEX.

• · All repurchases during the period were executed solely on the Oslo Børs (OSE); no buybacks occurred on CEUX or TQEX.
• · The daily weighted average share price on OSE ranged from NOK 382.79 to NOK 395.54 over the five days.
• · The combined daily transaction value ranged from NOK 55.27 million to NOK 56.99 million.

01-09-2026

ING Groep N.V. filed a Form 6-K with the SEC on September 1, 2026, attaching a press release issued on the same date. The filing indicates that the registrant files annual reports under Form 20-F (the standard for foreign private issuers). The press release itself is not detailed in the filing, so no financial metrics or performance data are available from this document alone.

• · The filing is a routine Form 6-K for the month of September 2026.
• · ING Groep N.V.'s principal executive office is located at Bijlmerdreef 106, 1102 CT Amsterdam, The Netherlands.
• · The registrant confirms it files annual reports under Form 20-F rather than Form 40-F.
• · The press release dated September 1, 2026, was included as Exhibit 99.1 but its contents were not disclosed in the filing text.

01-09-2026

Aegon Ltd. published the agenda for an Extraordinary General Meeting (EGM) on October 8, 2026, seeking shareholder approval for the company's redomiciliation to the US, as announced at its Capital Markets Day in December 2025. The EGM will be held virtually, and related materials including a Shareholder Circular and an Omnibus Incentive Plan are available. The filing also notes the planned sale of Aegon UK, expected to close around the end of 2026.

• · The EGM is scheduled for October 8, 2026.
• · The Shareholder Circular was published on August 26, 2026.
• · The redomiciliation was first announced at Aegon's Capital Markets Day in December 2025.
• · Aegon announced an agreement to sell its UK insurance platform on April 15, 2026, with completion expected around the end of 2026.
• · Aegon is domiciled in Bermuda, headquartered in the Netherlands, and listed on Euronext Amsterdam and the NYSE.

01-09-2026

Alterity Therapeutics Limited filed a Form 6-K with the SEC on September 1, 2026, primarily to submit an application for quotation of securities (ATH). The filing is a routine foreign issuer report and does not contain any financial results, operational updates, or material business developments.

• · The filing incorporates by reference several existing SEC registration statements (Forms S-8 and F-3).
• · The company is described as a development stage enterprise.

01-09-2026

Entrata, Inc. filed an S-1/A registration statement with the SEC on September 1, 2026, for its initial public offering of Class A common stock. The filing extensively details risk factors, including potential internal control weaknesses, reliance on operating metrics such as units on its Operating System and ARPU, and exposure to complex tax laws, including the One Big Beautiful Bill Act and OECD global minimum tax guidelines. The company also notes that its independent auditor is not required to attest to internal controls until after it ceases to be an emerging growth company, which could increase risk for investors.

• · The company tracks operational metrics including number of units on its Operating System and ARPU, which may differ from third-party estimates.
• · Performance stock options vest based on market-based conditions tied to the rate of return to the majority owner, with no vesting if the minimum rate of return is not achieved.
• · The One Big Beautiful Bill Act (U.S. H.R. 1, 119th Congress) was signed into law in July 2025, making significant changes to U.S. federal tax law.
• · On January 5, 2026, the OECD released a package that generally establishes an exemption for U.S. multinationals from the global 15% minimum tax.
• · The company may be subject to a 1% excise tax on the fair market value of stock repurchases under the Inflation Reduction Act of 2022.

01-09-2026

Mizuho Financial Group announced a stock buyback program authorizing the repurchase of up to 35,000,000 shares of its common stock (1.4% of shares outstanding as of June 30, 2026) for a maximum aggregate price of ¥200,000,000,000. The repurchase period runs from May 18, 2026, to September 30, 2026, and will be executed via market purchases using a trust method.

01-09-2026

Baidu, Inc. filed a Form 6-K with the SEC on September 1, 2026, announcing a dual-primary listing on the Main Board of The Stock Exchange of Hong Kong Limited. The filing includes a press release and a voluntary announcement regarding the listing. No financial results or period-over-period comparisons were provided.

• · The filing is a Form 6-K for the month of September 2026.
• · Commission File Number: 000-51469.
• · The dual-primary listing is on the Main Board of The Stock Exchange of Hong Kong Limited.
• · The press release is Exhibit 99.1 and the voluntary announcement is Exhibit 99.2.

01-09-2026

NIO Inc. filed a Form 6-K with the SEC on September 1, 2026, providing its August 2026 delivery update. The filing, signed by CFO Yu Qu, contains no financial figures or specific delivery numbers, only the announcement of the monthly delivery update. Investors should refer to the accompanying press release for actual delivery data.

• · Filing is a Form 6-K for the month of September 2026.
• · The exhibit (99.1) is titled 'NIO Inc. Provides August 2026 Delivery Update'.
• · The filing does not include any delivery numbers or financial data.

01-09-2026

Artificial Intelligence Technology Solutions Inc. (AITX) filed an 8-K on September 1, 2026, announcing a press release regarding its subsidiary RAD's participation at GSX 2026 from three points on the show floor. The filing is a routine disclosure of a marketing event and contains no financial data, operational metrics, or period-over-period comparisons.

• · The press release is titled 'AITX's RAD to Reach GSX 2026 Attendees from Three Points on the Show Floor'.
• · The filing is furnished under Item 8.01 and is not deemed filed for Exchange Act purposes.

01-09-2026

Li Auto Inc. filed a Form 6-K with the SEC on September 1, 2026, attaching a press release regarding its August 2026 delivery update. The filing was signed by Director and CFO Tie Li. No specific delivery figures or financial metrics were included in the filing itself.

• · The filing is a Form 6-K for the month of September 2026.
• · The press release (Exhibit 99.1) covers Li Auto's August 2026 delivery update.
• · The filing was signed by Tie Li, Director and CFO, on September 1, 2026.

01-09-2026

Hafnia Limited filed a Form 6-K with the SEC on September 1, 2026, announcing the completion of its CEO transition and providing notice of an Extraordinary General Meeting (EGM) scheduled for September 23, 2026. The filing includes a press release (Exhibit 99.1) and proxy materials (Exhibit 99.2). No financial results or quantitative performance data were disclosed in this filing.

• · The EGM is scheduled for September 23, 2026.
• · The press release (Exhibit 99.1) covers completion of CEO transition and notice of EGM.
• · The proxy materials (Exhibit 99.2) include form of proxy, voting instructions, and proxy card.
• · The Form 6-K is incorporated by reference into the Company's registration statement on Form F-3 (File No. 333-287637), effective May 29, 2025.

01-09-2026

Elbit Systems Ltd. filed a Form 6-K with the SEC on September 1, 2026, attaching a press release of the same date. The filing is a routine disclosure by a foreign private issuer and does not contain any financial results, material events, or performance metrics.

• · Filing is a Form 6-K for the month of September 2026.
• · Commission File Number: 000-28998.
• · Address: Advanced Technology Center, P.O.B. 539, Haifa 3100401, Israel.
• · Press release dated September 1, 2026, is attached as Exhibit 1.

01-09-2026

XTI Aerospace received a Nasdaq deficiency notice on August 26, 2026 for failing to timely file its Q2 2026 Form 10-Q, due to an internal review of its former CEO who resigned on August 17, 2026. The company has 60 days (until October 26, 2026) to submit a compliance plan, and if accepted, Nasdaq may grant an exception until February 22, 2027. However, the company warns it may disclose substantial doubt about its ability to continue as a going concern, and there is no assurance it will regain compliance or maintain its listing.

• · The company expects the Form 10-Q to disclose substantial doubt about its ability to continue as a going concern.
• · The former CEO resigned on August 17, 2026, triggering the internal review.
• · The company has not yet estimated when the internal review or the Form 10-Q filing will be completed.
• · If Nasdaq does not accept the compliance plan, the company may appeal to a Nasdaq Hearings Panel.
• · The Notice has no immediate effect on the listing of the company's common stock on the Nasdaq Capital Market.

01-09-2026

TotalEnergies SE has acquired Shell's renewables business in Europe and sold a 50% stake in a portfolio of developed assets to KKR. The company also completed the transfer of its 10% interest in Arctic LNG 2. Additionally, the filing includes routine disclosures of share buyback transactions.

• · TotalEnergies acquired Shell's renewables business in Europe.
• · TotalEnergies sold a 50% stake in a portfolio of developed assets to KKR.
• · TotalEnergies completed the transfer of its 10% interest in Arctic LNG 2.
• · The filing includes four weekly disclosures of transactions in own shares (August 4, 11, 18, 25, 2026).

01-09-2026

Luckin Coffee Inc. announced an upsizing of its share repurchase program, as disclosed in a Form 6-K filing with the SEC on September 1, 2026. The filing includes a press release titled 'Luckin Coffee Announces Upsizing of Share Repurchase Program' but does not provide specific financial figures or comparative period data.

• · The upsizing of the share repurchase program was announced via a press release on September 1, 2026.
• · The filing was made as a Form 6-K with the SEC under the Securities Exchange Act of 1934.

01-09-2026

Revolution Medicines, Inc. entered into four lease agreements on August 27, 2026, for a new headquarters totaling approximately 672,000 rentable square feet at 1600-1900 Seaport Boulevard in Redwood City, California. The leases have staggered commencements from September 2027 to September 2028, with initial terms ending in September 2042, and aggregate monthly base rent starting at approximately $2.7 million, escalating 3% annually. The transaction is subject to the landlords' acquisition of the properties (Phase II Closing), with a termination right for the company if the closing does not occur by December 31, 2026, and automatic termination if not closed by April 29, 2027.

• · Leases have staggered commencement dates from September 26, 2027 through September 1, 2028.
• · Initial lease terms end in September 2042, with options to extend for up to three additional five-year periods.
• · Base rent during extension periods will be determined based on fair market rent.
• · If Phase II Closing occurs after November 24, 2026 but on or before December 31, 2026, base rent will be reduced by $0.02 per rentable square foot per month.
• · If Phase II Closing occurs after December 31, 2026 and leases remain in effect, base rent will be reduced by an aggregate of $0.10 per rentable square foot per month.
• · Company may terminate each lease if Phase II Closing does not occur by December 31, 2026, by delivering notice within five business days after that date.
• · Each lease automatically terminates if Phase II Closing has not occurred by April 29, 2027, absent mutual extension.
• · Farallon Capital Management, L.L.C. reported beneficial ownership of approximately 6.4% of the company's outstanding common stock as of June 30, 2026.
• · Investment funds managed by Farallon indirectly own a majority interest in the landlords.

01-09-2026

Valion Bio (Nasdaq: VBIO) announced strategic management and board changes, including the appointment of CFO Lisa Wolf as President and COO following the departure of CEO Michael K. Handley, and the addition of Jared Malbin and Thomas Jensen as directors. The company is positioning its lead asset Entolimod for the projected $7.8B Acute Radiation Syndrome market by 2032 and a multi-billion-dollar oncology supportive-care opportunity. While the leadership restructuring aims to accelerate execution and value creation, the departure of the CEO and the reliance on forward-looking projections introduce execution risk.

• · Lisa Wolf will continue as CFO while assuming the expanded roles of President and COO.
• · Thomas Jensen is CEO, Co-Founder and Director of Nasdaq-listed Allarity Therapeutics, advancing stenoparib in Phase 2 trials for advanced ovarian cancer.
• · Jared Malbin has over 25 years of financial-services experience and currently serves as COO of Lucid Capital Markets.
• · Entolimod has received Fast Track and Orphan Drug designations from the FDA.
• · The company is also advancing Entolasta, a next-generation TLR5 agonist for broader therapeutic applications including oncology supportive care.
• · The press release contains forward-looking statements and cautions readers not to place undue reliance on them.

01-09-2026

Bleichroeder Acquisition Corp. III is taking Ursa Major Technologies, Inc. public via a SPAC merger, with the business combination expected to close in Q1 2027. Ursa Major, an 11-year-old aerospace defense company, currently produces about 10 hypersonic missiles per year but plans to scale to 500 missiles annually using capital from the SPAC. The filing highlights strong momentum with multiple flight tests and contracts in 2024-2026, but also notes that the U.S. currently fields no hypersonic weapon systems while adversaries have hundreds, underscoring the urgent need but also the competitive and regulatory risks.

• · Ursa Major was founded in 2015 and has been developing hypersonic engines, solid rocket motors, and in-space propulsion for 11 years.
• · The company achieved its first hypersonic engine flight in 2024, first Draper engine test in 2024, and first SRM flight test in 2024.
• · In 2025, Ursa Major was awarded an AFRL hypersonic flight contract and achieved an SRM production rate of hundreds of motors per year.
• · In 2026, Ursa Major completed first and second HAVOC Block 0 flights (powered by Draper), 10+ hypersonic Hadley engine flights, and 11+ SRM flights.
• · The SPAC merger will involve a continuation from Cayman Islands to Delaware and the combined company will be named 'Inflection Point Mach X Bleichroeder Corp.'
• · The filing includes forward-looking statements and risks including potential failure to consummate the merger, redemption requests, and regulatory approvals.
• · The U.S. currently has no fielded hypersonic weapon systems, while adversaries have hundreds, creating an urgent need but also a competitive gap.

01-09-2026

Andretti Acquisition Corp. II entered into additional non-redemption agreements with investors on August 31, 2026, to secure agreements not to redeem up to 2,600,000 public shares in exchange for up to 650,000 Pubco shares (or up to 866,667 if the business combination closes after June 9, 2027). This follows prior non-redemption agreements covering up to 1,000,000 shares. The agreements are intended to increase the funds remaining in the trust account but are not expected to increase the likelihood of shareholder approval for the extension.

• · The special meeting to approve the extension was adjourned from August 28, 2026 to September 8, 2026.
• · The extension would move the business combination deadline from September 9, 2026 to September 9, 2027.
• · The non-redemption agreements terminate upon failure to approve the extension, company determination not to proceed, fulfillment of obligations, liquidation, mutual agreement, or if the investor exercises redemption rights.
• · The company may enter into additional similar non-redemption agreements.

01-09-2026

Armstrong World Industries, Inc. has posted an updated Investor Presentation on its website in anticipation of upcoming investor meetings. The presentation is attached as Exhibit 99.1 to the 8-K filing and is available on the company's investor relations page.

• · The filing is a Regulation FD disclosure (Item 7.01).
• · The investor presentation is dated August 31, 2026.
• · The presentation is furnished, not filed, for SEC purposes.

01-09-2026

News Corporation filed an 8-K to disclose its daily buyback transaction reports submitted to the Australian Securities Exchange (ASX) under its $1 billion stock repurchase program. The filing is routine and contains no new financial results or material operational changes, but reiterates the company's ongoing capital return initiative.

• · The repurchase program covers both Class A and Class B common stock.
• · Disclosures to the ASX are required on a daily basis under ASX rules.
• · The filing includes forward-looking statements regarding the company's intent to repurchase shares from time to time.
• · The company also discloses repurchase information in its quarterly and annual reports.

01-09-2026

Macquarie Energy Transition Infrastructure Fund, L.P. disclosed unregistered sales of limited partnership units totaling approximately $10.0 million across two closings in July and August 2026, with Class S units accounting for the majority of the consideration. The Fund also reported a slight increase in Transactional NAV per unit for all classes between June and July 2026, with Class E units showing the highest NAV at $113.73. The broader METI Program has raised approximately $661.4 million in aggregate cash consideration from July 2025 through August 2026.

• · No Class E units were sold in either the July or August closings.
• · The Fund's Registration Statement on Form 10 became effective after the July 1, 2026 closing.
• · The August 3, 2026 closing occurred after the Form 10 effectiveness.
• · The Fund invests alongside other Macquarie-managed vehicles with substantially similar investment objectives and strategies.
• · The offer and sale of Units were made only to accredited investors that are also qualified purchasers, exempt under Section 4(a)(2) and Regulation D.

01-09-2026

Global Water Resources, Inc. entered into an Eighth Modification Agreement with The Northern Trust Company, increasing its revolving credit facility commitment from $20,000,000 to $30,000,000 (subject to reduction to $25,000,000 upon completion of certain capital markets activity) and extending the maturity date from May 18, 2028 to August 30, 2028. The unpaid principal balance as of the agreement date was $6,550,000. The company reaffirmed no defaults and no material adverse changes, and the modification was consented to by subsidiary guarantors.

• · The commitment increase is subject to reduction to $25,000,000 if the company completes capital markets activity (equity or debt offering) after the Eighth Modification date.
• · The maturity date extension is from May 18, 2028 to August 30, 2028.
• · The loan is secured by pledges from Global Water, LLC, West Maricopa Combine, LLC, and Global Water Holdings, Inc.
• · Borrower released the bank from all claims arising prior to the agreement date.
• · Subsidiary guarantors (Global Water, West Maricopa, Global Water Holdings) consented to the modification.

01-09-2026

Abpro Holdings, Inc. disclosed that Chairman Miles Suk voluntarily resigned from his position as Chairman of the Board on August 25, 2026, but will remain a director. The company also terminated his consulting agreement, resulting in a $50,000 compensatory payment over 60 days. No disagreement was cited, and a successor Chair will be appointed at the next board meeting.

• · Miles Suk's resignation as Chairman was not due to any disagreement with the company.
• · The Board of Directors will appoint a successor Chair at its next regularly scheduled meeting.
• · The company's common stock (ABP) and warrants (ABPWW) were delisted from Nasdaq and are trading on OTC Pink Ltd. tier as of February 23, 2026.
• · Warrants are exercisable for one share of common stock at an exercise price of $114.90.

01-09-2026

Nixxy, Inc. terminated the employment of CFO MeiLin Yu effective August 28, 2026. A successor has been identified but not yet appointed; the company will file a subsequent 8-K upon appointment. No financial details or performance metrics were disclosed.

• · The termination was effective immediately on August 28, 2026.
• · The Board of Directors made the decision to terminate Ms. Yu.
• · A potential successor has been identified; the company will file a separate 8-K upon appointment.

01-09-2026

Innovative Industrial Properties, Inc. (IIPR) disclosed that on August 31, 2026, it received notice of termination of its equity distribution agreement with Jefferies LLC, and simultaneously entered into a new equity distribution agreement with Huntington Securities, Inc. on substantially the same terms. The company's at-the-market (ATM) offering program for up to $500,000,000 in common stock and Series A preferred stock continues with the remaining agents, now including Huntington. No financial results or performance metrics were provided in this filing.

• · The termination of the Jefferies LLC agreement was effective August 31, 2026.
• · The new agreement with Huntington Securities, Inc. is on substantially the same terms as the existing agreements.
• · The ATM prospectus has been supplemented three times: Supplement No. 1 dated May 13, 2025, Supplement No. 2 dated May 22, 2026, and Supplement No. 3 dated August 31, 2026.
• · The shelf registration statement (File No. 333-285148) became effective on February 21, 2025.

01-09-2026

Rubrik, Inc. reported a net loss of $61.8M for Q2 FY26 (three months ended July 31, 2026), an improvement from a $95.9M loss in the same quarter last year, driven by 37.9% revenue growth to $427.3M. Subscription revenue grew 37.1% to $407.2M, while operating expenses rose 19.4% to $407.0M. However, the company's accumulated deficit widened to $3.29B, and total stockholders' deficit improved slightly to $499.4M from $519.6M at year-end.

• · Gross profit for Q2 FY26 was $335.1M, up 36.1% from $246.3M in Q2 FY25.
• · Subscription gross profit was $333.0M (implied from cost of subscription revenue $74.1M) vs $240.9M in prior year.
• · Other revenue (non-subscription) grew 55.8% YoY to $20.1M in Q2 FY26.
• · Interest income increased to $16.4M in Q2 FY26 from $12.2M in Q2 FY25.
• · Interest expense declined sharply to $1.1M in Q2 FY26 from $5.2M in Q2 FY25.
• · No loss on debt extinguishment in Q2 FY26 vs $6.7M in Q2 FY25.
• · Income tax expense rose to $5.5M in Q2 FY26 from $1.8M in Q2 FY25.
• · Total comprehensive loss was $65.3M in Q2 FY26 vs $99.1M in Q2 FY25.
• · Stock-based compensation was $104.9M in Q2 FY26 and $180.7M in H1 FY26.
• · Deferred revenue (current) increased to $1.18B from $1.07B at year-end.
• · Deferred revenue (noncurrent) decreased slightly to $750.2M from $776.5M.
• · Goodwill increased to $223.2M from $199.6M, likely due to a business combination.
• · Accounts receivable rose to $269.2M from $256.8M, with allowances increasing to $941K from $299K.
• · Accrued expenses and other current liabilities fell to $182.3M from $230.0M.
• · The company had $1.33B in short-term investments as of July 31, 2026.
• · Total assets grew to $2.85B from $2.77B at year-end.

01-09-2026

Chairman and CEO Li Xiaodong sold 5,164 Class A ordinary shares at $120.43 (~$622K). Li Xiaodong holds 1,227,828 shares after the transaction. Trades executed under a Rule 10b5-1 plan.

• · Chairman and CEO Li Xiaodong sold 5,164 Class A ordinary shares at $120.43 (~$622K)

01-09-2026

Chief Executive Officer Liu Chang bought 4,001 American depositary shares at $2.11 (~$8.43K). Liu Chang holds 92,564 shares after the transaction.

• · Chief Executive Officer Liu Chang acquired 1,658 American depositary shares at $2.19 (~$3.63K)
• · Chief Executive Officer Liu Chang bought 4,001 American depositary shares at $2.11 (~$8.43K)

01-09-2026

Highlands REIT, Inc. filed a Schedule TO-I with the SEC on September 1, 2026, disclosing a tender offer. The filing incorporates by reference various compensation-related agreements and plans, including the 2016 Incentive Award Plan and its amendments, director compensation, retention bonus, and executive employment agreements. No financial terms of the tender offer are disclosed in this excerpt.

• · Filing date: September 01, 2026
• · Tender offer filed on Schedule TO-I
• · Incorporated documents include amendments to the 2016 Incentive Award Plan dated May 10, 2016, August 12, 2021, and December 15, 2025
• · Executive agreements referenced: Robert J. Lange (April 25, 2025), Richard Vance (April 24, 2025), Kimberly Karas (April 12, 2023), Jessica Boehm (April 21, 2025)

01-09-2026

XPENG INC. reported vehicle delivery results for August 2026 via a Form 6-K filing with the SEC. The filing includes a press release (Exhibit 99.1) detailing the monthly delivery numbers. No specific financial figures or period-over-period comparisons are provided in the filing itself, so the analysis is limited to the announcement of the delivery results.

• · The filing is a Form 6-K for the month of September 2026.
• · The press release (Exhibit 99.1) covers vehicle delivery results for August 2026.
• · The report was signed by Chairman and CEO Xiaopeng He on September 1, 2026.

01-09-2026

Sasol Ltd filed its annual report (20-F) for the fiscal year ended June 30, 2026, with KPMG as the independent auditor. The report details coal reserve estimates as of March 31, 2026, totaling 995 million tonnes in the Secunda area and 18 million tonnes in the Sasolburg area. It also discloses average sales prices and production costs for its Mozambique operations, showing a slight increase in natural gas prices to R59.0 per thousand standard cubic feet in 2026 from R58.8 in 2025, while natural liquids prices rose to R721.7 per barrel from R607.9 in 2025. However, average production costs for natural gas increased to R9.6 per thousand standard cubic feet in 2026 from R6.6 in 2025, indicating a cost pressure.

• · Coal reserve estimates as at 31 March 2026: Secunda area total recoverable reserves 995 Mt (proved and probable), Sasolburg area 18 Mt (proved).
• · Average ROM cash cost for Secunda area coal: R600/t; average sales cost: R873/t.
• · Average ROM cash cost for Sasolburg area coal: R828/t; average sales cost: R976/t.
• · Natural gas average production cost in Mozambique increased from R6.6 (FY2025) to R9.6 (FY2026) per thousand standard cubic feet.
• · Natural liquids average sales price in Mozambique increased from R607.9 (FY2025) to R721.7 (FY2026) per barrel.

01-09-2026

CFO Kizner Guy was awarded 1,297 Ordinary Shares. Kizner Guy holds 6,981 shares after the transaction.

• · CFO Kizner Guy was awarded 1,297 Ordinary Shares