S&P 500 Consumer Discretionary Sector SEC Filings — March 19, 2026

19-03-2026

The Gabelli Convertible and Income Securities Fund Inc. (GCV) has filed a definitive proxy statement for its Annual Meeting of Stockholders on May 11, 2026, primarily to elect four directors: three (Vincent D. Enright, Anthonie C. van Ekris, Salvatore J. Zizza) by holders of common and 5.20% Series H Preferred Stock voting together, and one (Anthony S. Colavita) by Preferred Stock holders separately. As of the March 12, 2026 record date, 20,050,323 common shares and 607,500 Preferred shares were outstanding, with no dividend arrearages reported. Major holders include GAMCO Investors, Inc. affiliates (9.6% of common) and Regina Pitaro (46.9% of Preferred).

• ·Board consists of 13 directors, 10 of whom are independent (non-interested persons under 1940 Act).
• ·Preferred stockholders elect two directors separately; currently Anthony S. Colavita and Werner J. Roeder.
• ·No dividend arrearages on Preferred Stock.
• ·Fiscal year ended September 30, 2025; annual report available upon request.
• ·Quorum requires majority of votes entitled to be cast; Preferred election requires majority of outstanding Preferred shares.

19-03-2026

FiscalNote reported Q4 2025 revenues of $22.2M, down 25% YoY from $29.5M primarily due to divestitures, with Adjusted EBITDA of $2.5M exceeding guidance but also down 25% YoY; full year 2025 revenue declined 21% to $95.4M while Adjusted EBITDA rose 5% to $10.3M. ARR fell 21% YoY to $84.1M (9% on pro forma basis excluding divestitures), reflecting execution challenges and sector instability, but new corporate logo bookings grew 39% YoY and multi-year private sector contracts increased from 17% to 40%. The company announced a ~25% workforce reduction, new AI-driven initiatives, and expects positive trailing 12-month FCF by end Q1 2027, amid an ongoing strategic review.

• ·Q4 2025 pro forma subscription revenue declined 8% YoY excluding divestitures.
• ·FY 2026 guidance: Total Revenues $80-83M, Adjusted EBITDA $14-16M (pro forma FY2025 comparison $90.7M rev, $9.0M Adj EBITDA).
• ·Q1 2026 guidance: Revenues $20-21M, Adjusted EBITDA ~$1M.
• ·Goodwill impairment of $12.4M in Q4 2025.
• ·Excluding non-cash and one-time items, Q4 operating expenses declined 12% YoY.

19-03-2026

Diversified Healthcare Trust's 2026 Proxy Statement seeks shareholder approval for the election of seven trustee nominees at the 2026 Annual Meeting, including Managing Trustees Christopher J. Bilotto (President and CEO) and Adam Portnoy, and Independent Trustees Alan Felder, Lisa Harris Jones, Phyllis M. Hollis, Dawn K. Neher, and Jeffrey P. Somers. The document details governance practices, including sustainability policies (Employee Health and Wellness, Human Rights, Philanthropy, Business Partners’ Code of Conduct), a Trustee Resignation Policy requiring resignation offers for non-majority votes in uncontested elections, and strict Insider Trading Policies prohibiting hedging and blackout trading. No financial performance metrics are reported, with focus on board qualifications in REITs, real estate, finance, and healthcare.

• ·Shareholder proposals under Rule 14a-8 for 2027 Annual Meeting due by November 19, 2026.
• ·Proxy access nominations for 2027 Annual Meeting must be received between October 20, 2026, and November 19, 2026.
• ·Other nominations/proposals under Bylaws due by 5:00 p.m. ET on November 19, 2026 (window October 20, 2026).
• ·Board to decide on trustee resignation offers within 90 days of election certification.
• ·2027 Annual Meeting assumed around June 10, 2027, for deadline adjustments.

19-03-2026

Ellsworth Growth and Income Fund Ltd. has issued a definitive proxy statement for its Annual Meeting of Shareholders on May 11, 2026, at 8:15 a.m. ET in Greenwich, CT, primarily to elect four Trustees: Kinchen C. Bizzell, James P. Conn, and Frank J. Fahrenkopf, Jr. by common and preferred shareholders voting together as a single class, and Michael J. Melarkey by preferred shareholders as a separate class. The record date is March 12, 2026, with 13,670,303 Common Shares, 1,103,002 Series A Preferred Shares, and 273,000 Series B Preferred Shares outstanding. Major beneficial owners include Saba Capital Management (11.7% of Common Shares) and GAMCO Investors (10.5% of Preferred Shares).

• ·Quorum requires holders of one-third of outstanding shares entitled to vote.
• ·No dividend arrearages on Preferred Shares as of filing date.
• ·Fund's fiscal year ended September 30, 2025; annual report available upon request.
• ·Board has 11 Trustees, 9 independent (non-interested persons).
• ·Preferred shareholders entitled to elect minimum number of Trustees representing a majority if dividends in arrears for two full years.

19-03-2026

Bancroft Fund Ltd. has issued a proxy statement for its Annual Meeting of Shareholders on May 11, 2026, at 8:00 a.m. ET, to elect four Trustees: three (Kinchen C. Bizzell, James P. Conn, Frank J. Fahrenkopf, Jr.) by common and preferred shareholders voting together as a single class, and one (Michael J. Melarkey) by preferred shareholders as a separate class. The record date is March 12, 2026, with 5,822,431 common shares and 1,098,623 preferred shares outstanding. Major shareholders owning 5% or more include Saba Capital Management, L.P. (6.2% of common shares), Ameriprise Financial Inc. (5.2% of common shares), and Americo Investment Advisors Inc. (5.5% of preferred shares).

• ·Quorum requires holders of one-third of outstanding shares entitled to vote
• ·Preferred shareholders elect one Trustee (Michael J. Melarkey) as a separate class; three others jointly with common shareholders
• ·No dividend arrearages on Preferred Shares as of proxy date
• ·Fiscal year ended September 30, 2025
• ·Meeting location: Indian Harbor Yacht Club, 710 Steamboat Road, Greenwich, Connecticut, 06830
• ·Proxy materials mailed on or about April 1, 2026

19-03-2026

FreightCar America, Inc. (RAIL) filed a DEF 14A proxy statement for its virtual Annual Meeting of Stockholders on April 10, 2026, at 10:00 a.m. Central Time, to elect three Class III directors for three-year terms, approve on an advisory basis the compensation of Named Executive Officers, and ratify Grant Thornton LLP as independent registered public accounting firm for fiscal year 2026. The record date is February 10, 2026, with 19,062,155 shares of common stock outstanding entitled to vote. Proxy materials are being mailed on or about March 19, 2026.

• ·Meeting held virtually only via live webcast at www.meetnow.global/MFVJ6LW
• ·Voting requires 15-digit control number for proxy submission via internet, phone, or mail
• ·Quorum requires majority of shares outstanding on record date present virtually or by proxy

19-03-2026

Artificial Intelligence Technology Solutions, Inc. (AITX) filed an 8-K on March 19, 2026, under Items 8.01 and 9.01, announcing the issuance of a press release titled 'AITX's RAD Books Hundreds of SARA Licenses as Customers Expand After Initial Deployment.' The press release is furnished as Exhibit 99.1 and is not deemed filed or material.

• ·Filed by newsfilecorp.com
• ·Registrant details: Nevada incorporation, Commission File Number 000-55079, IRS Employer Identification No. 27-2343603, principal offices at 10800 Galaxie Avenue, Ferndale, Michigan 48220

19-03-2026

Marker Therapeutics reported strong Phase 1 APOLLO clinical data for MT-601 with a 66% objective response rate (50% complete responses) in relapsed non-Hodgkin lymphoma and 78% in Hodgkin lymphoma, plus promising pancreatic cancer results (up to 84.6% disease control rate) published in Nature Medicine. Financially, cash stood at $17M at year-end 2025, funding operations through Q4 2026, but revenues fell 46% YoY to $3.5M, net loss widened 14% to $12.2M from $10.7M, despite R&D expenses declining 12% to $11.8M and flat G&A at $4.2M. Upcoming catalysts include APOLLO data updates and pancreatic program start in Q2 2026.

• ·Dose expansion in APOLLO enrolling relapsed DLBCL patients at 400×10⁶ cells; no DLTs or ICANS reported.
• ·Manufacturing technical transfer with Cellipont Bioservices expected Q2 2026.
• ·Supported by non-dilutive grants from NIH (R44CA291521, R44CA295168, 1R44CA285177), FDA (R01FD007272), CPRIT (DP250150, DP210042).

19-03-2026

Cardinal Infrastructure Group Inc. (CDNL) reported full year 2025 revenue of $456M, up 45% YoY (33% organic) from $315.2M in 2024, Adjusted EBITDA of $81.5M up 44% YoY, and backlog of $682M up 33% from $512M. However, net income grew only 10% to $31.1M, gross profit margin declined to 14.0% from 14.8%, EBITDA margin fell to 15.8% from 16.9%, reflecting higher acquisition, IPO, and capex expenses. The company affirmed 2026 guidance of $665-678M revenue and 20%+ Adjusted EBITDA margin, post-acquisition of A.L. Grading Contractors on Feb 18, 2026.

• ·Completed IPO in December 2025 raising $139.8M.
• ·Acquired A.L. Grading Contractors on February 18, 2026, first expansion into Georgia.
• ·2026 guidance: Revenue $665-678M; Adjusted EBITDA margin 20%+.
• ·Conference call on March 19, 2026 at 10:30 a.m. ET.

19-03-2026

Larimar Therapeutics reported widening net losses for Q4 and full year 2025 of $62.5M ($0.73/share) and $165.7M ($2.27/share), respectively, compared to $28.8M and $80.6M in 2024, primarily due to increased R&D expenses from nomlabofusp manufacturing scale-up ($59.4M Q4, $154.2M FY vs $26.7M and $73.3M prior year). Positively, the company received FDA Breakthrough Therapy Designation for nomlabofusp in FA, confirmed alignment on BLA submission seeking accelerated approval in June 2026, and strengthened its balance sheet with $107.6M net proceeds from a February 2026 public offering, yielding pro forma cash of $244.5M and runway into Q2 2027.

• ·Plan to report topline open label study data in Q2 2026 to support BLA.
• ·Initiate screening in global Phase 3 study in Q2 2026, dosing first patient mid-2026.
• ·U.S. launch targeted for first-half 2027, if approved.
• ·Cash and cash equivalents $85.4M, short-term marketable securities $51.4M as of Dec 31, 2025 (down from prior year).

19-03-2026

Lifezone Metals Ltd's FY2025 revenue rose 652% YoY to $1.06M from $0.14M in FY2024, primarily from technical and laboratory services, with gross profit surging to $0.52M; however, revenue remained below FY2023's $1.48M, and the company posted a net loss of $14.1M, improved from $47.1M YoY but still reflecting an operating loss of $18.4M. General and administrative expenses declined to $19.1M from $39.1M, aiding loss reduction, while total assets grew to $175.8M supported by $141M in exploration assets, but shareholders' equity fell to $73M amid ongoing cash burn and a $9.2M net cash decrease.

• ·Operating cash flow remained negative at -$15.6M in FY2025, slightly improved from -$15.9M in FY2024 but far from breakeven.
• ·Net cash decrease of $9.2M in FY2025 vs $20.1M in FY2024, driven by $27.6M financing inflows.
• ·Basic and diluted net loss per share improved to -$0.17 in FY2025 from -$0.59 in FY2024.
• ·Senior secured bridge loan facility of $16.7M and convertible debentures of $34.5M as of Dec 31, 2025.
• ·Goodwill impairment of $9.0M in FY2024, none in FY2025.

19-03-2026

Aflac Incorporated issued definitive additional proxy materials (DEFA14A) on March 19, 2026, for its Annual Meeting on May 4, 2026, proposing the election of 11 director nominees, an advisory approval of named executive officer compensation, ratification of KPMG LLP as auditors for the year ending December 31, 2026, and a shareholder proposal for an independent board chairman (board recommends against). The board recommends voting FOR the first three items. Proxy materials, including the Notice, Proxy Statement, and Annual Report on Form 10-K for the year ended December 31, 2025, are available online or by request before April 20, 2026.

• ·Request paper/email copies of materials via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com before April 20, 2026
• ·Control number required for email requests
• ·Annual Report covers year ended December 31, 2025

19-03-2026

Horizon Technology Finance Corporation (NASDAQ: HRZN) announced the formation of a new joint venture with CR Financial Holdings, Inc. (CRFH), with initial capital commitments totaling $100 million to provide growth capital financing solutions, primarily secured loans in the $5-25 million range, to small- and micro-cap public companies in the U.S. The joint venture features equal governance representation from both parties and expects support from Monroe Capital, which manages $24 billion in assets as of January 1, 2026. No negative performance metrics were reported in this announcement.

• ·Joint venture governance: four-person board and investment committee with equal representation from Horizon and CRFH
• ·Announcement date: March 19, 2026
• ·Monroe Capital supports larger investments

19-03-2026

SELLAS Life Sciences reported FY2025 financial results with R&D expenses decreasing 16% YoY to $16.0M and G&A expenses nearly flat at $12.3M (down 1% YoY), resulting in a narrowed net loss of $26.9M ($0.25/share) versus $30.9M ($0.50/share) in FY2024, bolstered by cash of $71.8M at year-end and additional $42.6M from warrant exercises in Q1 2026. Clinical programs advanced with 72 events reached in the Phase 3 REGAL trial for GPS (nearing the 80-event threshold for final analysis) and positive Phase 2 SLS009 data in r/r AML showing 46% ORR. However, the company continues to incur net losses, and G&A expenses showed minimal decline.

• ·Phase 2 SLS009 r/r AML: mOS 8.9 months in least pretreated cohort (vs expected 2.6 months); no DLTs or treatment-related deaths.
• ·REGAL trial: event-driven with 80 events required for final analysis; 72 events as of Dec 26, 2025.
• ·Preclinical SLS009: significant survival benefit in T-PLL model vs VEN alone (ESMO 2025); AACR 2026 poster on apoptosis in AML cell lines April 21, 2026.
• ·Warrant proceeds 2025: $54.6M from specific warrants ($23.6M Jan 2025 + $31.0M 2024 issues) + $12.6M others.

19-03-2026

Firefly Aerospace reported record FY2025 revenue of $159.9 million, up 163% YoY, fueled by successful Alpha return-to-flight, Blue Ghost lunar landing, SciTec acquisition, and new national security contracts including FORGE expansion. The company completed a historic IPO and advanced multiple programs like Eclipse, Elytra, and Blue Ghost Missions 2-4. Firefly provides 2026 revenue guidance of $420-450 million, reflecting strong growth momentum with no reported declines in key metrics.

• ·Eight-figure contract won for SciTec time-dominant space control software.
• ·Alpha Flight 7 launched successfully on March 11, 2026, validating Block II subsystems.
• ·Onboarded to SHIELD IDIQ with $151B ceiling.
• ·Conference call scheduled for March 19, 2026, at 4:00 p.m. CT.

19-03-2026

Reinsurance Group of America, Incorporated (NYSE: RGA) appointed Peter Babej to its Board of Directors, effective April 1, 2026, citing his extensive experience in financial services, including roles at Citigroup as Chairman and Interim Head of Banking, CEO of Citi Asia Pacific overseeing 70,000 employees, and Global Head of Financial Institutions. RGA, a global life and health reinsurer founded in 1973, reported $4.3 trillion in life reinsurance in force and $156.6 billion in total assets as of December 31, 2025. The appointment is positioned to support RGA's long-term strategy amid opportunities worldwide.

• ·Peter Babej retired from Citigroup in 2024 after serving as Chairman and Interim Head of Banking.
• ·Peter Babej holds a B.A. (summa cum laude) from Princeton University, J.D. and Ph.D. from Harvard University.
• ·RGA founded in 1973.

19-03-2026

Evofem Biosciences, Inc. (Buyer) and Windtree Therapeutics, Inc. (Supplier) mutually terminated their License and Supply Agreement (dated March 20, 2025, as amended) effective March 13, 2026, because Windtree failed to establish manufacturing capabilities for Evofem's Phexxi product. No termination fees are due to either party, with each bearing their own costs, but Windtree must immediately cease using Evofem's IP and return all confidential information and assets. This termination eliminates the supply arrangement without further obligations, potentially disrupting Evofem's Phexxi production.

• ·Agreement governed by Delaware law with exclusive jurisdiction in Delaware courts.
• ·Certain sections of the original License and Supply Agreement (per Section 11.6) survive termination.

19-03-2026

First Commonwealth Financial Corporation issued a notice of availability of proxy materials for its 2026 Annual Shareholders’ Meeting on April 28, 2026, at 1:00 P.M. ET, held virtually. Key proposals include the election of 12 director nominees, ratification of Ernst & Young LLP as independent auditors for 2026, and an advisory vote on named officer compensation, with the Board recommending a vote FOR all items. Shareholders must access materials online at www.envisionreports.com/FCF or request paper copies by April 16, 2026.

• ·Virtual attendance via https://meetnow.global/MQPU7JP using 15-digit control number.
• ·Paper copy requests via www.envisionreports.com/FCF, 1-866-641-4276, or investorvote@computershare.com must be received by April 16, 2026.
• ·Includes 2025 Annual Meeting Minutes, 2025 Annual Report, and 2026 Proxy Statement available online.

19-03-2026

Crawford & Company's total revenues declined 2.3% YoY to $1.31B in 2025 from $1.34B in 2024, with revenues before reimbursements down 2.1% to $1.27B, while costs of services fell 2.8% and SG&A expenses decreased 1.8%, partially offsetting the revenue drop. Net income attributable to shareholders fell 26.2% to $19.6M amid $14.0M in restructuring costs and other losses, though operating cash flow surged 97.3% to $102M and long-term debt was reduced 24.8% to $151M. Total assets decreased 4.9% to $764M, with cash equivalents up to $64M.

• ·Cash dividends per share increased to $0.29 in 2025 from $0.28 in 2024.
• ·Common stock repurchases totaled $10.5M in 2025 vs $3.9M in 2024.
• ·Income taxes paid $17.0M in 2025 vs $20.0M in 2024.
• ·Weighted-average diluted shares Class A: 30,771 thousand in 2025 vs 30,404 in 2024.

19-03-2026

York Space Systems reported full-year 2025 revenue of $386.2M, up 52% YoY from $253.5M, driven by Transport Layer Tranche 2 contracts, with gross profit surging 133% to $75.5M and gross margin expanding 6.8pp to 19.5%. However, net loss narrowed to $84.5M from $98.9M (-15%), while Adjusted EBITDA improved to -$8.3M from -$43.0M (-81%) but remained negative. Backlog grew to $543M after converting $319M to revenue, supported by acquisitions of ATLAS Space Operations and Orbion Space Technology, and 2026 revenue guidance of $545-595M.

• ·Liquidity of $312.6M as of Dec 31, 2025, increasing to $895.4M post-IPO as of Jan 31, 2026.
• ·IPO: 18.5M shares at $34 per share on Jan 30, 2026.
• ·Acquired ATLAS Space Operations in 2025; acquired Orbion Space Technology in March 2026.
• ·Dragoon mission delivered in 7 months from contract (75% timeline reduction vs. typical 30 months).
• ·2026 revenue outlook: $545M to $595M, with >70% from existing backlog at midpoint.

19-03-2026

Biofrontera Inc. filed its 10-K on March 19, 2026, disclosing substantial doubt about its ability to continue as a going concern, a history of operating losses, and expectations of ongoing losses without achieving profitability. The company's strategy focuses on expanding U.S. sales of Ameluz combined with RhodoLED Lamps for treating minimally to moderately thick actinic keratosis (AKs) on the face and scalp. Extensive risk factors include heavy dependence on Ameluz, threats from generic competition, manufacturing disruptions, intellectual property lawsuits, reimbursement limitations, and supply chain vulnerabilities from tariffs and geopolitics.

• ·If generic versions of Ameluz enter the market, we may need to reduce the price of Ameluz significantly, which would reduce revenues, and may cause us to lose significant market share.
• ·We are currently and have been involved in intellectual property lawsuits related to our products. Similar suits may also arise in the future.
• ·Our business depends substantially on the success of Ameluz.

19-03-2026

UniFirst Corporation filed a Rule 425 communication sharing notes and a video transcript from CEOs Steven Sintros (UniFirst) and Todd Schneider (Cintas) expressing excitement about the previously announced merger, highlighting cultural alignment, employee retention, and growth opportunities. Cintas plans to welcome the majority of UniFirst's team as partners from day one, honoring UniFirst start dates for benefits like PTO, 401(k), and profit sharing, to serve an additional 300,000 customers. No financial declines or challenges are mentioned beyond standard forward-looking risk disclosures.

• ·Messages dated March 18, 2026; transaction announced the prior week
• ·UniFirst Commission File No.: 001-08504
• ·Cintas to treat UniFirst start dates as Cintas start dates for benefits including paid time off, 401(k), profit sharing, and medical benefits

19-03-2026

FedEx reported strong revenue growth of 8% YoY to $24B in Q3 FY26 and 6% YoY to $69.7B for the nine months ended Feb 28, 2026, driving net income up 16% YoY to $1.06B quarterly and $2.84B YTD, with diluted EPS rising to $4.41 and $11.91 respectively. However, operating expenses increased across most categories including salaries (+12% YoY quarterly) and purchased transportation (+8% YoY), leading to a slight Q3 operating margin contraction to 5.6% from 5.8% prior year, while YTD margin expanded to 5.6% from 5.2%. Cash and equivalents surged to $8B from $5.5B at May 31, 2025, bolstered by $5.7B operating cash flow (up 25% YoY YTD).

• ·Separation and other costs rose to $202M in Q3 FY26 from $5M YoY.
• ·Business optimization costs declined to $65M in Q3 FY26 from $179M YoY.
• ·Long-term debt increased to $22.8B from $19.2B at May 31, 2025.
• ·Treasury stock repurchases totaled 3.3M shares YTD FY26 vs 8.9M prior year.

19-03-2026

Marvell Technology, Inc. filed an 8-K on March 19, 2026, under Item 8.01 to disclose a prospectus supplement to its automatic shelf registration statement on Form S-3 (Registration No. 333-285742). The filing attaches the legal opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation confirming the legality of securities issuance and sale as described in the prospectus supplement. No financial metrics or performance data were reported.

• ·Commission File Number: 001-40357
• ·IRS Employer Identification No.: 85-3971597
• ·Exhibits filed: 5.1 (Opinion), 23.1 (Consent), 104 (Cover Page Interactive Data File)

19-03-2026

BOK Financial Corporation's DEF 14A proxy statement, filed March 19, 2026, solicits votes for the virtual annual shareholder meeting on May 5, 2026, including electing 15 directors, ratifying Ernst & Young LLP as auditors for fiscal year ending December 31, 2026, and an advisory vote approving named executive officer compensation. George B. Kaiser, beneficial owner of 62.50% of outstanding shares, plans to vote all his shares in favor of the proposals. No financial performance metrics or period-over-period comparisons are detailed in the filing.

• ·Record date for shareholders entitled to vote: March 9, 2026
• ·Annual meeting: May 5, 2026, at 2:30 p.m. Central Time, virtual webcast at www.virtualshareholdermeeting.com/BOKF2026
• ·Principal executive offices: Bank of Oklahoma Tower, One Williams Center, Tulsa, OK 74172
• ·Annual Report to Shareholders for fiscal year ended December 31, 2025, enclosed with proxy materials

19-03-2026

Common and preferred shareholders of Nuveen Missouri Quality Municipal Income Fund (NOM), Nuveen Pennsylvania Quality Municipal Income Fund (NQP), and Nuveen Municipal High Income Opportunity Fund (NMZ) have approved a proposal to merge the funds. The shareholder meeting for Nuveen New Jersey Quality Municipal Income Fund (NXJ) has been adjourned to April 2, 2026, to allow for additional vote solicitation. This update was filed by NMZ under Rule 425 on March 19, 2026.

• ·Commission File No. for NMZ: 333-290590
• ·Commission File No. for NXJ: 811-09455

19-03-2026

TechnipFMC plc's DEF 14A Proxy Statement for the 2026 AGM on May 1, 2026, highlights strong 2025 performance with total inbound orders of $11.2B driving 15% YoY backlog growth to $16.6B, cash from operations up 84% to $1.8B, and free cash flow surging 113% to $1.4B. Shareholder distributions doubled to $1B, with $2B additional repurchases authorized and debt reduced by $455.2M while maintaining cash equivalents above $1B; Subsea orders reached $10.1B (meeting 3-year $30B target) and Surface Technologies $1.1B with international revenue at 65%. The proxy seeks approval for director elections (8/9 independent), say-on-pay, auditors, and incentive plan amendments.

• ·Annual Meeting: May 1, 2026 at 4:00 p.m. London time, Hadrian House, Newcastle upon Tyne, UK; Record Date March 9, 2026; Voting deadline April 30, 2026 11:59 p.m. NY time
• ·Pledge to return at least 70% of 2026 free cash flow to shareholders
• ·Subsea achieved $30B inbound orders over 3 years ending 2025
• ·Fifth consecutive year of Subsea services inbound growth

19-03-2026

Jackson Financial Inc. closed transactions on March 19, 2026, where Grand River Funding Trust I issued 500,000 2036 P-Caps for $500M and Grand River Funding Trust II issued 400,000 2056 P-Caps for $400M, creating on-demand capital facilities allowing the Company to issue up to $500M of 6.311% Senior Notes due 2036 (over 10 years) and $400M of 7.280% Senior Notes due 2056 (over 30 years). The Company pays semi-annual facility fees of 2.066% and 2.430% on unexercised portions, respectively, with mandatory exercises if consolidated net worth falls below $2.75B (adjusted for certain events). This structure enhances liquidity backed by U.S. Treasury strips, with P-Caps redeemable on Feb 15, 2036 and Feb 15, 2056.

• ·P-Caps issued in private placements under Rule 144A, held only by qualified institutional buyers that are also qualified purchasers under Investment Company Act.
• ·Issuance Rights exercisable over 10 years for 2036 Trust and 30 years for 2056 Trust; automatic exercise on facility fee payment failure (30-day cure) or Company bankruptcy events.
• ·Company right to redeem Senior Notes at greater of principal or make-whole price plus accrued interest; Trusts invested proceeds in principal and interest strips of U.S. Treasury securities.

19-03-2026

Better Home & Finance Holding Company's Audit Committee dismissed Deloitte & Touche LLP as its independent registered public accounting firm effective March 16, 2026, after a comprehensive selection process, with no disagreements or qualified audit opinions for fiscal years 2025 and 2024. The Company appointed BDO USA, P.C. as the new auditor for the fiscal year ending December 31, 2026, following execution of an engagement letter on March 18, 2026. While prior material weaknesses in internal controls (disclosed in 2024 10-K) were remediated by December 31, 2025, the change reflects a routine auditor rotation with Deloitte's concurrence via letter dated March 19, 2026.

• ·Deloitte served as auditor since 2020.
• ·Warrants exercisable at $575 per share of Class A common stock.
• ·No consultations with BDO on accounting or auditing matters prior to appointment.

19-03-2026

SmartKem, Inc., a Delaware corporation with UK offices, entered into a Securities Purchase Agreement dated as of 2026 for the issuance and sale of senior secured notes with an aggregate original principal amount of $3.75M to accredited investors under Regulation D exemptions. Buyers will pay $700 for each $1,000 of principal, providing the company with immediate cash proceeds at a discount while the notes rank senior to all other indebtedness and are secured by first-priority liens on all existing and future assets of the company and its subsidiaries, including pledges of subsidiary stock. No financial performance comparisons or declines are disclosed in the agreement.

• ·Closing to occur at 10:00 a.m. New York time on the first Business Day conditions are met at offices of Meister Seelig & Fein PLLC, 125 Park Avenue, 7th Floor, New York, NY 10017
• ·Notes issued in reliance on Section 4(a)(2) of the 1933 Act and Rule 506(b) of Regulation D
• ·Purchase price paid by wire transfer per Flow of Funds Letter; company delivers executed Notes registered to Buyers
• ·Subsidiaries provide guaranties; security via Security Agreement, Perfection Certificate, and other Security Documents

19-03-2026

Five Below, Inc. reported robust FY2025 financial results, with net sales surging 22.9% YoY to $4,764.1M from $3,876.5M, net income jumping 41.4% to $358.6M, comparable sales up 12.8% versus -2.7% prior year, and store count expanding to 1,921 from 1,771. Gross margin expanded to 36.0% from 34.9% and operating margin to 9.6% from 8.4%, supported by operating cash flow of $586.4M. However, the Snack and Seasonal category slipped to 24.6% of sales from 25.5%, inventories ballooned to $846.6M from $659.5M, and no share repurchases occurred in FY2025 after prior years' activity.

• ·Capital expenditures decreased to $174.7M in FY2025 from $324.0M in FY2024.
• ·No common stock repurchases in FY2025, compared to $40.2M in FY2024 and $80.5M in FY2023.
• ·Share-based compensation expense rose to $34.7M in FY2025 from $15.6M in FY2024.
• ·Total shareholders' equity increased to $2,193.3M as of Jan 31, 2026 from $1,808.3M.
• ·Diluted EPS $6.47 in FY2025 vs $4.60 in FY2024.

19-03-2026

BullFrog AI Holdings, Inc. reported its first annual revenue of $116,670 in 2025 from collaborations, generating a modest gross profit of $21,892, while operating expenses declined 9% YoY to $6.6M with R&D down 19% and G&A down 4%. However, the net loss narrowed only slightly to $6.5M from $7.0M in 2024, cash and equivalents dropped sharply 60% to $2.2M from $5.4M, total assets fell 49% to $2.8M, and stockholders' equity halved to $2.1M from $5.0M. Cash used in operations improved marginally by 2% to $5.5M, but net cash decreased $3.1M versus a $2.8M increase prior year.

• ·Net cash from financing activities declined to $2.4M in 2025 from $8.4M in 2024.
• ·Weighted average shares outstanding: 10,337,073 (2025) vs 8,245,353 (2024).
• ·Net loss per share: $(0.63) (2025) vs $(0.85) (2024).
• ·At-The-Market Sales Agreement with BTIG, LLC. dated April 25, 2025.

19-03-2026

Franco-Nevada Corporation filed its 40-F Annual Report for the fiscal year ended December 31, 2025, covering operations across Precious Metals, Other Mining, and Energy segments with geographic exposure to US, Peru, Chile, Brazil, Panama, South Africa, and Australia. The filing details multiple royalty and stream acquisitions, including the Royalty on AngloGold Ashanti Plc's Arthur Gold Project in Nevada (November 2025) and Bullabulling Royalty from Minerals 260 Limited (February 2026), alongside updates on credit facilities, equity investments like Labrador Iron Ore Royalty Corporation, and risk factors such as currency, interest rate, and commodity price risks. References to 2024 and 2023 periods appear throughout for segment and revenue type comparisons (e.g., Streams, Revenue-Based, Profit-Based), but no specific performance metrics or changes are quantified.

• ·Subsidiaries include Franco-Nevada U.S. Corporation, Franco-Nevada Canada Holdings Corp., Franco-Nevada Barbados Corporation, and Franco-Nevada Australia Pty Ltd.
• ·Acquisitions in late 2025/early 2026: Royalty on Yilgarn Star Gold Mine Australia (Dec 2025), Sibanye Stillwater's Pandora Royalty (Feb 2025), Royalty from I-80 Gold (Feb 2026).
• ·Tax contingent liabilities noted for 2013-2015 and 2013-2019, including transfer pricing settlement in 2026.
• ·Fair value hierarchy disclosures for equity investments, warrant assets, and provisional gold sales receivables (Level 1, 2, 3).

19-03-2026

The GDL Fund's definitive proxy statement (DEF 14A) solicits votes for its Annual Meeting of Shareholders on May 11, 2026, to elect two trustees: Colin J. Kilrain by common and preferred shareholders voting together as a single class, and James P. Conn by preferred shareholders as a separate class. As of the March 12, 2026 record date, 10,927,807 common shares and 1,637,200 preferred shares (972,000 Series E and 665,200 Series G) were outstanding, with no dividend arrearages on preferred shares. GAMCO Investors, Inc. and affiliates beneficially own 46.1% of common shares, while major preferred holders include Kenneth Edlow (33.6%) and Regina Pitaro (24.0%).

• ·Quorum requires holders of one-third of outstanding shares entitled to vote; for preferred-elected trustee, one-third of outstanding preferred shares.
• ·No dividend arrearages on preferred shares as of proxy statement date.
• ·Fund has retained Morrow Sodali LLC for proxy solicitation at estimated $1,050 plus expenses.
• ·Annual report for fiscal year ended December 31, 2025 available upon request.
• ·Meeting may be adjourned if quorum not present; adjourned meeting not more than 130 days after record date.

19-03-2026

Wolfspeed announced private placements for $379M aggregate principal of 3.5% Convertible 1.5 Lien Senior Secured Notes due 2031 and $96.9M in common stock (3,250,030 shares) and pre-funded warrants (for 2M shares), expecting total gross proceeds of $475.9M. Proceeds will redeem $475.9M of outstanding higher-cost Senior Notes, reducing annual interest expense and total debt to strengthen the balance sheet. This supports diversification into emerging markets like AI data centers, industrial and energy, and aerospace/defense.

• ·Subscription agreements entered March 19, 2026; settlement expected March 26, 2026
• ·Notes mature March 15, 2031; interest payable semi-annually starting September 15, 2026
• ·Initial conversion rate: 49.6623 shares per $1,000 principal (approx. $20.14 conversion price)
• ·Closing price March 18, 2026: $16.78 per share
• ·Notes secured by substantially all assets of Wolfspeed and Guarantor

19-03-2026

Armada Hoffler Properties, Inc., a self-managed REIT focused on Mid-Atlantic and Southeastern U.S. properties, filed an S-3 shelf registration statement on March 19, 2026, to enable future issuance of securities. As of March 18, 2026, the company had 80,207,321 shares of common stock outstanding and owned 77.3% of its Operating Partnership units as of December 31, 2025. Net proceeds, if any, would be contributed to the Operating Partnership for property acquisitions/developments, debt repayment, capital expenditures, working capital, or temporary interest-bearing investments consistent with REIT status.

• ·Formed October 12, 2012; elected REIT status effective December 31, 2013.
• ·Headquartered at 222 Central Park Avenue, Suite 1000, Virginia Beach, Virginia 23462.
• ·Board can reclassify unissued shares and increase/decrease authorized shares without stockholder approval.
• ·REIT ownership requirements: 100+ persons for 335+ days; no more than 50% owned by 5 or fewer individuals.

19-03-2026

On March 17, 2026, Ashford Hospitality Trust, Inc. completed the sale of its 157-room La Posada de Santa Fe hotel for approximately $56.8 million in net cash proceeds, using $56.0 million to partially repay the mortgage debt secured by La Posada and another property. Pro forma balance sheet as of September 30, 2025 reflects reduced total assets to $2.96B and net hotel properties to $2.15B. For the year ended December 31, 2024, pro forma total revenue declined 1.5% to $1.15B after removing La Posada's $17.9M contribution, but net loss attributable to common stockholders improved 17% to $68.5M; for the nine months ended September 30, 2025, pro forma revenue fell 1.6% to $832.2M while loss per share remained flat at $(23.38).

• ·Pro forma gain on disposition included in YE Dec 31, 2024 adjustments: $12.6M
• ·La Posada contributed $17.9M revenue and $1.9M operating income in YE Dec 31, 2024
• ·Pro forma EPS basic YE Dec 31, 2024 improved from $(17.54) to $(14.55)

19-03-2026

SmartStop Self Storage REIT, Inc. and SmartStop OP, L.P. entered into a distribution agreement on March 19, 2026, with multiple sales agents including J.P. Morgan Securities, LLC and others, to issue and sell shares of common stock with an aggregate offering price of up to $300 million via an at-the-market offering program. The agreement also includes forward sale agreements with forward purchasers such as JPMorgan Chase Bank, National Association. Net proceeds, if any, will be used for general corporate purposes including acquisitions, development, and debt reduction; sales agents will receive commissions not exceeding 2.0% of gross sales price.

• ·Shares traded on New York Stock Exchange under symbol SMA
• ·Pursuant to automatic shelf registration statement on Form S-3 (File No. 333-292583) filed January 5, 2026
• ·Prospectus supplement filed March 19, 2026
• ·Legal opinion by Nelson Mullins Riley & Scarborough LLP (Exhibit 5.1)

19-03-2026

Strawberry Fields REIT reported rental revenues of $155M in 2025, up 32% YoY from $117M, driving net income to $33.3M (+26% YoY) and net income attributable to common shareholders to $7.6M (+85% YoY), with adjusted FFO rising to $72.5M. However, total equity fell sharply to $50.5M from $83.6M due to a $34.8M foreign currency translation loss, total liabilities increased to $835M amid higher bonds and new note payable, and cash equivalents dropped to $32M. Operating cash flow improved to $90M (+52% YoY), but net cash from financing turned negative at -$5M.

• ·Real estate investments, net increased to $687.2M from $609.1M (+12.8% YoY).
• ·Senior debt decreased to $417.3M from $460.6M.
• ·Weighted average common shares outstanding: 12,696,831 (2025) vs 7,124,158 (2024).
• ·Basic and diluted EPS: $0.60 (2025) vs $0.57 (2024), +5%.

19-03-2026

A1R water and Inflection Point Acquisition Corp. III (Nasdaq: IPCX) announced the upsizing of their PIPE investment to $83.5 million, including over $35 million funded or to be funded prior to closing of the Business Combination Agreement signed on August 25, 2025. The increase reflects strong investor demand driven by A1R water's early U.S. commercial traction with its air-to-water technology. Proceeds will accelerate U.S. production facilities using reallocated assets from the Middle East.

• ·Business Combination Agreement entered on August 25, 2025
• ·Inflection Point IPO prospectus filed April 25, 2025