Executive Summary
Overnight SEC filings (626 total) dominated by routine 497K/J fund prospectuses (95%+ volume) showing pervasive mixed/neutral sentiment with most active funds underperforming S&P 500 benchmarks long-term (e.g., 10/12 Hennessy funds trailed 14.82% 10Y return avg by 200-500bps) amid high turnover (avg 80%) and sector concentrations, signaling caution on active mid/small-cap strategies vs passive indices. Operational companies highlighted positive milestones like Aptera's first vehicle production (+8/10 materiality) and Byrna's revenue 84% CAGR under retiring CEO, but mixed earnings (Limbach rev +25% YoY yet GCR -7%, AutoZone SSS +3.3% but margins -137bps). Biotech M&A active (Rallybio/Candid $750M rev merger diluting legacy holders to 3.65%; Freenome de-SPAC H1 2026) with positive pipeline catalysts; SPAC/control changes (Slam Corp full equity shift to crypto/DeFi experts). Capital allocation bullish in repurchases (NRG $300M, BrightSpring $60M potential) but insider selling patterns in funds/mixed signals. Portfolio trend: margin compression avg -100bps in 6/10 detailed earnings despite rev growth +15% avg YoY; forward catalysts cluster Q2 2026 (FDA nods, mergers). Implications: favor passive ETFs/index hugging, monitor biotech/SPAC dilutions, buy dips in infra/energy acquirers.
Tracking the trend? Catch up on the prior US Pre-Market SEC Filings Roundup digest from March 02, 2026.
Investment Signals(12)
- Byrna Technologies↓(BULLISH)▲
CEO retirement with successor from non-lethal sector, revenue from $0.25M to $118M (84% CAGR), uplisted Nasdaq/Russell 2000
- Aptera Motors (SEV)(BULLISH)▲
Completed first validation vehicle off assembly line, key production milestone pre-market open
- Freenome/PCSC(BULLISH)▲
Q1 2026 EAP launch on track, CRC v1 FDA mid-2026, de-SPAC H1 post-$240M PIPE, NVIDIA GPU collab
- Limbach Holdings↓(BULLISH)▲
FY2025 rev $646.8M +24.7% YoY (ODR +40.6%), Adj EBITDA +28.4% to $81.8M, 2026 guide $730-760M rev
- Cal-Maine Foods↓(BULLISH)▲
Acquired Creighton assets for $130M cash, expands egg products/prepared foods
- Knightscope (KSCP)(BULLISH)▲
Acquired Event Risk (positive EBITDA, Fortune 1000 clients), integrates robotics for managed security RFPs
- NRG Energy↓(BULLISH)▲
Repurchasing $300M shares concurrent with secondary offering, signals conviction at $178.96 close
- Flowco (FLOC)(BULLISH)▲
Acquired Valiant for $200M net ($170M cash +1.5M shares), bolsters ESP Permian presence
- Rallybio↓(BEARISH)▲
Merger values Candid at $750M vs Rallybio $47.5M, but pre-merger holders diluted to 3.65% fully diluted
- Hennessy Funds (10+ funds)(BEARISH)▲
Avg 1Y returns beat sector benches but 5Y/10Y trail S&P 500 by 300-500bps (e.g., Tech Fund 9% 5Y vs 14.42%)
- Trinseo (TS)(BEARISH)▲
NYSE delisting imminent (mkt cap <$15M 30-day avg), post prior $50M/equity fails
Selling stockholders (KKR, mgmt) offering 20M shares, mgmt confidence via $60M repurchase [MIXED but lean BULLISH]
Risk Flags(10)
- Rallybio Merger[HIGH RISK]▼
Legacy shareholders diluted to ~3.65% post $505.5M PIPE/rev split/name change, stockholder approval + $200M min cash req'd
- Hennessy Small Cap Financial[MEDIUM RISK]▼
10Y returns 8.61% < Russell 2000 Financials 8.85%, small-cap volatility + concentration
- BBH Select Large Cap ETF[MEDIUM RISK]▼
1Y/5Y/incep underperformed S&P 500 (14.26%/10.62%/11.05% vs 17.88%/14.42%/15.88%)
- Limbach Holdings GCR[MEDIUM RISK]▼
Revenue -7% FY/-13% Q4 YoY, gross margins 26.2% -160bps YoY due to Pioneer integration
- AutoZone↓[MEDIUM RISK]▼
Q2 gross margin -137bps to 52.5% (LIFO), op profit -1.2%, EPS -2.3% YoY
- Trinseo Delisting[HIGH RISK]▼
Immediate suspension, OTC risks (Irish stamp duty 1%, DTC halt), liquidity erosion
- Karyopharm↓[HIGH RISK]▼
Debt deferral to Sep 2026 needs $25M equity raise by Jun, going concern doubt
- Theravance Biopharma↓[HIGH RISK]▼
Phase 3 CYPRESS fail, R&D wind-down, 50% workforce cut despite YUPELRI +12% sales
- Netlist↓[MEDIUM RISK]▼
Q4 net loss $2.2M despite rev +121% YoY, working capital deficit $6.4M
- CalciMedica↓[HIGH RISK]▼
FY net loss +116% to $29.6M, Phase 2 discontinued on mortality signal
Opportunities(10)
- Aptera/SEV Production↓(OPPORTUNITY)◆
First vehicle milestone unlocks scaling, watch pre-revenue EV catalysts
- Byrna Leadership Transition(OPPORTUNITY)◆
New CEO from Wrap Tech (non-lethal), +84% CAGR base, dealer expansion 1,500+
- Freenome De-SPAC(OPPORTUNITY)◆
H1 2026 close post $240M PIPE, CRC v1 mid-2026 FDA, 85% sens ~75% Stage I
- Limbach ODR Growth(OPPORTUNITY)◆
+40.6% YoY to 75% rev mix, 2026 guide +13-18% rev/$90-94M EBITDA
- Knightscope Acquisition(OPPORTUNITY)◆
Event Risk EBITDA+ integrates robotics, GSX conference demo 2026
- NRG Share Repurchase(OPPORTUNITY)◆
$300M concurrent buyback at $178.96, treasury hold signals undervaluation
- Flowco Valiant Deal(OPPORTUNITY)◆
$200M Permian ESP expansion, funded ABL no dilution
- Hycroft Mining↓(OPPORTUNITY)◆
Debt-free $194M cash, resources +55% (16.4Moz Au), 950% TSR 2025, drill 2026
- Hepion/Cirna↓(OPPORTUNITY)◆
ctRNA HCC biomarker in-license, $10B liquid biopsy mkt, earlier detect vs DNA
- Pinterest↓(OPPORTUNITY)◆
$1B Elliott notes fund $1B ASR +$1.5B repurchases, 600M MAU/80B searches undervalued
Sector Themes(6)
- Active Funds Underperform Benchmarks◆
15/20 detailed funds (Hennessy/BBH/Tidal) mixed/neutral, avg 5Y/10Y trail S&P 500 by 300bps despite 1Y beats in niches (e.g., Japan Small Cap +28.89% vs TOPIX), high turnover 50-275% signals passive shift [IMPLICATION: Rotate to low-cost ETFs]
- Biotech M&A/SPAC Acceleration◆
4/10 high-mat deals (Rallybio $750M Candid, Freenome PCSC H1, Slam crypto control), dilutions but pipeline catalysts (FDA mid-2026) amid $240M+ PIPEs [IMPLICATION: Buy shells/pre-merger for rev jumps]
- Margin Pressure Despite Rev Growth◆
Earnings filings (6/10) show rev +15-25% YoY (Limbach +25%, AutoZone +8%) but margins -100-200bps avg (gross 26% vs 28%), integration/LIFO drags [IMPLICATION: Favor rev pure-plays over margin-sensitive]
- Share Repurchases Surge◆
8 companies (NRG $300M, BrightSpring $60M, Kontoor $25M Q4/$2B program) avg 5-10% outstanding, concurrent secondaries signal conviction [IMPLICATION: Accumulate on dips]
- ETF Launches/Prodelays◆
100+ 497K/BXT (Volatility Shares 20+ 3x/5x delays to Mar9, YieldMax options income), neutral/mixed perf but theme (defense/nuclear/space) [IMPLICATION: Tactical plays pre-launch volatility]
- Leadership Transitions Positive◆
5 CEOs/chairs (Byrna, Wyndham, Protagenic, Compass Diversified adds), rev/milestone tailwinds [IMPLICATION: Post-change stability rallies]
Watch List(8)
- Rallybio Merger👁
Stockholder vote/HSR/Nasdaq approval, min $200M cash, lockups 180d [Q2 2026]
- Freenome De-SPAC👁
S-4 filing imminent, H1 close post $240M PIPE, CRC FDA mid-2026 [H1 2026]
- Limbach Earnings/Guide👁
Q4 Pioneer integration margins, 2026 $730-760M rev call [Mar 2026]
- Trinseo Delisting👁
Form 25 effective ~Mar13, OTC liquidity/ Irish duty impact [Mar13 2026]
- Karyopharm Debt👁
$25M equity raise by Jun10 for forbearance, Phase3 data mid-2026 [Jun10 2026]
- Theravance Review👁
Strategic alternatives incl sale post CYPRESS fail, Q3 cash flow $60-70M [Q2 2026]
- Pinterest Repos👁
$1B ASR settle Q2, $3.5B program execution [H1 2026]
- Hycroft PEA👁
Delayed beyond Q1 drill results, heap leach restart potential [Q2 2026]
Filing Analyses(626)
03-03-2026
On March 2, 2026, Slam Corp., a shell company, experienced a change in control when Digital Investment Strategy, LLC acquired 100% of the equity interests in Slam Sponsor, LLC, gaining indirect control over the company's Class A ordinary shares, Class B ordinary shares, Private Placement Warrants, and board appointment rights. Concurrently, directors Alex Rodriguez (also CEO), Himanshu Gulati, Lisa Harrington, Reggie Hudlin, Julian Nemirovsky, and Alexandre Zyngier resigned, along with CEO Alex Rodriguez and CFO Ryan Bright, with no disagreements noted; new directors Maulin Shah (Executive Chairman), Joseph Buttram (CEO), Raoul Scott (CFO), Karen Snow, Michael Frisch, Kain Warwick, and Ryan Bright were appointed, bringing expertise in investment management, cryptocurrency, and DeFi. No changes to the company's operations or prior disclosures occurred.
- ·Resignations and appointments effective March 2, 2026; no arrangements likely to result in future change of control per Regulation S-K Item 403(c)
- ·New directors/officers have no material interest in transactions under Item 404(a); entered standard indemnification agreements
- ·Prior filings referenced include Form 10-K for year ended Dec 31, 2024, 10-Q for Q1 2025 ended Mar 31, 2025, and multiple 8-Ks through Jan 30, 2026
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Cornerstone Mid Cap 30 Fund (Investor Class HFMDX: 1.34% expenses; Institutional Class HIMDX: 0.98% expenses) on March 2, 2026, detailing its quantitative Mid Cap 30 Formula strategy targeting mid-cap stocks ($2B-$25B market cap) with 129% portfolio turnover. As of December 31, 2025, Investor Class returns were 2.68% 1Y (underperforming Russell Midcap 10.60% and S&P 500 17.88%), 18.72% 5Y (outperforming Russell Midcap 8.67% but trailing S&P 500 14.42%), and 12.74% 10Y (ahead of Russell Midcap 11.01% but behind S&P 500 14.82%). The fund highlights strong long-term growth potential but notes risks like formula rigidity and sector concentration in Consumer Discretionary and Industrials.
- ·Fund invests at least 80% of net assets in mid-cap growth-oriented common stocks listed on U.S. national securities exchanges (market caps $2B-$25B).
- ·Portfolio rebalanced annually in fall with equal 3.33% weighting per selected stock.
- ·Criteria: Price-to-sales <1.5, improving annual earnings, positive 3-month and 6-month price appreciation.
- ·Currently substantially invested in Consumer Discretionary and Industrials sectors.
02-03-2026
The Summary Prospectus for BBH Select Large Cap ETF (BBHL), dated February 28, 2026, details its objective of long-term capital growth through investments in 25-60 large cap equities (at least 80% of net assets), with total annual operating expenses of 0.71% and portfolio turnover of 20% for the fiscal year ended October 31, 2025. Performance of the Predecessor Fund as of December 31, 2025, showed positive returns of 14.26% (1-year), 10.62% (5-year), and 11.05% (since inception 9/9/2019) before taxes, but underperformed the S&P 500 Index at 17.88%, 14.42%, and 15.88% respectively over the same periods. The Fund, successor to the Predecessor Fund via reorganization on November 17, 2025, is non-diversified and actively managed by BBH&Co., with principal Scott Hill as portfolio manager.
- ·Fund invests at least 80% of net assets in large cap equity securities (market cap range matching S&P 500).
- ·Non-diversified fund; satisfies RIC diversification requirements under Subchapter M.
- ·Example investment costs for $10,000: $73 (1 year), $228 (3 years), $396 (5 years), $882 (10 years) assuming 5% annual return.
- ·Shares trade on NYSE Arca; subject to premium/discount to NAV and bid-ask spread risks.
02-03-2026
Rallybio Corporation entered into a Merger Agreement on March 1, 2026, to acquire Candid Therapeutics, Inc., via a reverse merger where Candid survives as a wholly-owned subsidiary, valuing Rallybio at $47.5M (assuming $37.5M net cash) and Candid at $750M. Post-merger, Candid pre-merger equityholders will own ~57.55%, new investors from $505.5M concurrent financing ~38.80%, but Rallybio pre-merger equityholders only ~3.65% on a fully diluted basis, with a reverse stock split, name change to Candid Therapeutics, Inc., and Ken Song becoming CEO while Rallybio executives resign. The deal requires stockholder approvals, minimum $200M financing, and Rallybio net cash >=$0 at closing.
- ·Closing conditions include Rallybio stockholder approval of share issuance (>20% of outstanding), reverse stock split, name change, authorized share increase, and Candid equity plans.
- ·Merger subject to HSR Act waiting period, Nasdaq listing approval, Form S-4 effectiveness, and no material adverse effects.
- ·Lock-Up Agreements restrict transfers of Rallybio Common Stock by certain Candid executives/directors/stockholders for 180 days post-Effective Time.
- ·Rallybio Support Agreements cover 24.8% of outstanding capital stock; Candid Support Agreements cover 65.82%.
02-03-2026
Tidal Trust II filed a 497K Summary Prospectus dated March 2, 2026, for the newly organized Nicholas Defense and Rare Earth Income ETF (WEPN), listed on NYSE Arca, which seeks primary capital appreciation and secondary current income via equity in defense/rare earth companies, commodities exposure, and options overlays generating premiums. Total annual operating expenses are 1.11%, with management fees at 0.99%; hypothetical costs for a $10,000 investment are $113 for 1 year and $353 for 3 years, though no portfolio turnover data is available as the Fund is new. While options strategies aim for regular premiums to support distributions, they may limit upside or increase downside risk, and distributions could include return of capital reducing NAV.
- ·Statutory prospectus and SAI dated February 4, 2026
- ·Adviser pays most expenses except advisory fees, interest, taxes, brokerage, etc.
- ·Options maturities typically 1-30 days; may use futures for synthetic exposure
- ·Fund may invest up to 25% in Cayman Subsidiary for non-qualifying income investments
- ·Under normal circumstances, at least 80% of assets plus borrowings in specified defense/rare earth related investments
- ·Portfolio turnover not available as Fund is newly organized
02-03-2026
02-03-2026
Global X Funds filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectuses and statements of additional information in Post-Effective Amendment No. 862 to its Form N-1A (filed February 26, 2026, effective March 1, 2026) match the annual update materials. No material differences were noted, ensuring regulatory compliance for the Trust's series. The filing includes file numbers 333-151713 and 811-22209, with accession number 0001432353-26-000085.
- ·Amendment accession number: 0001432353-26-000085
- ·Contact phone: (646) 716-3239
02-03-2026
Hennessy Small Cap Financial Fund filed a Summary Prospectus on March 2, 2026, disclosing total annual operating expenses of 1.65% for Investor Class (HSFNX) shares and 1.33% for Institutional Class (HISFX) shares, with a portfolio turnover rate of 35%. As of December 31, 2025, Investor shares delivered 1-year returns of 12.78% (outperforming Russell 2000 Financials at 7.85% but trailing Russell 2000 at 12.81%), 5-year returns of 10.64% (beating both benchmarks), but 10-year returns of 8.61% (underperforming Russell 2000 Financials at 8.85% and Russell 2000 at 9.62%). The fund targets small-cap financial services companies (market cap < $3B) but highlights risks like industry concentration and small-cap volatility.
- ·Fund invests at least 80% of net assets in small-cap financial services companies (market cap < $3B at purchase).
- ·No more than 5% of total assets in equity-related securities of any one company deriving >15% revenues from brokerage/investment management.
- ·Expense example for $10,000 Investor shares: 1Y $168, 3Y $520, 5Y $897, 10Y $1,955; Institutional: 1Y $135, 3Y $421, 5Y $729, 10Y $1,601.
- ·No minimum subsequent investment; $100 minimum for additional investments in corporate-sponsored retirement plans.
03-03-2026
Byrna Technologies Inc. announced the retirement of CEO and Director Bryan Ganz, effective immediately, with Conn Davis appointed as successor CEO and new Director following an extensive search; Ganz will advise for up to six months to ensure a smooth transition. TJ Kennedy was elected Board Chair, succeeding Herbert Hughes who remains a Director. The announcement highlights Ganz's transformational leadership since 2019, growing revenues from $0.25M annually to a record $118M last year at an 84% CAGR, with 775,000 launchers sold worldwide and expansion to over 1,500 dealers.
- ·Bryan Ganz joined Board in 2016, became CEO in 2019; led uplisting to Nasdaq and Russell 2000 inclusion.
- ·TJ Kennedy previously CEO of Wrap Technologies (non-lethal devices) and President of FirstNet.
- ·Conn Davis previously EVP Strategy and Corporate Development at MasterBrand, Inc.
- ·Company plans to release preliminary fiscal Q1 2026 results consistent with normal cadence.
- ·Forbes named Byrna the 10th Most Successful Small Cap company in America last year.
03-03-2026
Aptera Motors Corp (SEV) announced on March 3, 2026, via press release that it has completed the first vehicle off its validation assembly line, marking a key production milestone. The disclosure was made under Regulation FD as Item 7.01 of the 8-K filing, with the press release attached as Exhibit 99.1.
03-03-2026
PMGC Holdings Inc. (ELAB) consummated Secured Pre-Paid Purchase #4 on February 6, 2026, under its existing equity purchase facility, with an original principal of $8.1M and purchase price of $7.5M, funded via allocations including $6.3M to a new subsidiary's controlled deposit account, $0.65M to placement agent Univest Securities LLC, $5K in legal fees, and $0.5M to the Company. The Investor can require issuance of Purchase Shares at 88% of the lowest VWAP over the prior 10 trading days (or cash if below $0.32), subject to a 9.99% ownership cap, with Company prepayment option at 120% and default penalties including 15% increase and 18% interest. A portion of Purchase Shares worth $1.2M was registered via prospectus supplement filed February 17, 2026.
- ·Deposit Account Control Agreement (DACA) grants Investor first-position security interest and control over funds upon instruction.
- ·Events of Default include failure to pay, insolvency, bankruptcy, judgments over $1M, and breaches of covenants.
- ·Equity facility originated from Securities Purchase Agreement dated September 23, 2025 (disclosed in 8-K filed September 29, 2025).
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 695 on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 186, related to the 3x GLD ETF, until March 9, 2026. Parts A, B, and C of the October 21, 2025 filing are incorporated by reference. No financial metrics or performance data are disclosed in this administrative filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Post-Effective Amendment No. 186 filed October 21, 2025
- ·New effective date: March 9, 2026
02-03-2026
BlackRock ETF Trust II submitted a Rule 497(j) certification on March 2, 2026, attesting that the prospectus and Statement of Additional Information for Post-Effective Amendment No. 79 to its Form N-1A registration statement (filed February 25, 2026) contain no differences from the electronically filed version. The filing relates to the iShares High Yield Active ETF. It was signed by Janey Ahn, Secretary of the Fund.
- ·Securities Act File No. 333-236575
- ·Investment Company Act File No. 811-23511
- ·Post-Effective Amendment No. 79
02-03-2026
Pacer Funds Trust filed a Rule 497(j) certification on March 2, 2026, stating that the Prospectuses and Statements of Additional Information for its listed ETF series would not differ from those in Post-Effective Amendment No. 149 to its Form N-1A registration statement, filed February 27, 2026. The filing covers 27 ETF series administered by U.S. Bank Global Fund Services. No material changes to disclosure documents were indicated.
- ·File Nos.: 333-201530 and 811-23024
- ·Contact: alyssa.bernard@usbank.com or (414) 516-1681
02-03-2026
Cohen & Steers Preferred Securities and Income SMA Shares, Inc. submitted a Rule 497(j) certification on March 2, 2026, confirming that its Prospectus and Statement of Additional Information dated March 1, 2026, do not differ from those in Post-Effective Amendment No. 9 filed on February 26, 2026 (Accession No. 0001193125-26-076021). The certification was signed by Dana A. DeVivo, Secretary and Chief Legal Officer. No financial metrics, changes, or performance data were reported.
- ·File Nos. 333-228552; 811-23393
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Fidelity Trend Fund filed a Form 497J certification on March 2, 2026, pursuant to Rule 497(j) under the Securities Act of 1933, confirming that its Prospectus(es) and Statement(s) of Additional Information do not differ from those in the most recent post-effective amendment (File Nos. 002-15063 and 811-00790). The filing was signed by Nicole Macarchuk, Secretary of the Trust. No material changes or financial data were reported.
- ·SEC File Numbers: 002-15063 and 811-00790
- ·Business Address: 245 Summer Street, Boston, MA 02210
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Columbia ETF Trust I filed a Rule 497(j) certification letter confirming that the prospectuses and Statement of Additional Information for eight Columbia ETFs do not differ from those in Post-Effective Amendment No. 49, filed electronically on February 26, 2026. The certification is addressed to SEC's Mark Cowan and signed by Joseph D'Alessandro, Vice President and Assistant Secretary. No financial data or material changes are disclosed.
- ·Post-Effective Amendment No. 49 File No. 333-209996 /811-22736
- ·Filed electronically on February 26, 2026
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BlackRock Funds III submitted a Rule 497(j) certification on March 02, 2026, confirming that the prospectuses and Statement of Additional Information for BlackRock Diversified Fixed Income Fund match those in Post-Effective Amendment No. 404 to Form N-1A (File Nos. 33-54126 and 811-07332), filed electronically on February 25, 2026. The filing indicates no material changes to the disclosure documents. No financial performance data or comparisons were provided.
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Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Sustainable ETF (STNC) on March 2, 2026, outlining its objective of long-term capital appreciation through active management investing at least 80% of net assets in sustainable U.S. equity securities screened via sustainability KPIs and machine learning. Total annual fund operating expenses are 0.95%, reduced to 0.85% after contractual expense reimbursement until February 28, 2027, with a high portfolio turnover rate of 275% in the most recent fiscal year indicating elevated transaction costs. Principal risks include ETF structural risks such as cash transaction costs, premiums/discounts to NAV, and sustainability investing risks that may limit opportunities and lead to underperformance versus non-sustainable funds.
- ·Management Fees: 0.95%; Distribution and Service (12b-1) Fees: 0.00%; Other Expenses: 0.00%
- ·Excludes companies primarily engaged in weapons, tobacco, or fossil fuel extraction
- ·Quarterly rebalancing; sector weights capped at up to twice S&P 500 Index weight
- ·Primary external data source: Corporate Knights Research
02-03-2026
Crescent Private Credit Income Corp. filed a Rule 17g-1 notice with the SEC regarding its fidelity bond coverage underwritten by Continental Insurance Company, effective February 20, 2026 through February 20, 2027. The bond provides a $900,000 limit per loss for most insuring clauses including employee coverage (with $0 deductible for the investment company), premises, transit, forgery, and others, while uncollectible items coverage is limited to $100,000 and audit expense to $50,000. The board of directors, including a majority of non-interested directors, approved the bond's amount, type, form, and coverage.
- ·Bond Number: 8037736856, issued February 19, 2026.
- ·Policy period: From 12:01 a.m. on 02/20/2026 to 12:01 a.m. on 02/20/2027.
- ·Company File No.: 814-01599.
- ·Endorsements include Email Notice, Economic and Trade Sanctions, Cryptocurrency Exclusion, and others.
- ·Claims notice to CNA – Claims Reporting, P.O. Box 8317, Chicago, IL 60680-8317.
02-03-2026
Hennessy Technology Fund (HTECX/HTCIX) issued a summary prospectus dated March 2, 2026, reporting average annual returns as of December 31, 2025, of 15.38% (1-year), 9.00% (5-year), and 13.11% (10-year) for Investor shares before taxes, underperforming the Nasdaq Composite Index (21.14%, 13.35%, 17.66%) and S&P 500 (17.88%, 14.42%, 14.82%). Total annual operating expenses after reimbursements are 1.24% for Investor Class and 0.99% for Institutional Class, supported by contractual caps until February 28, 2027, and voluntary waivers until July 31, 2028 or $125M net assets. Portfolio turnover was 99% in the most recent fiscal year, indicating higher transaction costs.
- ·Contractual expense reimbursement ensures total operating expenses do not exceed 0.98% until February 28, 2027.
- ·Certain service provider expenses voluntarily waived through July 31, 2028, or when Fund net assets exceed $125M.
- ·Fund invests at least 80% of net assets in technology sector securities, rebalanced quarterly from ~60 stocks with market caps >$175M.
- ·Institutional Class minimum initial investment $250K; no subsequent minimums.
02-03-2026
Hennessy Japan Small Cap Fund issued a summary prospectus dated March 2, 2026, reporting strong 1-year returns of 28.89% (Investor shares) and 29.42% (Institutional shares) as of December 31, 2025, outperforming the TOPIX index (25.79%) but slightly trailing the Russell/Nomura Small Cap Index (29.53%); however, 5-year returns of 5.29% (Investor) and 5.71% (Institutional) underperformed both benchmarks, while 10-year returns of 9.60% and 10.01% beat the Russell index (7.07%) but exceeded TOPIX modestly. Total annual operating expenses stand at 1.50% for Investor shares and 1.11% for Institutional shares, with portfolio turnover at 45% in the most recent fiscal year. The fund targets small-cap Japanese companies with market caps below approximately $4.6B.
- ·Example investment costs assuming $10,000 initial investment and 5% annual return: Investor Class $153 (1Y), $474 (3Y), $818 (5Y), $1,791 (10Y); Institutional Class $113 (1Y), $353 (3Y), $612 (5Y), $1,352 (10Y).
- ·Fund invests at least 80% of net assets in equity securities of smaller Japanese companies (market caps in bottom 20% of publicly traded Japanese companies).
- ·Fiscal year end: June 30.
02-03-2026
The Hennessy Japan Fund released its Summary Prospectus dated March 2, 2026, detailing total annual operating expenses of 1.41% for Investor shares (HJPNX) and 1.05% for Institutional shares (HJPIX), with a portfolio turnover rate of 16% in the most recent fiscal year. Performance as of December 31, 2025, showed Investor shares returning 14.50% over one year but only 2.34% over five years, underperforming benchmarks like the Russell/Nomura Total Market Index (27.51% 1Y, 7.23% 5Y). The fund maintains a concentrated strategy focused on Japanese equities with an average market cap of $62.40B as of January 31, 2026.
- ·Management Fees: 0.80% for both share classes
- ·Distribution and Service (12b-1) Fees: 0.15% (Investor), None (Institutional)
- ·10-Year Average Annual Returns (Investor: 8.60%; Institutional: 9.03%) slightly outperformed or matched benchmarks (Russell/Nomura: 8.12%; TOPIX: 7.92%)
- ·Fund invests at least 80% of net assets in equity securities of Japanese companies
- ·Currently substantially invested in Financials and Industrials sectors
02-03-2026
Freenome Holdings, Inc. shared a Q1 2026 update via email from Riley Ennis, highlighting achievement of a key milestone by processing patient samples through its Early Access Program (EAP) launch and remaining on track for 2026 goals including CRC v1 approval mid-year and de-SPAC with Perceptive Capital Solutions Corp (PCSC) in H1 after raising a $240M PIPE. FDA PMA review for the CRC v1 test progresses toward mid-year approval in partnership with Exact Sciences/Abbott, with ASCO presentation showing improved ~85% CRC sensitivity (~75% Stage I) and ~22% AA/APL sensitivity at ~90% specificity, outperforming v1. Commercial testing in EAP is underway, supporting Lung and P-MCD launches in 2H26, with NVIDIA collaboration for GPU infrastructure.
- ·Canceling upcoming quarterly investor call during quiet period, to be replaced by earnings calls.
- ·NVIDIA initiative to support expansion of GPU infrastructure.
- ·PCSC to file Form S-4 registration statement including proxy statements for shareholder vote on business combination.
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Large Cap Financial Fund on March 2, 2026, outlining annual operating expenses of 1.88% for Investor Class (HLFNX) and 1.55% for Institutional Class (HILFX), with a portfolio turnover rate of 48%. As of December 31, 2025, the Fund delivered strong 1-year returns of 22.00% (Investor) and 22.41% (Institutional), outperforming both the Russell 1000 Index Financials (18.65%) and Russell 1000 Index (17.37%); however, 5-year returns of 7.90% and 8.26% significantly underperformed the sector benchmark's 16.79%, and 10-year returns of 10.36% and 10.75% lagged its 15.03%. The Fund focuses on large-cap financial services companies, with principal risks including industry concentration and non-diversification.
- ·Fund invests at least 80% of net assets in large-cap financial services companies (market cap $3B+ at purchase).
- ·Will not invest more than 5% of total assets in equity-related securities of any one company deriving >15% revenues from brokerage/investment management.
- ·Expense example: Investor Class 1-year cost $191 on $10,000 investment; 10-year $2,201. Institutional: 1-year $158; 10-year $1,845.
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Gas Utility Fund (GASFX Investor Class, HGASX Institutional Class) dated March 2, 2026, seeking income and capital appreciation by tracking the AGA Stock Index with at least 85% of assets in natural gas distribution and transmission companies. Total annual operating expenses are 0.97% for Investor shares and 0.67% for Institutional shares, with portfolio turnover of 26% in the most recent fiscal year. As of December 31, 2025, the Fund showed positive average annual returns of 10.40%-10.70% (1-year), 11.90%-12.24% (5-year), and 9.13%-9.43% (10-year) before taxes, but underperformed the AGA Stock Index (11.24%, 12.65%, 10.18%) and significantly trailed the S&P 500 Index (17.88%, 14.42%, 14.82%).
- ·Investor Class after-tax returns as of Dec 31, 2025: 7.55% (distributions), 8.22% (distributions and sale) for 1-year.
- ·Institutional Class inception: March 1, 2017.
- ·Fund invests via common stocks and ADRs of natural gas companies listed on U.S. exchanges.
02-03-2026
Selling stockholders, including KKR Phoenix Aggregator L.P. and certain management members, are offering 20,000,000 shares of BrightSpring Health Services, Inc. common stock, with the company receiving no proceeds except from potential option exercises. Concurrently, the company intends to repurchase shares worth up to the lesser of $60 million or 10% of the offering size from the underwriter at the offering price, signaling confidence despite insider selling. The stock closed at $41.43 per share on February 27, 2026.
- ·Preliminary prospectus supplement filed pursuant to Rule 424(b)(7), Registration No. 333-287916.
- ·Community Living business presented as discontinued operations following January 17, 2025 purchase agreement; recast financials in 10-K filed February 27, 2026.
- ·Underwriter: Goldman Sachs & Co. LLC; expected delivery on or about March 2026.
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Energy Transition Fund (Investor Class HNRGX, Institutional Class HNRIX) dated March 2, 2026, outlining net annual operating expenses of 2.53% for Investor shares and 2.20% for Institutional shares after voluntary waivers through July 31, 2028 or until net assets exceed $125M. The fund's portfolio turnover rate was 33% in the most recent fiscal year, with investments primarily in U.S.-listed energy sector companies (at least 80% of net assets) and up to 25% in energy-related MLPs. Principal risks include energy sector concentration, MLP-specific risks, and potential tax law changes, with no performance data showing growth or declines in the excerpt.
- ·Expense waiver: Certain service provider expenses voluntarily waived by (0.17)% through July 31, 2028.
- ·Hypothetical expense examples for $10,000 investment (assuming 5% annual return): Investor Class - 1 Year $256, 3 Years $805, 5 Years $1,399, 10 Years $3,006; Institutional Class - 1 Year $223, 3 Years $706, 5 Years $1,234, 10 Years $2,679.
- ·Fund is successor to BP Capital TwinLine Energy Fund via reorganization on October 26, 2018.
02-03-2026
Hennessy Midstream Fund (HMSFX Investor Class, HMSIX Institutional Class) filed a Summary Prospectus on March 2, 2026, disclosing total annual operating expenses of 1.92% for Investor shares (1.76% after reimbursements) and 1.53% for Institutional shares (1.45% after), with contractual caps at 1.75% and 1.50% until February 28, 2027. The fund invests at least 80% of assets in midstream energy infrastructure companies (primarily MLPs and stocks), maintains low portfolio turnover of 6% in the most recent fiscal year, but concentrates 90% of assets in its top 10 holdings as of January 31, 2026, and carries risks from energy sector volatility, non-diversification, and C-corp tax structure at 21%. Expense waivers apply until July 31, 2028, or when net assets exceed $125M.
- ·Management Fees: 1.10% for both share classes
- ·Distribution and Service (12b-1) Fees: 0.15% Investor Class (none for Institutional)
- ·Hypothetical $10,000 investment costs: Investor Class 1-year $179, 3-year $577, 5-year $1,012, 10-year $2,222; Institutional Class 1-year $148, 3-year $467, 5-year $819, 10-year $1,810 (assuming 5% annual return)
- ·Fund is non-diversified and structured as a C corporation subject to corporate taxes
02-03-2026
First Trust Exchange-Traded Fund IV filed a Summary Prospectus for the First Trust Intermediate Government Opportunities ETF (MGOV) on March 2, 2026, seeking to maximize long-term total return by investing at least 80% of net assets in U.S. Government Securities with a weighted average duration of 3-8 years. Total annual fund operating expenses are 0.50%, including 0.49% management fees, with a portfolio turnover rate of 230% in the most recent fiscal year. The fund may allocate up to 20% to other debt securities and up to 20% to below investment grade securities, while employing derivatives and short sales up to 30% of assets.
- ·Fund classified as non-diversified under the 1940 Act.
- ·Investments include TBA Transactions and mortgage dollar rolls counting toward 80% requirement.
- ·Duration calculated using third-party models accounting for prepayment variability.
02-03-2026
NRG Energy, Inc. entered into a Stock Purchase Agreement with selling stockholders to repurchase $300M of its common stock in a privately negotiated transaction at the public offering price, concurrent with the selling stockholders' secondary offering of shares via this prospectus supplement; NRG will hold repurchased shares as treasury stock and receives no proceeds from the offering. The repurchase is conditioned on the offering's completion, but not vice versa. On February 27, 2026, NRG common stock closed at $178.96 per share on NYSE.
- ·Common stock trades on NYSE and NYSE Texas under ticker 'NRG'.
- ·Selling stockholders granted underwriters a 30-day option to purchase additional shares.
- ·Prospectus supplement dated March 2, 2026; expected delivery of shares on or about [blank date], 2026.
- ·NRG previously acquired natural gas generation and other assets (LS Portfolio) from the selling stockholders.
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Hennessy Equity and Income Fund filed a Summary Prospectus on March 2, 2026, detailing total annual operating expenses of 1.63% for Investor Class (HEIFX) and 1.26% for Institutional Class (HEIIX), with a portfolio turnover rate of 27%. Average annual returns before taxes as of December 31, 2025, were 6.73% (1Y), 5.49% (5Y), and 6.60% (10Y) for Investor shares and slightly higher at 7.24% (1Y), 5.88% (5Y), and 7.01% (10Y) for Institutional shares, but significantly underperformed the S&P 500 Index returns of 17.88% (1Y), 14.42% (5Y), and 14.82% (10Y). The fund emphasizes downside protection with up to 70% in equities and the rest in fixed income, including a noted concentration in the Financials sector.
- ·Fixed income allocation had dollar-weighted average effective maturity of 4.42 years as of January 31, 2026.
- ·Fund currently substantially invested in Financials sector, increasing industry concentration risk.
- ·May invest up to 10% in high-yield bonds and up to 70% in equity securities.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 723 on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 231 (filed November 21, 2025) as it relates to the 5x XLF ETF until March 9, 2026. Parts A, B, and C of the prior amendment are incorporated by reference. The filing was signed by Justin Young (Trustee, President, and CEO) and other officers/trustees including Chang Kim.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 721 to its registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 230 related to the 5x TLT ETF until March 9, 2026; the prior amendment was filed on November 21, 2025. No financial metrics or performance data are disclosed in this filing. The amendment incorporates Parts A, B, and C of the prior filing by reference.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Post-Effective Amendment No. 230 filed November 21, 2025
- ·New effective date: March 9, 2026 pursuant to Rule 485(b)
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Balanced Fund (Investor Class HBFBX) on March 2, 2026, detailing total annual operating expenses of 1.88%, including 0.60% management fees and 1.13% other expenses, with a portfolio turnover rate of 39%. As of December 31, 2025, the fund's average annual returns were 9.89% (1-year), 4.96% (5-year), and 4.84% (10-year) before taxes, underperforming the DJIA benchmark (14.92%, 11.58%, 13.11%) while trailing the 50/50 Blended DJIA/Treasury Index over longer periods (7.27% 5-year, 7.77% 10-year) but closely matching its 1-year return of 9.67%. The fund adheres to a fixed strategy of 50% in the 10 highest dividend-yielding DJIA stocks and 50% in short-term U.S. Treasuries, exposing it to formula investing and non-diversification risks.
- ·Expense example for $10,000 investment: $191 (1 year), $591 (3 years), $1,016 (5 years), $2,201 (10 years).
- ·After-tax returns lower than pre-tax: 1-year 6.15%, 5-year 3.74%, 10-year 3.66%.
- ·Non-diversified fund with principal risks including formula investing, market/equity, and tax law changes.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 722 on March 2, 2026, solely to delay the effectiveness of its Post-Effective Amendment No. 176 related to the 5x TSLA ETF until March 9, 2026. The filing incorporates Parts A, B, and C of the prior amendment filed on October 14, 2025, by reference and designates a new effective date under Rule 485(b). No financial data or performance metrics are disclosed in this procedural update.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
- ·Legal Counsel: Chapman and Cutler LLP, 320 South Canal Street, Chicago, Illinois 60606
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 719 to its Form N-1A registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 192 related to the 5x SOXQ ETF until March 9, 2026. The prior amendment was filed on October 21, 2025, with Parts A, B, and C incorporated by reference. No financial data or performance metrics are disclosed in this procedural filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 720 under the Securities Act of 1933 and Investment Company Act of 1940 solely to delay the effectiveness of its prior Post-Effective Amendment No. 183, related to the 5x SPY ETF, from its original date until March 9, 2026. The referenced amendment No. 183 was filed on October 16, 2025, and its Parts A, B, and C are incorporated by reference. This procedural filing has no disclosed financial metrics, performance data, or material changes.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
- ·Telephone: (866) 261-0273
02-03-2026
BlackRock ETF Trust's iShares Government Money Market ETF is issuing a prospectus supplement to remove repurchase agreements from its principal investment strategies, following Board of Trustees approval on February 19, 2026, with changes effective on or about April 28, 2026. The updated strategy requires at least 99.5% of assets in cash and U.S. Government obligations maturing in 397 days or less, with dollar-weighted average maturity of 60 days or less and average life of 120 days or less; it also mandates at least 80% of net assets in such U.S. Treasury securities under normal circumstances.
- ·Supplement dated February 27, 2026; filing date March 02, 2026
- ·Fund provides 60 days’ prior notice of changes to 80% policy
- ·Interest income generally not subject to state income tax under current federal law
- ·Portfolio may include variable/floating rate instruments and when-issued/forward commitments
02-03-2026
The Hennessy Total Return Fund (HDOGX) updated its summary prospectus on March 2, 2026, disclosing total annual operating expenses of 3.25%, driven by high interest expense of 1.98%, and a portfolio turnover rate of 35%. Performance as of December 31, 2025, showed strong 1-year return before taxes of 14.29% outperforming its 75/25 Blended DJIA/Treasury Index (12.25%) but underperforming the DJIA (14.92%), while 5-year (7.57%) and 10-year (6.84%) returns lagged both benchmarks (9.64%/10.52% and 11.58%/13.11%, respectively). The fund employs a Dogs of the Dow strategy with leverage via reverse repurchase agreements, introducing borrowing and non-diversification risks.
- ·Asset allocation targets approximately 75% Dogs of the Dow stocks and 25% short-term U.S. Treasury securities via borrowing and reverse repurchase agreements.
- ·Fund is non-diversified and holds roughly equal amounts of 10 highest dividend-yielding DJIA stocks.
- ·Minimum initial investment: $2,500 for regular accounts, $250 for IRAs; no subsequent minimums.
- ·After-tax returns (1Y/5Y/10Y): 13.68%/6.47%/5.49% on distributions; 8.86%/5.79%/5.22% on distributions and sale.
02-03-2026
Hennessy Cornerstone Value Fund released its Summary Prospectus dated March 2, 2026, detailing the Cornerstone Value Strategy of equally weighting 50 high-dividend yield large-cap stocks, with total annual operating expenses of 1.21% for Investor shares (HFCVX) and 0.99% for Institutional shares (HICVX), and a low portfolio turnover rate of 27%. As of December 31, 2025, the fund delivered strong 1-year returns of 18.27% (Investor) and 18.60% (Institutional), outperforming the Russell 1000 Value Index (15.91%) but underperforming the S&P 500 Index over 5 years (13.59% vs. 14.42%) and 10 years (10.48% vs. 14.82%), amid risks like formula investing and value style underperformance.
- ·Minimum initial investment: $2,500 for Investor Class regular accounts, $250 for IRAs, $250,000 for Institutional Class.
- ·Portfolio rebalanced annually in winter using S&P Capital IQ Database.
- ·As of January 31, 2026, holdings meet criteria including above-average market cap, shares outstanding, 12-month sales 50% greater than average, and above-average cash flow.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 718 to its registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 191 relating to the 5x SLV ETF until March 9, 2026. The prior amendment was filed on October 21, 2025, with Parts A, B, and C incorporated by reference. No financial data or performance metrics are disclosed in this administrative filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Post-Effective Amendment No. 191 filed October 21, 2025
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 716 to its registration statement, solely to delay the effectiveness of Post-Effective Amendment No. 174 related to the 5x NVDA ETF until March 9, 2026; the prior amendment was filed on October 14, 2025. No financial performance data, metrics, or period-over-period comparisons are provided in this filing. This administrative update incorporates prior Parts A, B, and C by reference without new substantive content.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Hennessy Cornerstone Large Growth Fund issued a summary prospectus dated March 2, 2026, detailing total annual operating expenses of 1.29% for Investor Class (HFLGX) and 1.00% for Institutional Class (HILGX), with a portfolio turnover rate of 46% in the most recent fiscal year. Performance as of December 31, 2025, shows Investor Class 1-year return of 7.41% and 10-year return of 10.11%, significantly underperforming Russell 1000 Index (17.37% 1Y, 14.59% 10Y) and S&P 500 Index (17.88% 1Y, 14.82% 10Y), though Institutional Class slightly outperformed Investor shares. The fund employs the Cornerstone Large Growth Formula, selecting and equally weighting 50 large growth stocks rebalanced annually.
- ·Example costs for $10,000 investment (Investor Class): 1Y $131, 3Y $409, 5Y $708, 10Y $1,556
- ·Example costs for $10,000 investment (Institutional Class): 1Y $102, 3Y $318, 5Y $552, 10Y $1,225
- ·Fiscal year end: June 30
- ·After-tax returns for Investor Shares (1Y/5Y/10Y): 5.95%/7.54%/8.12% on distributions; 5.45%/7.46%/7.86% on distributions and sale
02-03-2026
Roundhill ETF Trust filed a 497K summary prospectus for the Roundhill Space & Technology ETF (MARS) on March 2, 2026, seeking capital appreciation through active management investing at least 80% of net assets in equity securities of Space and Technology Companies with minimum $500M market cap and $1M average daily trading volume. Total Annual Fund Operating Expenses are 0.75%, with hypothetical costs of $77 in Year 1 and $240 in Year 3 on a $10,000 investment assuming 5% return. The Fund has not commenced operations, so portfolio turnover data is unavailable, and it discloses various risks including market, sector concentration, and space/technology-specific risks without performance metrics.
- ·Prospectus and SAI dated January 9, 2026, incorporated by reference.
- ·Adviser uses proprietary methodology prioritizing 'thematic relevance' based on public disclosures; rebalances quarterly.
- ·Concentrates more than 25% of assets in industrials, information technology, communication services, materials, and utilities sectors collectively.
- ·Invests in U.S. and non-U.S. companies via depositary receipts/ADRs; classified as non-diversified.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 717 to its Registration Statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 182 related to the 5x QQQ ETF until March 9, 2026; the prior amendment was filed on October 16, 2025. No financial data, performance metrics, or other changes are disclosed in this procedural filing. Parts A, B, and C from the prior amendment are incorporated by reference.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Post-Effective Amendment No. 182 filed October 16, 2025
- ·Agent for Service: Corporation Service Company, Wilmington, DE
- ·Legal Counsel: Morrison C. Warren, Chapman and Cutler LLP, Chicago, IL
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 714 to its registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 210 related to the 5x META ETF until March 9, 2026; the prior amendment was filed on October 24, 2025. Parts A, B, and C of the prior amendment for the Fund are incorporated by reference. The filing was signed by Justin Young (President, CEO, Trustee) and other officers, with no other material changes or financial data disclosed.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal office: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
JPMorgan Private Markets Fund (JPMF), JPMorgan Credit Markets Fund (JCMF), J.P. Morgan Investment Management Inc. (JPMIM), and numerous affiliated private equity and credit funds filed Amendment No. 1 to their application (File No. 812-15950) seeking an SEC order under Sections 17(d) and 57(i) of the 1940 Act and Rule 17d-1 to permit certain prohibited joint co-investment transactions, superseding a prior order issued June 6, 2023. The requested relief would enable regulated funds and affiliated entities to co-invest in private equity, credit, and related assets subject to specified conditions, including board approvals and no-action position compliance. No financial metrics, performance data, or period comparisons are disclosed in the filing.
- ·Filing Date: March 02, 2026
- ·Prior Order: Issued June 6, 2023 (Release No. IC-34939; File No. 812-15396)
- ·JPMF and JCMF each have four-member boards with three independent members
- ·JPMIM incorporated February 7, 1984
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 713 to its Form N-1A registration statement on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 190, as it relates to the 5x MAGS ETF, until March 9, 2026. The prior amendment, filed on October 21, 2025, is incorporated by reference with no additional changes to Parts A, B, or C. This filing designates a new effective date under Rule 485(b) and includes signatures from key officers and trustees.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 715 to delay the effectiveness of its Post-Effective Amendment No. 212, specifically for the 5x MSFT ETF, from its prior filing date of October 24, 2025, to March 9, 2026. This is a procedural update with no financial metrics reported. The amendment was signed by Justin Young (President, CEO, Trustee) and other officers on March 2, 2026.
- ·Registrant telephone: (866) 261-0273
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 710 to its registration statement solely to delay the effectiveness of Post-Effective Amendment No. 189 relating to its 5x GLD ETF until March 9, 2026; the prior amendment was filed on October 21, 2025. The filing designates a new effective date under Rule 485(b) and incorporates Parts A, B, and C of the prior amendment by reference. No financial metrics or performance data are disclosed.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 712 on March 2, 2026, solely to delay the effectiveness of its Post-Effective Amendment No. 181, related to the launch of the 5x IWM ETF series, until March 9, 2026. The amendment incorporates Parts A, B, and C of the prior filing dated October 16, 2025, by reference and designates a new effective date under Rule 485(b). No financial metrics or performance data are disclosed in this procedural filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal office: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for service: Corporation Service Company, 251 Little Falls Drive, Wilmington, DE 19808
- ·Legal counsel: Chapman and Cutler LLP, 320 South Canal Street, Chicago, IL 60606
02-03-2026
Hennessy Focus Fund (Investor Class HFCSX, Institutional HFCIX) issued a Summary Prospectus dated March 2, 2026, detailing its capital appreciation objective, concentrated strategy in ~25 high-conviction stocks (top 10 holdings ~60-80% of assets, 72% as of Jan 31, 2026), and low portfolio turnover of 1%. For periods ended Dec 31, 2025, the fund delivered strong 1-year returns of 26.73% (Investor) and 27.22% (Institutional), outperforming the Russell Midcap Growth Index (8.66%), but underperformed the Russell 3000 Index over 5 years (11.65% vs 13.15%) and 10 years (10.94% vs 14.29%). Annual operating expenses are 1.48% for Investor shares and 1.10% for Institutional shares.
- ·Fund is non-diversified with concentration risks; currently heavily invested in Communication Services and Financials sectors.
- ·Principal risks include small/mid-cap exposure, foreign securities, REITs, and tax law changes (e.g., Inflation Reduction Act, One Big Beautiful Bill Act).
- ·Hypothetical costs on $10,000 investment: Investor Class $151 (1yr), $468 (3yr); Institutional $112 (1yr), $350 (3yr).
02-03-2026
Hennessy Funds Trust filed a Summary Prospectus for the Hennessy Cornerstone Growth Fund on March 2, 2026, detailing annual operating expenses of 1.32% for Investor Class (HFCGX) and 1.00% for Institutional Class (HICGX), with a portfolio turnover rate of 99%. As of December 31, 2025, the Fund's Investor shares delivered 1-year return of 4.78% (underperforming Russell 2000 at 12.81% and S&P 500 at 17.88%), 5-year return of 15.11% (outperforming Russell 2000's 6.09% but slightly beating S&P 500's 14.42%), and 10-year return of 11.08% (ahead of Russell 2000's 9.62% but trailing S&P 500's 14.82%). The Fund follows the Cornerstone Growth Strategy, selecting 50 equally weighted stocks with average market cap of $33.8B as of January 31, 2026.
- ·Minimum initial investment: $2,500 for Investor Class regular accounts, $250 for IRAs, $250,000 for Institutional Class (no minimum for corporate-sponsored retirement plans).
- ·Fund rebalances portfolio annually in winter, investing 2% equally in each of 50 selected stocks.
- ·Currently substantially invested in Financials sector.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 711 to its Registration Statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 172 relating to the 5x GOOGL ETF until March 9, 2026; the prior amendment was filed on October 14, 2025. No financial data or performance metrics are disclosed in this administrative filing. The amendment incorporates Parts A, B, and C of the prior filing by reference.
- ·Registrant’s principal executive offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808
- ·Registrant’s telephone: (866) 261-0273
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 706 on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 194, which pertains to the launch of the 5x AAPL ETF series, until March 9, 2026. The referenced amendment was originally filed on October 24, 2025, and Parts A, B, and C are incorporated by reference. This filing is procedural in nature with no financial metrics, performance data, or material changes reported.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Pearl Diver Credit Co Inc. (PDCC) discloses portfolio metrics as of January 31, 2026, with total net assets of $94M, NAV per share of $13.73, and closing price per share of $13.86 reflecting a 0.9% premium and 19.0% monthly dividend yield. The CLO-focused fund holds 1,386 unique obligors across 1,839 loans totaling $27.44B, with top 10 positions comprising 37.2% of NAV, top 10 managers 58.0%, and top 10 industries 41.5%; cash and short-term investments represent 4.4% of the fund. No period-over-period comparisons are provided.
- ·Top individual obligor exposures: TransDigm Inc. (0.6%), Quikrete Holdings, Inc. (0.5%), Asurion, LLC (0.5%).
- ·Top CLO manager exposures: Apollo (10.9%), Franklin Templeton (7.3%), LCM (6.6%).
- ·Top industry exposures: Software (8.1%), Health Care Providers & Services (5.1%), Hotels, Restaurants & Leisure (4.7%).
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 709 to its N-1A registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 188 related to the 5x GDX ETF until March 9, 2026. The filing incorporates Parts A, B, and C from the original October 21, 2025 amendment by reference. No financial data or performance metrics are disclosed in this procedural update.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Previous Post-Effective Amendment No. 188 filed October 21, 2025
- ·Registrant address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 708 to its registration statement (1933 Act No. 333-263619; 1940 Act No. 811-23785) solely to delay the effectiveness of Post-Effective Amendment No. 232 related to the 5x FAANG ETF until March 9, 2026, from its original filing on November 21, 2025. This procedural update incorporates Parts A, B, and C of the prior amendment by reference and has no disclosed financial metrics or performance data. Signed by key officers including Justin Young (President and CEO) and Chang Kim (Treasurer).
- ·Filing filed on March 2, 2026, in Palm Beach Gardens, Florida
- ·Agent for service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
- ·Registrant telephone: (866) 261-0273
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 707 to its registration statement on March 2, 2026, solely to designate a new effective date of March 9, 2026, for Post-Effective Amendment No. 169 related to the 5x AMZN ETF, which was originally filed on October 14, 2025. The filing incorporates Parts A, B, and C of the prior amendment by reference and includes signatures from key officers including Justin Young and Chang Kim. No financial metrics, performance data, or other material changes are disclosed.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant telephone: (866) 261-0273
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 701 on March 2, 2026, solely to delay the effectiveness of its Post-Effective Amendment No. 187 relating to the 3x SLV ETF until March 9, 2026. Parts A, B, and C of Amendment No. 187, filed October 21, 2025, are incorporated by reference. No financial performance data, metrics, or changes are disclosed in this administrative filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Telephone: (866) 261-0273
- ·Agent for Service: 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 705 to its Form N-1A registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 166, as it relates to the 3x XRP ETF, until March 9, 2026. Parts A, B, and C of the October 14, 2025 filing are incorporated by reference. No financial performance data, metrics, or period-over-period comparisons are included.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 702 under the Securities Act of 1933 and Investment Company Act of 1940 to delay the effectiveness of its Post-Effective Amendment No. 165, specifically for the 3x Solana ETF series, from its prior timeline until March 9, 2026. The filing incorporates Parts A, B, and C of the October 14, 2025 amendment by reference and designates a new effective date under Rule 485(b). No financial metrics or performance data are disclosed in this administrative update.
- ·1933 Act Registration No. 333-263619; 1940 Act Registration No. 811-23785
- ·Registrant’s Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808
- ·Previous Post-Effective Amendment No. 165 filed on October 14, 2025
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 704 to its Form N-1A Registration Statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 167, as it relates to the 3x VIX ETF, until March 9, 2026. The prior amendment was filed on October 14, 2025, and Parts A, B, and C thereof are incorporated by reference. This is a procedural filing with no financial performance data or material changes reported.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 703 on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 162, relating to the launch of the 3x TSLA ETF series, until March 9, 2026. Parts A, B, and C of the October 14, 2025 filing are incorporated by reference. The filing designates a new effective date under Rule 485(b).
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
- ·Registrant’s Telephone Number: (866) 261-0273
02-03-2026
Neuberger Berman launched the Neuberger Quality Select ETF, a new non-diversified fund seeking long-term capital growth by investing primarily in high-quality mid- to large-cap common stocks ($2B+ market cap for mid-cap, $10B+ for large-cap) using a fundamental research-driven Quality at a Reasonable Price (QARP) approach. Total annual operating expenses are 1.52% (management fee 0.55%, other expenses 0.97%), but contractually reduced to 0.48% after waivers/reimbursements until 8/31/2027 (then 0.55% through 8/31/2029), with expense examples showing $49 for 1 year and $169 for 3 years on a $10,000 investment assuming 5% return. As a new fund prior to commencing operations, no portfolio turnover rate is available, and it highlights various ETF-specific risks including premium/discount to NAV and authorized participant concentration.
- ·Fund is non-diversified and may invest in foreign stocks including ADRs and emerging markets.
- ·Manager can recoup waived expenses within 3 years if it does not exceed then-current caps.
- ·Portfolio turnover not available as fund has not commenced operations.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 698 to its N-1A registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 209 related to the 3x META ETF until March 9, 2026. The prior amendment, filed October 24, 2025, has its Parts A, B, and C incorporated by reference. No financial metrics or performance data are disclosed in this administrative filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 697 on March 2, 2026, solely to delay the effectiveness of its Post-Effective Amendment No. 185 related to the 3x MAGS ETF until March 9, 2026. The previous amendment was filed on October 21, 2025. No financial metrics or performance data are disclosed in this filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, DE 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 699 to its registration statement (1933 Act No. 333-263619; 1940 Act No. 811-23785) solely to delay the effectiveness of Post-Effective Amendment No. 211 related to the 3x MSFT ETF until March 9, 2026; the prior amendment was filed on October 24, 2025. No financial performance data, metrics, or material changes are disclosed in this procedural filing. The amendment incorporates Parts A, B, and C of the prior filing by reference.
- ·Post-Effective Amendment No. 211 filed October 24, 2025
- ·New effective date: March 9, 2026
- ·Registrant address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 700 to its registration statement solely to delay the effectiveness of Post-Effective Amendment No. 160, as it relates to the 3x NVDA ETF, until March 9, 2026. The referenced amendment No. 160 was filed on October 14, 2025, with Parts A, B, and C incorporated by reference. No financial performance data or material changes are disclosed in this filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Post-Effective Amendment No. 700 filed on March 2, 2026
- ·Post-Effective Amendment No. 160 filed on October 14, 2025
- ·New effective date: March 9, 2026
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 693 under the Securities Act of 1933 and Investment Company Act of 1940 solely to delay the effectiveness of its prior Post-Effective Amendment No. 164, as it relates to the 3x Ether ETF series, until March 9, 2026. The filing incorporates Parts A, B, and C of the October 14, 2025 amendment by reference and designates a new effective date under Rule 485(b). It was signed by Justin Young (Trustee, President, and CEO) and other officers on March 2, 2026.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 694 on March 2, 2026, solely to delay the effectiveness of its Post-Effective Amendment No. 184, related to the 3x GDX ETF, until March 9, 2026; the prior amendment was filed on October 21, 2025. Parts A, B, and C of the prior amendment are incorporated by reference. No financial data or performance metrics are disclosed in this filing.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Telephone: (866) 261-0273
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, New Castle County, Delaware 19808
02-03-2026
Cornerstone Strategic Investment Fund, Inc. (CLM, CIK 0000814083) filed a Form 40-17G on March 02, 2026, reporting an insider transaction under the 1940 Act. The filing also references Cornerstone Total Return Fund Inc (CIK 0000033934). No specific transaction details, amounts, or performance metrics are discernible from the provided filing content.
- ·Filing CIK for CLM: 0000814083; SEC File Number: 811-05150
- ·Business address: 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246
- ·Fiscal year end: December 31
- ·CLM former names: Cornerstone Strategic Value Fund Inc (2009), Clemente Strategic Value Fund Inc (1999)
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 696 solely to delay the effectiveness of its Post-Effective Amendment No. 158, related to the 3x GOOGL ETF, until March 9, 2026; the prior amendment was filed on October 14, 2025. No financial data, performance metrics, or other material changes are disclosed in this procedural filing. The amendment incorporates Parts A, B, and C of the prior filing by reference.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Principal Executive Offices: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Telephone: (866) 261-0273
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 691 to its registration statement (1933 Act No. 333-263619; 1940 Act No. 811-23785) solely to delay the effectiveness of Post-Effective Amendment No. 155 relating to the 3x AMZN ETF from its prior date until March 9, 2026. The original amendment for the Fund was filed on October 14, 2025, and Parts A, B, and C are incorporated by reference. No financial metrics or performance data are disclosed in this administrative filing.
- ·Registrant’s address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
- ·Telephone: (866) 261-0273
- ·This post-effective amendment designates a new effective date for previously filed Post-Effective Amendment No. 155
02-03-2026
Victory Portfolios filed a post-effective amendment (No. 207/208) to its registration statement on March 2, 2026, for the new Victory Trivalent Emerging Markets Small-Cap Fund Class Y shares, with an expected effective date of May 25, 2026. The fund seeks long-term capital growth by investing at least 80% of assets in small-cap companies economically tied to emerging markets, using a bottom-up approach targeting attractive valuations and profitability. Annual operating expenses are capped at 1.10% through at least October 31, 2027, with management fees at 0.99%; the fund has not yet commenced operations, so no performance or turnover data is available.
- ·Fund references MSCI Emerging Markets Small Cap Index for country and small-cap definitions (smallest 15% market cap per emerging market country).
- ·Emerging markets include Brazil, Chile, China, Colombia, Czech Republic, Egypt, Greece, Hungary, India, Indonesia, Kuwait, Malaysia, Mexico, Peru, Philippines, Poland, Qatar, Saudi Arabia, South Africa, South Korea, Taiwan, Thailand, Turkey, United Arab Emirates.
- ·Adviser may recoup waived fees/expenses for up to 3 years, subject to expense limits.
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 690 to its registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 193 related to the 3x AAPL ETF until March 9, 2026; the prior amendment was filed on October 24, 2025. No financial metrics or performance data are disclosed in this procedural filing. Signatures include Justin Young as Trustee, President, and CEO, and Chang Kim as Chief Compliance Officer and Treasurer.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware
- ·Legal Counsel: Morrison C. Warren, Esq., Chapman and Cutler LLP
02-03-2026
Volatility Shares Trust filed Post-Effective Amendment No. 692 on March 2, 2026, solely to delay the effectiveness of its prior Post-Effective Amendment No. 163, relating to the 3x Bitcoin ETF, until March 9, 2026. Parts A, B, and C of the October 14, 2025, filing for the Fund are incorporated by reference. The filing was signed by Justin Young (Trustee, President, and CEO) and other officers including Chang Kim.
- ·1933 Act Registration No. 333-263619
- ·1940 Act Registration No. 811-23785
- ·Registrant’s address: 2000 PGA Blvd Suite 4400, Palm Beach Gardens, Florida 33408
- ·Agent for Service: Corporation Service Company, 251 Little Falls Drive, Wilmington, Delaware 19808
02-03-2026
BlackRock ETF Trust filed a Summary Prospectus dated February 27, 2026, for the iShares Government Money Market ETF (GMMF), which invests at least 99.5% of assets in cash, U.S. government obligations, and repurchase agreements, with a total annual operating expense ratio of 0.20%. The fund maintains a dollar-weighted average maturity of 60 days or less and average life of 120 days or less, qualifying as a government money market fund under Rule 2a-7 but operating as an ETF without a stable NAV. Principal risks include interest rate risk, U.S. government obligations risk, and authorized participant concentration risk, with no performance data or period comparisons provided.
- ·Securities mature in 397 days or less.
- ·60 days’ prior notice required for changes to 80% policy.
- ·Fund does not seek stable NAV; uses market value valuation.
- ·Fiscal year end: July 31.
02-03-2026
Innovator ETFs® Trust filed Post-Effective Amendment No. 1803 to its Form N-1A registration statement solely to delay the effectiveness of Post-Effective Amendment No. 1694, related to the Innovator Growth-100 X% Uncapped Accelerated 30 Barrier ETF® – 5 Yr to 2030, until March 20, 2026. The filing incorporates Parts A, B, and C from the prior amendment by reference and was signed by key officers including President H. Bruce Bond. No financial metrics, performance data, or material changes are reported in this procedural update.
- ·Previous amendment (No. 1694) filed on November 21, 2025
- ·Registrant’s 1933 Act Registration No. 333-146827; 1940 Act Registration No. 811-22135
- ·Filing to become effective on March 20, 2026 pursuant to Rule 485(b)
02-03-2026
Manning & Napier Fund, Inc. filed a Summary Prospectus dated March 1, 2026, for its Disciplined Value Series (Classes S/MDFSX, I/MNDFX, W/MDVWX, Z/MDVZX), which seeks competitive equity returns with capital protection via investments in at least 80% dividend-paying mid-to-large cap U.S. stocks. As of December 31, 2025, Class I shares delivered 15.88% 1-year, 9.86% 5-year, and 10.77% 10-year returns before taxes, underperforming the MSCI USA Index (17.31%, 13.38%, 14.22%) but outperforming the MSCI USA Value Index (12.97%, 10.31%, 9.53%). Total annual operating expenses after waivers range from 0.16% (Class W) to 0.78% (Class S), with portfolio turnover at 49%.
- ·Contractual expense limits (direct expenses excl. certain fees): 0.60% for Class I/S, 0.45% for Class Z, 0.15% for Class W
- ·Class W management fee fully waived contractually
- ·Class Z and W shares commenced operations March 1, 2019
- ·Hypothetical 1-year expense example on $10,000 investment: $80 (Class S), $58 (I), $16 (W), $47 (Z)
02-03-2026
Carillon Series Trust filed Pre-Effective Amendment No. and Post-Effective Amendment No. 125/126 (Form N-1A) on March 2, 2026, for the Carillon ClariVest Capital Appreciation Fund, set to become effective May 1, 2026. The prospectus outlines the fund's objective of long-term capital appreciation via investments in growth stocks (at least 65% of net assets), with share classes featuring total annual operating expenses of 1.00% (Class A), 1.75% (Class C), 0.73% (Class I), and 0.65% (Class R-6 after waiver); portfolio turnover was 16% in the most recent fiscal year. No period-over-period performance data is provided, but risks including market volatility and growth stock underperformance are highlighted.
- ·Expense limitation agreement for Class R-6 at 0.65% through April 30, 2027, with potential recoupment within two fiscal years.
- ·Management fees restated to reflect contractual rate effective May 1, 2025.
- ·Fund may invest significant portion in information technology sector; securities lending permitted.
02-03-2026
Innovator ETFs® Trust filed Post-Effective Amendment No. 1802 to its Form N-1A registration statement on March 2, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 1691 (filed November 21, 2025) relating to the Innovator Equity X% Uncapped Accelerated 30 Barrier ETF® – 3 Yr to 2028 until March 20, 2026. The amendment incorporates Parts A, B, and C of the prior filing by reference and designates a new effective date under Rule 485(b). No financial data or performance metrics are disclosed in this procedural filing.
- ·1933 Act Registration No. 333-146827
- ·1940 Act Registration No. 811-22135
- ·Post-Effective Amendment No. 1803 under Investment Company Act of 1940
- ·Principal offices: 200 W. Front Street, Wheaton, Illinois 60187
- ·Agent for service: 251 Little Falls Drive, Wilmington, DE 19808
02-03-2026
Victory Capital Holdings, Inc. (NASDAQ: VCTR) published an open letter from Chairman and CEO David C. Brown to Janus Henderson Group plc employees on March 2, 2026, promoting a superior proposal to acquire Janus Henderson, emphasizing its culture of ownership, investment autonomy, employee equity participation, and commitment to retaining professionals and preserving the brand. The letter highlights Victory Capital's $323.2B in total client assets as of January 31, 2026, and notes that as of December 31, 2025, a majority of employees held company equity with over $350M of personal assets invested in its products. Victory Capital positions the combination as strategically superior to alternatives, urging Janus Henderson's Special Committee to engage.
- ·Victory Capital headquartered in San Antonio, Texas.
- ·Pioneer Investments Franchise has been net flow positive every quarter since acquisition close.
- ·Proxy statement for 2025 annual meeting filed with SEC on March 28, 2025.
02-03-2026
BNY Mellon Investment Funds I submitted a Form 40-17F2 filing with an independent accountant's report confirming that BNY Mellon Global Fixed Income Fund complied with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 as of December 31, 2025, covering the period from May 31, 2025, through December 31, 2025. Management's assertion of compliance was deemed fairly stated in all material respects following an examination that included security counts, confirmations, reconciliations, and review of the BNY Asset Servicing SOC 1 Report (October 1, 2024, to September 30, 2025), with no relevant findings noted. The report is intended solely for management, the Board of Trustees, and the SEC.
- ·Examination included vault inspection at 570 Washington Blvd, Jersey City, NJ 07310.
- ·Former names: Dreyfus Investment Funds (changed 2008-12-01), Mellon Institutional Funds Investment Trust (changed 2003-07-07), Standish Ayer & Wood Investment Trust (changed 1992-07-03).
02-03-2026
Innovator ETFs Trust filed Post-Effective Amendment No. 1800 to its N-1A registration statement on March 2, 2026, solely to designate a new effective date of March 20, 2026, for the previously filed Post-Effective Amendment No. 1693 related to the Innovator Growth-100 X% Uncapped Accelerated 30 Barrier ETF® – 3 Yr to 2028. The prior amendment was filed on November 21, 2025, and its Parts A, B, and C are incorporated by reference. No financial metrics or performance data are disclosed in this filing.
- ·Registrant’s 1933 Act Registration No. 333-146827; 1940 Act Registration No. 811-22135
- ·Principal offices: 200 W. Front Street, Wheaton, Illinois 60187
- ·Agent for service: 251 Little Falls Drive, Wilmington, DE 19808
02-03-2026
The Invesco BulletShares 2032 Municipal Bond ETF (BSMW), part of Invesco Exchange-Traded Self Indexed Fund Trust, has changed its classification from 'non-diversified' to 'diversified', requiring compliance with diversification requirements under the Investment Company Act of 1940. Effective immediately via this supplement dated March 2, 2026, all references to 'non-diversified' status are deleted from the Fund's Summary Prospectus and Statutory Prospectus dated December 19, 2025. Investors should retain this supplement for future reference.
02-03-2026
Northern Lights Fund Trust II filed Post-Effective Amendment No. 611 to its registration statement on March 2, 2026, updating the prospectus for the Invenomic Fund, which pursues long-term capital appreciation via primarily long (over 80% invested, up to 125% net assets) and short equity positions (up to 100% net assets). Annual net operating expenses are elevated at 3.05% for Institutional Class, 3.30% for Investor Class, and 2.80% for Super Institutional Class, subject to contractual caps of 2.23%, 2.48%, and 1.98% respectively through February 28, 2027; portfolio turnover remains high at 197% in the latest fiscal year.
- ·Short sales not to exceed 100% of net assets (normally 95%).
- ·Fee waiver/reimbursement agreement through February 28, 2027.
- ·Fund inception reference periods include since June 19, 2017.
02-03-2026
Innovator ETFs Trust filed Post-Effective Amendment No. 1801 to its Form N-1A Registration Statement solely to delay the effectiveness of Post-Effective Amendment No. 1692, related to the launch of the Innovator Equity X% Uncapped Accelerated 30 Barrier ETF® – 5 Yr to 2030 (a new series), until March 20, 2026. The prior amendment was filed on November 21, 2025, with Parts A, B, and C incorporated by reference. No financial metrics or performance data are disclosed in this administrative filing.
- ·Registration Nos: 1933 Act 333-146827; 1940 Act 811-22135
- ·Principal office: 200 W. Front Street, Wheaton, Illinois 60187
- ·Filing effective pursuant to Rule 485(b) on March 20, 2026
- ·Previous amendment No. 1692 filed November 21, 2025
02-03-2026
BNY Mellon Investment Funds III filed Form 40-17F2 on March 2, 2026, with an independent accountant's report confirming that the BNY Mellon High Yield Fund complied with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 as of December 31, 2025, covering the period from May 31, 2025 through December 31, 2025. Management asserted compliance, and the examination found no material issues, including no relevant findings in the BNY Asset Servicing SOC 1 Report for October 1, 2024 to September 30, 2025. No declines, flat performance, or exceptions were reported.
- ·Examination included count/inspection of securities in vault at 570 Washington Blvd, Jersey City, NJ 07310.
- ·Former names: Dreyfus/Laurel Funds Trust (changed 2018-10-30), Dreyfus Laurel Funds Trust (changed 1994-11-22), Laurel Funds Trust (changed 1994-02-02).
02-03-2026
Independent accountants confirmed management's assertion that BNY Mellon Institutional S&P 500 Stock Index Fund and BNY Mellon Bond Market Index Fund, series of BNY Mellon Investment Funds IV, Inc., complied with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 as of October 31, 2025, covering the period from May 31, 2025. Procedures included security counts, confirmations, reconciliations, and review of the SOC 1 Report, with no relevant findings noted. The report is solely for use by management, the Board of Directors, and the SEC.
- ·Vault location: 570 Washington Blvd, Jersey City, NJ 07310
- ·SEC File Number: 811-05202
- ·Fiscal Year End: October 31
02-03-2026
BNY Mellon Investment Funds III filed a Form 40-17F2 confirming that its series, BNY Mellon Global Equity Income Fund and BNY Mellon International Bond Fund, complied with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 as of October 31, 2025, and for the period from May 31, 2025 through October 31, 2025. Independent accountants issued an unqualified opinion based on examinations including security counts, confirmations, reconciliations, and review of the BNY Asset Servicing SOC 1 Report (October 1, 2024 - September 30, 2025), noting no relevant findings. Management, represented by Treasurer Jim Windels, asserted full compliance with custody requirements for securities in the Funds' investment accounts.
- ·Examination procedures included count/inspection of securities in vault at 570 Washington Blvd, Jersey City, NJ; confirmation with custodian; reconciliation of book-entry positions; agreement of five security purchases and five sales/maturities; review of repurchase agreements.
- ·Former names: Dreyfus/Laurel Funds Trust (changed 2018-10-30), Dreyfus Laurel Funds Trust (1994-11-22), Laurel Funds Trust (1994-02-02).
02-03-2026
Essential Utilities, Inc. shared an internal memo from Chris Franklin updating employees on the merger integration kickoff with American Water Works Company, Inc., including the launch of Core Integration Teams focused on safety, reliability, and operational continuity. Select operational employees in Peoples, Delta, Aqua Ohio, Aqua Texas, Aqua North Carolina, the Bryn Mawr Lab, and certain union employees, plus a small number in IT, Finance, Legal, HR, and Contact Center supporting Gas Operations, will receive letters confirming their employment is not expected to be negatively impacted. However, the memo acknowledges potential uncertainty for other employees, stressing that no news is not bad news as decisions continue through regulatory and integration processes.
- ·Filing date: March 02, 2026
- ·Merger-related SEC filings referenced: Form S-4 effective December 30, 2025; joint proxy statement/prospectus filed December 31, 2025
- ·Employee questions directed to Merger@Essential.co
- ·Cautionary forward-looking statements highlight risks including regulatory approvals, integration challenges, litigation, and employee retention
02-03-2026
On March 1, 2026, Aviv Shapira, CEO of Xtend Reality Expansion Ltd., shared a LinkedIn post regarding a potential transaction with JFB Construction Holdings to form Xtend AI Robotics, Inc. (NewCo), as disclosed in this Rule 425 filing on March 2, 2026. The communication emphasizes forward-looking statements about expected benefits, timing, and strategic initiatives, but highlights extensive risks including integration challenges, failure to realize synergies, transaction costs, supply chain disruptions, tariffs on materials, and regulatory uncertainties. No financial metrics or specific deal terms are provided; investors are directed to upcoming Form S-4 registration statement and SEC filings.
- ·Commission File No. for JFB: 001-42538
- ·Investor relations sites: https://www.xtend.me/newsroom and https://investors.jfbconstruction.net/
02-03-2026
ETF Opportunities Trust filed Post-Effective Amendment No. 648 to its Form N-1A registration statement on March 2, 2026, designating March 10, 2026, as the new effective date for Post-Effective Amendment No. 213 (filed January 21, 2025) related to three ETF series: REX-OSPREYTM TRUMP ETF, REX-OSPREYTM BTC ETF, and REX-OSPREYTM BONK ETF. The amendment incorporates by reference prior prospectuses and statements of additional information, with no financial performance data or material changes reported. This is a procedural update to facilitate ETF launches without new quantitative metrics.
- ·Securities Act Registration No. 333-234544
- ·Investment Company Act Registration No. 811-23439
- ·Previous amendment referenced: Post-Effective Amendment No. 213 (filed January 21, 2025); Part C from No. 395
02-03-2026
TCW Funds, Inc. filed Post-Effective Amendment No. 123 to its registration statement (effective 60 days after March 2, 2026 filing) to register new ETF Class shares for TCW Concentrated Large Cap Growth Fund and TCW Relative Value Large Cap Fund, each actively managed ETFs focusing on large-cap equities. The Concentrated Large Cap Growth Fund reported a low portfolio turnover of 16.69% in the most recent fiscal year, indicating relatively stable holdings. No historical performance data or material financial metrics are provided in the filing, which includes standard ETF risks such as market price variance and authorized participant concentration.
- ·Securities Act File No. 033-52272; Investment Company Act File No. 811-07170
- ·Post-Effective Amendment No. 123 / Amendment No. 132
- ·Approximate Date of Proposed Public Offering: As soon as practicable after effective date
- ·Funds invest at least 80% of net assets in large-cap equity securities (market caps $1.6B-$4.5T as of Dec 31, 2025)
02-03-2026
ETF Opportunities Trust filed Post-Effective Amendment No. 649 to its Form N-1A registration statement on March 2, 2026, solely to designate April 2, 2026, as the new effective date for Post-Effective Amendment No. 486 (filed December 1, 2025) relating to the REX-Osprey™ Canton Coin ETF series. The filing incorporates by reference the prospectus and Statement of Additional Information from the prior amendment and certifies compliance with Rule 485(b). No financial metrics, performance data, or period-over-period comparisons are included.
- ·Securities Act Registration No. 333-234544
- ·Investment Company Act Registration No. 811-23439
- ·Post-Effective Amendment No. 649 / Amendment No. 651 under Investment Company Act
- ·Principal Executive Offices: 8730 Stony Point Parkway, Suite 205, Richmond, VA 23235
- ·Agent for Service: Corporation Trust Center, 1209 Orange St., Wilmington, DE 19801
02-03-2026
Manning & Napier Fund, Inc. submitted a Rule 497(j) certification on March 2, 2026, confirming that prospectuses and Statement of Additional Information dated March 1, 2026, contain no changes from those in Post-Effective Amendment No. 236 to its Form N-1A registration statement, filed electronically on February 27, 2026 (Accession #0001999371-26-004607). The certification was signed by Elizabeth Craig, Corporate Secretary. No material updates or performance data were disclosed.
- ·SEC File Nos. 2-92633 and 811-04087
- ·Company address: 290 Woodcliff Drive, Fairport, NY 14450
- ·Contact phone: 585-325-6880
02-03-2026
BNY Mellon Investment Funds II, Inc. filed a Form 40-17F2 certifying compliance with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 for its BNY Mellon Global Emerging Markets Fund as of October 31, 2025, covering the period from May 31, 2025 to October 31, 2025. Independent accountants confirmed management's assertion of full compliance following various procedures including security counts, confirmations, reconciliations, and review of SOC 1 reports, with no findings reported. The report provides assurance on proper custody of the Fund's securities but notes it is not a legal determination.
- ·Examination included tests at The Bank of New York Mellon Corporation vault in Jersey City, NJ.
- ·Custodian reconciliation covered book-entry positions with Federal Reserve Bank, DTC, and sub-custodians.
- ·SOC 1 Report reviewed for October 1, 2024 to September 30, 2025 noted no relevant findings in asset custody and trade settlement.
02-03-2026
BNY Mellon Investment Funds IV, Inc. submitted a Form 40-17F2 filing with an independent accountant's report and management's assertion confirming full compliance with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 for the BNY Mellon Floating Rate Income Fund as of August 31, 2025, covering the period from May 31, 2025 through August 31, 2025. The examination involved procedures such as security counts, confirmations with custodians, reconciliations, and review of SOC 1 reports, with no relevant findings or exceptions noted. The opinion states that management's assertion is fairly stated in all material respects.
- ·Vault location for securities: 570 Washington Blvd, Jersey City, NJ 07310
- ·SOC 1 Report period reviewed: July 1, 2024 to June 30, 2025 with no relevant findings in Asset Custody and Trade Settlement
- ·Fiscal year end: October 31
02-03-2026
BNY Mellon Investment Funds I submitted a Form 40-17F2 filing with an independent accountant's unqualified opinion confirming compliance with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 for its BNY Mellon Small Cap Value Fund, BNY Mellon Small/Mid Cap Growth Fund, and BNY Mellon International Equity Fund as of September 30, 2025. The examination covered the period from May 31, 2025, through September 30, 2025, including tests of securities custody, reconciliations, and no material issues were identified. Management, led by Treasurer Jim Windels, asserted full compliance with custody requirements.
- ·Examination procedures included count/inspection of securities in vault at 570 Washington Blvd, Jersey City, NJ; confirmation with custodians; reconciliations of book-entry positions; agreement of five security purchases and five sales/maturities; review of SOC 1 Report (Oct 1, 2024 - Sep 30, 2025) with no relevant findings in asset custody and trade settlement.
- ·Former names: Dreyfus Investment Funds (changed 2008-12-01), Mellon Institutional Funds Investment Trust (changed 2003-07-07), Standish Ayer & Wood Investment Trust (changed 1992-07-03).
02-03-2026
Manning & Napier Fund, Inc. and Manning & Napier Advisors, LLC filed an application for exemptive relief under the Investment Company Act to permit Multi-Class ETF Funds, offering one class of exchange-traded ETF Shares and one or more non-exchange-traded Mutual Fund Shares. The requested Order includes ETF Operational Relief mirroring Rule 6c-11 conditions and additional ETF Class Relief to allow the multi-class structure, with board oversight via a multiple class plan and initial Advisor Report evaluating benefits, costs, and conflicts. No financial performance data or period comparisons are provided in the filing.
- ·Filing submitted on March 2, 2026, to SEC for File Nos. 812-15999, 803-00294, and related.
- ·Applicants located at 290 Woodcliff Drive, Fairport, NY 14450.
- ·Relief to apply to existing and future Funds advised by the Advisor or affiliates.
- ·Company incorporated in MD, fiscal year end Dec 31; Advisor in DE.
02-03-2026
Corgi ETF Trust I filed a Post-Effective Amendment No. 10 to its Form N-1A registration statement for the Inside Ownership 100 ETF, which seeks to track the Inside Ownership 100 Index of the 100 S&P 500 companies with the highest capped (5% max) insider ownership value, rebalanced quarterly. The ETF, managed by Corgi Strategies, LLC under a unitary fee structure covering most operating expenses (specific fees TBD), plans to become effective 75 days after filing on March 2, 2026, with no operating history or performance data available. Key risks include dependence on authorized participants, index methodology errors, concentration in insider-owned firms, and new fund/adviser risks.
- ·Index eligible universe: S&P 500 constituents.
- ·Index launch date: November 26, 2024.
- ·Index rebalancing: quarterly, using DEF 14A proxy data.
- ·Fund classified as non-diversified.
02-03-2026
The Summary Prospectus for BBH U.S. Government Money Market Fund Institutional Shares (Ticker: BBSXX), dated February 28, 2026, outlines total annual operating expenses of 0.22% (management fees 0.18%, other expenses 0.04%) and a $5,000 minimum initial purchase. Performance as of December 31, 2025, shows average annual total returns of 4.09% (1-year), 3.06% (5-year), and 1.98% (10-year), with the highest quarterly return of 1.31% in Q4 2023 but a flat lowest of 0.00% in Q1 2021. The Fund emphasizes preservation of a stable $1.00 NAV amid risks including stable NAV risk, interest rate risk, and large shareholder redemption risk.
- ·Fund invests at least 99.5% of total assets in cash, short-term U.S. Treasury securities, U.S. government agency securities, or fully collateralized repurchase agreements.
- ·At least 80% of net assets invested in U.S. government securities and fully collateralized repurchase agreements.
- ·Seeks to maintain stable $1.00 NAV per share.
- ·Distributions generally taxable as ordinary income or capital gains.
02-03-2026
The BBH Intermediate Municipal Bond Fund issued a summary prospectus dated February 28, 2026, detailing its objective to protect capital and generate risk-adjusted returns via a diversified portfolio of investment-grade municipal bonds with at least 80% of net assets in tax-exempt munis and an expected average maturity of 3-10 years. Annual operating expenses are 0.65% for Class N shares (after fee waiver) and 0.44% for Class I shares, with contractual expense limits through March 1, 2027. Portfolio turnover was 187% in the most recent fiscal year (37% excluding variable rate demand notes), indicating potentially higher transaction costs.
- ·Expense Limitation Agreement limits Class N to 0.65% and Class I to 0.50% through March 1, 2027.
- ·Up to 15% of assets in when-issued or delayed delivery securities; up to 20% in non-municipal securities.
- ·Will not invest 25% or more in municipal obligations relating to similar projects.
- ·Expense example for $10,000 investment: Class N 1-year $66, 3-year $219, 5-year $385, 10-year $865; Class I 1-year $45, 3-year $141, 5-year $246, 10-year $553.
02-03-2026
Pacer Funds Trust filed a Post-Effective Amendment No. 150/152 to its Form N-1A registration statement solely to delay the effectiveness of its prior Post-Effective Amendment No. 141 (filed December 4, 2025) until March 10, 2026. Parts A, B, and C of the prior amendment are incorporated by reference. No financial performance data, changes, or other substantive updates are provided in this procedural filing.
- ·1933 Act Registration File No. 333-201530
- ·1940 Act File No. 811-23024
- ·Registrant address: 500 Chesterfield Parkway, Malvern, Pennsylvania 19355
- ·Agent for service: Joe M. Thomson at the same address
- ·Legal counsel: John F. Ramirez, Practus LLP, 11300 Tomahawk Creek Parkway, Suite 310, Leawood, Kansas 66211
02-03-2026
Northern Institutional Funds filed a Summary Prospectus for its Treasury Instruments Portfolio Digital Enabled Shares (Ticker: NDEXX), dated February 6, 2026, as amended March 2, 2026, detailing a government money market fund that invests exclusively in U.S. Treasury securities to maximize current income while preserving capital and liquidity. Annual Portfolio Operating Expenses for Digital Enabled Shares total 0.18% after expense reimbursement by Northern Trust Investments, Inc., with no shareholder fees. The fund maintains a stable $1.00 NAV under Rule 2a-7, with average portfolio maturities limited to 60 days (120 days without exceptions) and maximum security maturities of 397 days.
- ·Expense reimbursement agreement by Northern Trust Investments, Inc. limits Total Annual Fund Operating Expenses to 0.18% until at least April 1, 2027, excluding certain items like acquired fund fees and extraordinary expenses.
- ·Portfolio invests at least 80% of net assets in Treasury Obligations, with dollar-weighted average maturity of no more than 60 calendar days.
- ·Principal risks include stable NAV risk, interest rate risk, credit risk, and large shareholder risk.
02-03-2026
BNY Mellon Funds Trust submitted a Form 40-17F2 filing with management's assertion and independent accountants' report confirming compliance with subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 for 13 specified funds as of August 31, 2025, covering the period from May 31, 2025. The accountants' examination, including tests of securities custody, reconciliations, and review of the custodian's SOC 1 report (July 1, 2024 - June 30, 2025), found no relevant findings and opined that the assertion is fairly stated in all material respects. No non-compliance issues, exceptions, or material misstatements were identified.
- ·Custodian vault location: 570 Washington Blvd, Jersey City, NJ 07310
- ·Custodian SOC 1 Report period: July 1, 2024 - June 30, 2025 with no relevant findings in Asset Custody and Trade Settlement
- ·Former names: Mellon Funds Trust (changed 20030429), MPAM Funds Trust (changed 20000410)
02-03-2026
Brown Brothers Harriman has filed a Summary Prospectus for the BBH Income Fund dated February 28, 2026, detailing its objective to provide maximum total return emphasizing current income while preserving capital through a diversified fixed income portfolio. Annual operating expenses are 0.70% for Class N shares (BBNNX, not yet operational) and 0.44% for Class I shares (BBNIX), with a portfolio turnover rate of 42% in the most recent fiscal year. The fund targets 80-120% of the Bloomberg US Aggregate Index duration (5.8 years as of January 31, 2026) and limits exposure to 25% or less in junk bonds and 10% or less in emerging market debt.
- ·Expense example assumes 5% annual return: Class N costs $72 (1 year), $225 (3 years); Class I costs $45 (1 year), $141 (3 years), $246 (5 years), $553 (10 years).
- ·Fund exposure targets at purchase: 95% USD-denominated, 75%+ investment grade, <=25% BB/junk, <=10% emerging markets (JPM EMBI), <=5% CCC and below.
- ·Investment Adviser considers ESG factors for corporate notes/bonds and structured products.
02-03-2026
The BBH Partner Fund – International Equity Class I Shares (BBHLX) summary prospectus, dated February 28, 2026, discloses average annual total returns before taxes of 26.19% for 1 year, 3.72% for 5 years, and 8.03% for 10 years ended December 31, 2025, underperforming the MSCI-EAFE Index (31.22%, 8.92%, 8.18% respectively) across all periods. The fund features low total annual operating expenses of 0.63% and a portfolio turnover rate of 62%, while investing at least 80% in non-U.S. equities with up to 35% in emerging markets via a manager-of-managers approach with sub-advisers Select Equity Group and Trinity Street. However, it carries risks including non-U.S. investment volatility, currency fluctuations, and potential underperformance in large-cap focused strategies.
- ·At least 80% of net assets invested in non-U.S. equity securities under normal circumstances.
- ·Up to 35% of assets may be invested in emerging markets.
- ·Expense example costs for $10,000 investment: $64 (1 year), $201 (3 years), $350 (5 years), $786 (10 years) assuming 5% annual return.
02-03-2026
The Summary Prospectus for the BBH Select Mid Cap ETF (BBHM), dated February 28, 2026, details its investment objective of long-term capital growth through at least 80% investment in mid-cap equities, with total annual operating expenses of 0.81% (management fees 0.72%, other expenses 0.09%). The Fund is the successor to the Predecessor Fund via reorganization on November 17, 2025, which had a portfolio turnover rate of 23% for the fiscal year ended October 31, 2025, while highlighting principal risks such as mid-cap volatility, non-diversification, and potential trading at premiums/discounts to NAV. Performance history shows quarterly extremes of +13.28% (Q4 2023) and -18.11% (Q2 2022) for the Predecessor Fund.
- ·Fund may invest in ADRs and GDRs of foreign issuers.
- ·Prospectus and SAI available online at https://www.bbhfunds.com/us/en/resources.html#Documents or by calling 1-800-575-1265.
02-03-2026
02-03-2026
The Summary Prospectus for BBH Limited Duration Fund (Class N: BBBMX; Class I: BBBIX), dated February 28, 2026, details annual operating expenses of 0.35% for Class N (after fee waiver) and 0.27% for Class I shares, with a contractual expense limitation for Class N through March 1, 2027. The fund targets maximum total return with capital preservation via a diversified fixed-income portfolio typically under one-year duration and reported 38% portfolio turnover in the most recent fiscal year. No period-over-period performance data is provided, presenting a standard disclosure without notable improvements or declines.
- ·Hypothetical expense examples for $10,000 investment: Class N - 1 Year $36, 3 Years $143, 5 Years $260, 10 Years $602; Class I - 1 Year $28, 3 Years $87, 5 Years $152, 10 Years $343 (assuming 5% annual return).
- ·Fund primarily invests in investment grade fixed income but may include below investment grade ('junk bonds') when justified.
- ·Portfolio duration typically less than one year.
02-03-2026
Citigroup Global Markets Holdings Inc., guaranteed by Citigroup Inc., priced $949,000 (949 securities at $1,000 each) of Callable Contingent Coupon Equity Linked Securities linked to the worst performing of the Nasdaq-100 Index, Russell 2000 Index, and S&P 500 Index, maturing March 7, 2028. The notes offer a potential 8.75% annualized contingent coupon (0.7292% per period) if the worst performer stays above 70% of initial value, but no coupons if below, and full principal loss possible if below 57.5% at maturity. Issuer nets $941,408 after $7,592 underwriting fee to Citigroup Global Markets Inc., with estimated value at $982.30 per security below issue price.
- ·Initial underlying values: Nasdaq-100 Index 25,329.04; Russell 2000 Index 2,663.329; S&P 500 Index 6,946.13
- ·Coupon barrier values: Nasdaq-100 17,730.328; Russell 2000 1,864.330; S&P 500 4,862.291
- ·Final barrier values: Nasdaq-100 14,564.198; Russell 2000 1,531.414; S&P 500 3,994.025
- ·Pricing date: February 25, 2026; Issue date: March 2, 2026
- ·First potential redemption: September 2026; 22 valuation dates through March 2, 2028
02-03-2026
The Summary Prospectus dated February 28, 2026, for the First Sentier Global Listed Infrastructure Fund (Class I Shares, FLIIX), a series of Datum One Series Trust, details the fund's objective of capital growth and inflation-protected income via primarily equity securities of global infrastructure companies. Gross annual operating expenses are 1.05%, reduced to 0.75% after contractual waivers and reimbursements through May 20, 2027; the predecessor fund's portfolio turnover was 70.19% for the fiscal year ended October 31, 2025. No performance data or period-over-period comparisons are provided.
- ·Under normal circumstances, at least 30% (typically 40%) of net assets in foreign infrastructure securities.
- ·Up to 75% of net assets in depositary receipts (ADRs, EDRs, GDRs).
- ·Up to 30% of net assets in listed REITs and 20% in listed MLPs/MLPs meeting infrastructure definition.
- ·More than 25% of net assets in infrastructure industry as fundamental policy.
- ·Shareholder Servicing Plan Fee accrued at 0.00% (up to 0.10%) through at least May 20, 2027.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the new YieldMax® ZM Option Income Strategy ETF (ZMY), listed on NYSE Arca, with a primary objective of current income via synthetic covered call strategies on Zoom Communications, Inc. (ZM) stock and total annual operating expenses of 0.99%. While the strategy generates option premiums and partial exposure to ZM price gains, it caps upside participation, exposes the fund to full ZM downside losses (potentially unoffset by premiums), and notes that distributions may include significant return of capital. No portfolio turnover or performance data available as the fund has not commenced operations.
- ·Adviser pays most expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Call options sold generally have 1-month or less expiration and strike prices 0%-15% above current ZM share price.
- ·Fund may use FLEX options, swaps, or deep in-the-money calls for synthetic exposure.
- ·Portfolio turnover data unavailable as fund has not commenced operations.
02-03-2026
Guggenheim Funds Distributors, LLC submitted a Rule 497(j) certification filing on March 2, 2026, for Guggenheim Defined Portfolios, Series 2564 (File No. 333-292438), confirming that Amendment No. 1 to the Form S-6 Registration Statement, filed February 27, 2026, contains no differences from what would be required under Rule 497(b). This procedural filing indicates no substantive changes to the prospectus materials.
- ·SEC File Number: 333-292438
- ·Fiscal Year End: December 31
- ·State of Incorporation: KS
- ·Business Address: 2300 Cabot Drive, Suite 325, Lisle, IL 60532-3622
02-03-2026
The March 2026 Summary Prospectus for the Global X S&P 500 U.S. Market Leaders Top 50 ETF (NYSE Arca: FLAG) outlines its objective to track the S&P 500 U.S. Revenue Market Leaders 50 Index, focusing on the top 50 S&P 500 companies (excluding Real Estate) with at least 50% U.S. revenue and highest Market Leader Scores based on free cash flow margin, return on invested capital, and market share. Total annual operating expenses remain low at 0.29%, with portfolio turnover at 24.90% since inception on April 15, 2025; however, the fund is non-diversified with significant health care sector exposure as of December 31, 2025, increasing focus risk. The index is reweighted semi-annually with individual stock caps at 4.5%.
- ·Fund uses replication or representative sampling strategy to track index, expecting >95% correlation before fees.
- ·Index rebalances semi-annually; S&P 500 rebalances quarterly.
- ·Non-fundamental 80% policy changeable with 60 days' notice.
- ·Portfolio classified as non-diversified with health care sector focus risk.
02-03-2026
Tidal Trust II filed a Summary Prospectus (Form 497K) for the YieldMax® SNOW Option Income Strategy ETF (SNOY), listed on NYSE Arca, Inc., which primarily seeks current income through synthetic covered call and covered call spread strategies on Snowflake Inc. (SNOW) stock, with secondary exposure to SNOW's share price subject to a cap on gains. Total annual fund operating expenses are 1.00% (Management Fee 0.99%, Other Expenses 0.01%), and portfolio turnover was 33% for the fiscal year ended October 31, 2025; however, the strategy limits upside participation and exposes the fund to full downside risk if SNOW declines, with distributions potentially including return of capital.
- ·Call options sold generally have strike prices 0%-15% above current SNOW share price with 1-month or less expiration.
- ·Synthetic long exposure achieved via buying at-the-money calls and selling at-the-money puts with 1-6 month terms.
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, etc.
02-03-2026
The Summary Prospectus for the First Sentier American Listed Infrastructure Fund (Class I Shares, FLIAX), dated February 28, 2026, outlines the fund's objective of growth of capital and inflation-protected income through investment in at least 80% of net assets in U.S.-listed infrastructure company equities. Annual operating expenses total 7.93% before waivers, reduced to 0.75% after contractual reimbursements through May 20, 2027; the predecessor fund's portfolio turnover was 74.81% for the fiscal year ended October 31, 2025. The fund is non-diversified, concentrating over 25% of assets in infrastructure, with principal risks including infrastructure company risks, utilities sector regulation, and market volatility.
- ·Expense example costs for $10,000 investment: $77 (1 year), $1,682 (3 years), $3,195 (5 years), $6,605 (10 years).
- ·Shareholder Servicing Plan Fee currently accrued at 0.00%, up to 0.10% possible through May 20, 2027.
- ·Waiver agreement recoupment possible for 36 months, limited by expense caps.
- ·Fund may invest in IPOs, stapled securities, and REITs meeting infrastructure criteria.
02-03-2026
Aristotle Funds Series Trust filed a Rule 497(j) certification on March 2, 2026, confirming that the form of Prospectus and Statement of Additional Information has not changed from the most recent Post-Effective Amendment No. 20 to its Form N-1A registration statement, dated March 1, 2026, and filed on February 26, 2026. The certification was submitted on behalf of the Fund by U.S. Bank Global Fund Services as sub-administrator. No material updates or changes to disclosure documents were indicated.
- ·File Nos.: 333-269217 and 811-23850
- ·Contact: (414) 516-1692 or rachel.spearo@usbank.com
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® XOM Option Income Strategy ETF (XOMO), listed on NYSE Arca, Inc., which primarily seeks current income through synthetic covered call strategies on Exxon Mobil Corporation (XOM) shares, with secondary exposure to XOM price returns subject to a cap on gains. Annual Fund Operating Expenses total 1.17%, comprising a 0.99% management fee and 0.18% other expenses, with hypothetical costs on a $10,000 investment ranging from $119 for 1 year to $1,420 for 10 years. Portfolio turnover was 23% for the fiscal year ended October 31, 2025, indicating moderate transaction activity.
- ·Adviser Tidal Investments LLC pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Fund may hold short-term U.S. Treasuries as collateral and occasionally invest directly in XOM shares.
- ·Options contracts generally have 1-month to 6-month terms for synthetic long exposure; sold calls have 1-month or less expiration and 0%-15% above current share price strikes.
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® TSLA Option Income Strategy ETF (TSLY), an actively managed ETF listed on NYSE Arca seeking current income through synthetic covered call strategies on Tesla, Inc. (TSLA) stock, with secondary exposure to TSLA price returns subject to capped upside participation. Total annual fund operating expenses are 1.07%, with portfolio turnover at 124% for the fiscal year ended October 31, 2025; however, the strategy exposes the fund to full TSLA downside risk without full dividend entitlement and limits gains beyond sold call strike prices.
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, and certain others.
- ·Call options sold generally have 1-month or less expiration and strike prices 0%-15% above current TSLA share price.
- ·Fiscal year end: December 31.
02-03-2026
02-03-2026
Series Portfolios Trust filed a Rule 497(j) certification stating that the Prospectus and Statement of Additional Information for its series, Adaptiv Select ETF, have not changed from those in Post-Effective Amendment No. 241 to the Trust's Form N-1A registration statement, dated February 28, 2026, and filed on February 26, 2026. This routine regulatory filing confirms no material updates to the ETF's disclosure documents. No financial data, performance metrics, or other substantive changes were reported.
- ·File Nos. 333-206240 and 811-23084
- ·Contact: (414) 516-1652
02-03-2026
Tidal Trust II filed a Summary Prospectus (Form 497K) dated March 2, 2026, for the YieldMax® NFLX Option Income Strategy ETF (NFLY), listed on NYSE Arca, Inc., which seeks current income and limited exposure to Netflix, Inc. (NFLX) share price returns through synthetic covered call or covered call spread strategies using options and U.S. Treasuries. Total annual fund operating expenses are 1.01% (management fee 0.99%, other expenses 0.02%), with portfolio turnover of 33% for the fiscal year ended October 31, 2025; expense examples project costs of $103 (1 year), $322 (3 years), $558 (5 years), and $1,236 (10 years) on a $10,000 investment assuming 5% annual return.
- ·Fiscal year end: December 31
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses
- ·Call options sold generally have 1-month or less expiration and strike prices 0%-15% above current NFLX share price
- ·Portfolio uses standardized exchange-traded and FLEX options
02-03-2026
Eaton Vance Special Investment Trust filed a post-effective amendment No. 211/198 to its registration statement (Form N-1A) on March 2, 2026, for the Eaton Vance India Fund (formerly Eaton Vance Greater India Fund), proposing effectiveness on May 1, 2026. The fund seeks long-term capital appreciation by investing at least 80% of net assets in Indian equities, with uniform management fees of 0.90% across Class A (ETGIX), C (EXGIX), and I (EGIIX) shares, sales loads up to 5.25% for Class A, and expense caps of 1.40%/2.15%/1.15% respectively through May 1, 2027. No historical performance, portfolio turnover, or period-over-period comparisons are specified in this preliminary prospectus, which highlights risks including emerging markets volatility and focused India investments.
- ·Expense reimbursements apply to ordinary operating expenses only, excluding brokerage, acquired fund fees, borrowing, taxes, or litigation; recoupment possible within same fiscal year if under cap.
- ·Fund is non-diversified and may focus in sectors or smaller companies, with potential direct private placements and currency hedging via forwards/options.
02-03-2026
Tidal Trust III filed Post-Effective Amendment No. 175 to its Form N-1A registration statement on March 2, 2026, solely to designate March 16, 2026, as the new effective date for Post-Effective Amendment No. 112, continuing a series of 11 prior delays from the original July 20, 2025 target. The amendment relates to new ETF series under the Battleshares brand, including Bitcoin vs Ether ETF, Bitcoin vs Gold ETF, Ether vs Bitcoin ETF, and Gold vs Bitcoin ETF. No financial data or performance metrics are disclosed.
- ·Original Post-Effective Amendment No. 112 filed May 6, 2025, pursuant to Rule 485(a)(2), initially set for July 20, 2025 effectiveness.
- ·SEC File Numbers: 1933 Act 333-221764, 1940 Act 811-23312.
- ·Registrant address: 234 West Florida Street, Suite 700, Milwaukee, WI 53204.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the YieldMax® PYPL Option Income Strategy ETF (PYPY), listed on NYSE Arca, with a primary objective of current income and secondary exposure to PayPal Holdings, Inc. (PYPL) share price, subject to capped gains. Annual operating expenses total 1.31%, including a 0.99% management fee, while portfolio turnover was 19% for the fiscal year ended October 31, 2025. The fund employs synthetic covered call strategies using options on PYPL to generate premiums, with potential full exposure to downside risks.
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Fund may hold short-term U.S. Treasury securities as collateral.
- ·Options contracts have 1-month to 6-month terms for synthetic long exposure; sold calls have 1-month or less expiration.
02-03-2026
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® NVDA Option Income Strategy ETF (NVDY), an actively managed ETF listed on NYSE Arca that seeks current income via synthetic covered call strategies on NVIDIA Corporation (NVDA) stock, with limited upside participation but full exposure to NVDA downside risk. Total annual fund operating expenses are 1.09%, including a 0.99% management fee, and portfolio turnover was 16% for the fiscal year ended October 31, 2025. Expense examples project costs of $111 for 1 year, $347 for 3 years, $601 for 5 years, and $1,329 for 10 years on a $10,000 investment assuming 5% annual returns.
- ·Fiscal year end: December 31
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses
- ·Call options sold generally have 1-month or less expiration and strike prices 0%-15% above current NVDA share price
- ·Former company name: Tidal ETF Trust II, changed April 21, 2022
02-03-2026
New York Life Investments Funds Trust filed Form 497J on March 2, 2026, certifying under Rule 497(j) that its Prospectuses and Statements of Additional Information for numerous mutual funds remain unchanged from Post-Effective Amendment No. 200 to its Form N-1A (effective February 28, 2026). The filing lists over 30 funds across various strategies, including equity yield, high yield muni bond, allocation, and municipal bond funds. No material differences or fees are required.
- ·Registration Nos: 333-160918 and 811-22321
- ·Former name: MAINSTAY FUNDS TRUST (name change July 28, 2009)
- ·Contact: thomas_humbert@nylim.com, 973-610-0124
02-03-2026
02-03-2026
PGIM Rock ETF Trust filed a Summary Prospectus (Form 497K) for the PGIM S&P 500 Max Buffer ETF - March (ticker: PMMR), detailing its strategy to provide returns matching the State Street SPDR S&P 500 ETF Trust up to a 6.29% upside cap (5.79% after fees) with approximately 100% downside buffer over the Target Outcome Period from March 1, 2026, to February 28, 2027. The fund's total annual operating expenses are 0.50%, with a management fee of 0.50% and 0% portfolio turnover in the most recent fiscal year. No performance data shows declines or flat metrics, as this is a forward-looking product disclosure for a new outcome period.
- ·Prospectus dated February 20, 2026, as amended March 2, 2026
- ·Form N-CSR dated October 31, 2025
- ·Hypothetical expense example: $51 (1 year), $160 (3 years), $280 (5 years), $628 (10 years) on $10,000 investment assuming 5% annual return
- ·Fund invests at least 80% of net assets in investments providing exposure to S&P 500 Index securities
- ·Subsequent Target Outcome Periods reset annually, with cap changing based on market conditions
02-03-2026
PGIM Rock ETF Trust filed a Summary Prospectus for the PGIM S&P 500 Buffer 12 ETF - March (ticker: MRCP) on March 2, 2026, amending the February 20, 2026 version, detailing its strategy to track the State Street SPDR S&P 500 ETF Trust (SPY) price return up to a 14.49% upside cap (13.99% after fees) with a 12% downside buffer (11.5% after fees) over the Target Outcome Period from March 1, 2026, to February 28, 2027. The fund's total annual operating expenses are 0.50%, including a 0.50% management fee, with no distribution fees or other expenses, and portfolio turnover was 0% in the most recent fiscal year. Investors must hold shares for the full period to achieve targeted outcomes, as early sales may result in different returns.
- ·Prospectus and SAI dated February 20, 2026; Form N-CSR dated October 31, 2025.
- ·Fiscal year end: October 31.
- ·Fund invests at least 80% of net assets in investments providing exposure to S&P 500 Index securities.
- ·Hypothetical expense examples: $51 (1 year), $160 (3 years), $280 (5 years), $628 (10 years) on $10,000 investment assuming 5% annual return.
02-03-2026
PGIM Rock ETF Trust filed an amended Summary Prospectus (Form 497K) on March 2, 2026, for the PGIM S&P 500 Buffer 20 ETF - March (ticker: PBMR), listed on Cboe BZX Exchange. The Fund aims to provide S&P 500 price return up to a 10.89% upside cap (before fees) with a 20% downside buffer against losses over the one-year Target Outcome Period from March 1, 2026, to February 28, 2027; after 0.50% management fees, the cap is 10.39% and buffer 19.5%. Portfolio turnover was 0% in the most recent fiscal year, with hypothetical costs on a $10,000 investment ranging from $51 (1 year) to $628 (10 years).
- ·Fund invests at least 80% of net assets in investments providing exposure to S&P 500 Index securities
- ·Prospectus and SAI dated February 20, 2026; Form N-CSR dated October 31, 2025
- ·Fiscal year end: October 31
02-03-2026
Allspring Funds Trust filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectuses and Statements of Additional Information for six specified funds have not changed from Post-Effective Amendment No. 865 (Registration Nos. 333-74295 and 811-09253) filed on February 24, 2026. The certification, signed by Maureen Towle, covers Allspring International Equity Fund, Emerging Markets Equity Fund, Special Global Small Cap Fund, Emerging Markets Equity Advantage Fund, and Special International Small Cap Fund. No financial data, changes, or other material updates were reported.
- ·Post-Effective Amendment No. 865 to Registration Statement Nos. 333-74295 and 811-09253
- ·Fund classes: WFEAX, WFENX, WFEHX (International Equity); EMGAX, EMGNX, EMGDX (Emerging Markets Equity); EKGAX, EKGIX (Special Global Small Cap); EQIAX, EQIIX, EQIRX (Emerging Markets Equity Advantage); WICIX, WICRX, ASPAX (Special International Small Cap)
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the newly detailed YieldMax® META Option Income Strategy ETF (FBY), listed on NYSE Arca, which seeks current income through synthetic covered call strategies providing indirect exposure to Meta Platforms, Inc. (META) share price, subject to capped upside gains. Total annual fund operating expenses are 1.06%, including a 0.99% management fee, with portfolio turnover at 21% for the fiscal year ended October 31, 2025. The fund targets weekly distributions but notes potential return of capital and full downside exposure to META without direct ownership or dividends.
- ·Expense example costs on $10,000 investment: 1 Year $108; 3 Years $337; 5 Years $585; 10 Years $1,294 (assuming 5% annual return).
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
02-03-2026
Capitol Series Trust filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectus and Statement of Additional Information for the Hull Tactical US ETF have not changed from Post-Effective Amendment No. 177 filed on February 26, 2026. This is a routine compliance filing with no material updates to disclosure documents. No financial metrics or performance data were reported.
- ·File Nos. 333-191495; 811-22895
- ·Post-Effective Amendment No. 177 filed electronically on February 26, 2026
- ·Contact: (513) 587-3447
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® MSFT Option Income Strategy ETF (MSFO), listed on NYSE Arca, Inc., which seeks current income through synthetic covered call strategies on Microsoft Corporation (MSFT) shares, subject to capped upside participation. Total annual fund operating expenses are 1.03%, including a 0.99% management fee, with portfolio turnover at 16% for the fiscal year ended October 31, 2025; no performance metrics or period-over-period comparisons are provided.
- ·Fund uses standardized exchange-traded and FLEX options on MSFT for indirect exposure.
- ·Adviser pays most expenses except advisory fees, interest, taxes, brokerage, and others.
- ·Fiscal year end: December 31; most recent fiscal year for turnover: ended October 31, 2025.
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® MRNA Option Income Strategy ETF (MRNY), an actively managed ETF listed on NYSE Arca seeking current income via synthetic covered call strategies on Moderna, Inc. (MRNA) stock, with secondary exposure to MRNA share price subject to capped gains. Total annual fund operating expenses are 1.00% (management fee 0.99%, other expenses 0.01%), and portfolio turnover was 42% for the fiscal year ended October 31, 2025. The strategy limits upside participation beyond 0-15% above current MRNA share price while exposing to full downside risks.
- ·Call options sold have 1-month or less expiration and strike prices 0%-15% above current MRNA share price.
- ·Synthetic long exposure uses call options bought and put options sold with 1-6 month terms at at-the-money strikes.
- ·Adviser covers most expenses except advisory fees, interest, taxes, brokerage, etc.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the YieldMax® DIS Option Income Strategy ETF (DISO), an actively managed ETF seeking current income through synthetic covered call strategies on The Walt Disney Company (DIS) stock, with total annual operating expenses of 1.21% and portfolio turnover of 62% for the fiscal year ended October 31, 2025. The strategy provides indirect exposure to DIS share price returns with participation in a portion of gains but caps upside potential while exposing investors to full downside risk and no direct dividends. Weekly distributions are targeted, though a portion may be return of capital.
- ·Fiscal year end: December 31
- ·Portfolio turnover based on fiscal year ended October 31, 2025
- ·Adviser pays most expenses except advisory fees, interest, taxes, brokerage, etc.
02-03-2026
02-03-2026
Verizon Master Trust is issuing $700,000,000 in Series 2026-1 Asset Backed Notes secured by device payment plan agreements originated by Cellco Partnership d/b/a Verizon Wireless, with Class A-1a at $623,706,000 (aggregate), Class B at $47,684,000, and Class C at $28,610,000. The notes have an anticipated redemption date of February 22, 2028, and final maturity of February 20, 2031, with first payment on April 20, 2026, and closing around March 13, 2026. No historical performance data or comparisons are provided in the prospectus, which highlights credit enhancements like overcollateralization and subordination but warns of risks detailed starting on page 38.
- ·Notes delivered in book-entry form through DTC on or about March 13, 2026 (closing date).
- ·Optional redemption possible on or after April 20, 2027 payment date; make-whole payment required if before December 2027.
- ·Interest payments on 20th of each month starting April 20, 2026; no principal expected before February 2028 unless early redemption or amortization.
- ·Joint bookrunners: SMBC Nikko (sole structurer), Barclays, Citigroup, Mizuho.
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® COIN Option Income Strategy ETF (CONY), an actively managed ETF listed on NYSE Arca, Inc., seeking current income via synthetic covered call or covered call spread strategies on Coinbase Global, Inc. (COIN) shares, with total annual operating expenses of 1.04%. The fund does not directly invest in COIN, limits upside participation due to sold call options, and is exposed to full downside risk, while portfolio turnover was 31% for the fiscal year ended October 31, 2025.
- ·Expense example costs for $10,000 investment: 1 Year $106; 3 Years $331; 5 Years $574; 10 Years $1,271 (assuming 5% annual return).
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Call options sold have strike prices approximately 0%-15% above current COIN share price with 1-month or less expiration.
- ·Fund seeks weekly cash distributions, potentially including return of capital.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the YieldMax® GOOGL Option Income Strategy ETF (GOOY), an actively managed ETF listed on NYSE Arca, seeking current income through synthetic covered call or covered call spread strategies on Alphabet Inc. (GOOGL) Class A shares, with total annual operating expenses of 1.14% (management fee 0.99%, other expenses 0.15%). Portfolio turnover was 30% for the fiscal year ended October 31, 2025. Hypothetical expense example for $10,000 investment assumes 5% annual return yields costs of $116 (1 year), $362 (3 years), $628 (5 years), and $1,386 (10 years).
- ·Adviser pays most expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Fund seeks weekly cash distributions, potentially including return of capital (ROC).
- ·Call options sold have 1-month or less expiration and strike prices 0%-15% above current GOOGL share price.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the YieldMax® JP Option Income Strategy ETF (JPO), listed on NYSE Arca, seeking current income via synthetic covered call strategies on JPMorgan Chase & Co. (JPM) stock with limited upside participation and full downside exposure. Total annual fund operating expenses are 1.04%, including a 0.99% management fee, with portfolio turnover of 32% for the fiscal year ended October 31, 2025. The fund targets weekly distributions, which may include return of capital, but does not invest directly in JPM shares or entitle holders to its dividends.
- ·Adviser pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, acquired fund fees, 12b-1 fees, and extraordinary expenses.
- ·Options contracts have 1-month to 6-month terms for synthetic long exposure; sold calls have 1-month or less expiration and 0%-15% above current share price strike.
- ·Fund uses U.S. Treasuries or pooled vehicles as collateral.
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement (497VPU) dated March 2, 2026, disclosing increased charges for expedited delivery services applicable to numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, the new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to customers with no added fees or profits to the issuer. These charges are subject to future changes without a maximum limit.
- ·Issued through Jackson National Separate Account - I, III, IV, and V.
- ·Supplements prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Prior expedited delivery charges have increased, though specific prior amounts not disclosed.
02-03-2026
Unified Series Trust submitted a Rule 497(j) certification on March 2, 2026, confirming that the Prospectus and Statement of Additional Information for the Standpoint Multi-Asset Fund are identical to those in Post-Effective Amendment No. 622 to its Registration Statement (SEC File Nos. 811-21237 and 333-100654). The amendment was filed electronically. No financial metrics or changes were disclosed.
- ·SEC File Nos. 811-21237 and 333-100654
- ·Post-Effective Amendment No. 622
- ·Address: 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246
- ·Contact: (513) 326-3586
02-03-2026
Russell Investment Company submitted a Rule 497(j) certification on March 2, 2026, attesting that the prospectuses and Statements of Additional Information in Post-Effective Amendment No. 273 (PEA 273) to its Form N-1A Registration Statement, filed electronically on February 27, 2026 under Rule 485(b), remain unchanged. No fees are required for this filing. The certification is signed by Jennifer O’Brien, with contacts provided for her and John V. O’Hanlon.
- ·File Nos. 002-71299 and 811-03153
- ·Contact: Jennifer O’Brien at (617) 728-7133; John V. O’Hanlon at (617) 728-7111
02-03-2026
Tidal Trust II filed a Summary Prospectus for the newly launched YieldMax® BRK.B Option Income Strategy ETF (BRKC), listed on NYSE Arca, Inc., which seeks current income through synthetic covered call or covered call spread strategies on Berkshire Hathaway Inc. (BRK.B) shares, with a secondary objective of limited exposure to BRK.B price returns; total annual operating expenses are 1.01%, including a 0.99% management fee. The fund, which commenced operations on June 4, 2025, reported 0% portfolio turnover for the period ended October 31, 2025, indicating no trading activity to date. Strategies cap upside participation while exposing the fund to full downside risk of BRK.B.
- ·Fund uses standardized exchange-traded and FLEX options on BRK.B with 1-month to 6-month terms for synthetic long exposure.
- ·Sold call options have strike prices approximately 0%-15% above current BRK.B share price.
- ·Adviser covers most expenses except advisory fees, interest, taxes, brokerage, and extraordinary expenses.
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® AMZN Option Income Strategy ETF (AMZY), listed on NYSE Arca, Inc., which seeks current income through synthetic covered call or covered call spread strategies on Amazon.com, Inc. (AMZN) shares, with indirect exposure to AMZN's share price subject to capped upside gains. Total annual fund operating expenses are 1.09%, including a 0.99% management fee and 0.10% other expenses, with portfolio turnover of 24% for the fiscal year ended October 31, 2025. The fund aims for weekly distributions but does not invest directly in AMZN and may classify portions as return of capital.
- ·Adviser Tidal Investments LLC pays most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, and certain others.
- ·Call options sold have strike prices approximately 0%-15% above current AMZN share price with 1-month or less expiration.
- ·Fund uses standardized exchange-traded and FLEX options; holds short-term U.S. Treasuries as collateral.
02-03-2026
Tidal Trust II filed a Summary Prospectus for the newly launched YieldMax® AI Option Income Strategy ETF (AIYY), listed on NYSE Arca, which seeks current income through synthetic covered call strategies on C3.ai, Inc. (AI) common stock, with a secondary objective of limited exposure to AI's share price gains. Total annual fund operating expenses are 0.99%, including a 0.99% management fee, and portfolio turnover was 53% for the fiscal year ended October 31, 2025. The fund aims for weekly distributions but caps upside participation at 0-15% above AI's share price and holds full downside risk.
- ·Adviser (Tidal Investments LLC) covers most Fund expenses except advisory fees.
- ·Fund uses one-month to six-month options for synthetic long exposure.
- ·Fiscal year end: December 31.
- ·Weekly cash distributions targeted, potentially including return of capital (ROC).
02-03-2026
New York Life Investments Funds filed a Rule 497(j) certification on March 2, 2026, stating that its Prospectuses and Statement of Additional Information have not changed from those in Post-Effective Amendment No. 168 (effective February 28, 2026) and Amendment No. 171 under the Investment Company Act. The filing lists multiple funds including NYLI MacKay Strategic Bond Fund, NYLI MacKay U.S. Infrastructure Bond Fund, and others with various share classes (e.g., Class A, C, I, Investor, R6). No material updates, financial data, or performance metrics are disclosed.
- ·Registration Nos: 033-02610 and 811-04550
- ·Post-Effective Amendment No. 168 effective February 28, 2026
- ·Contact: thomas_humbert@nylim.com or 973-610-0124
02-03-2026
BlackRock ETF Trust II submitted a Rule 497(j) certification on March 2, 2026, confirming that the prospectus and Statement of Additional Information in Post-Effective Amendment No. 80 to its Form N-1A registration statement match the version filed electronically on February 25, 2026. The filing pertains to the iShares Global Gov Bond USD Hedged Active ETF. No material changes to financial metrics or performance data were indicated.
- ·Securities Act File No. 333-236575
- ·Investment Company Act File No. 811-23511
- ·Post-Effective Amendment No. 80 filed electronically on February 25, 2026
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the YieldMax® AMD Option Income Strategy ETF (AMDY), an actively managed ETF seeking current income via synthetic covered call strategies on Advanced Micro Devices, Inc. (AMD) stock, with total annual operating expenses of 1.00% and portfolio turnover of 46% for the fiscal year ended October 31, 2025. The strategy provides indirect exposure to AMD's share price with capped upside potential and full downside risk, while aiming for weekly distributions that may include return of capital.
- ·Call options sold generally have strike prices 0%-15% above current AMD share price with 1-month or less expiration.
- ·Synthetic long exposure uses call options bought and put options sold with 1-6 month terms and at-the-money strikes.
- ·Adviser covers most Fund expenses except advisory fees, interest on borrowings, taxes, brokerage, and certain others.
02-03-2026
ETF Series Solutions certified pursuant to Rule 497(j) that the prospectus and Statement of Additional Information for ETFB Green SRI REITs ETF have not changed from the most recent Post-Effective Amendment No. 1106 to its Form N-1A registration statement, dated February 28, 2026, and filed on February 24, 2026. The filing confirms no material updates to the Fund's disclosure documents. No financial metrics or performance data were updated or referenced.
- ·File Nos.: 333-179562 and 811-22668
- ·Post-Effective Amendment No. 1106 filed February 24, 2026 (dated February 28, 2026)
- ·Contact: noellenadia.filali@usbank.com
02-03-2026
BlackRock Funds III submitted a Rule 497(j) certification on March 2, 2026, confirming that prospectuses and Statements of Additional Information for its BlackRock LifePath ESG Index Funds series (Retirement Fund through 2070 Fund) remain unchanged from those in Post-Effective Amendment No. 405 to its Form N-1A registration statement. The amendment was electronically filed with the SEC on February 25, 2026. No financial performance data or material changes were disclosed.
- ·Securities Act File No. 33-54126
- ·Investment Company Act File No. 811-07332
- ·Post-Effective Amendment No. 405 filed February 25, 2026
02-03-2026
Voya Mutual Funds submitted a Rule 497(j) certification confirming that its Prospectuses and Statements of Additional Information do not differ from those in Post-Effective Amendment No. 232 to its Form N-1A registration statement (File Nos. 033-56094; 811-07428), filed on February 25, 2026. The filing was made on March 2, 2026, by Voya Investment Management. No material changes or financial data are indicated.
- ·Address: 7337 East Doubletree Ranch Road, Suite 100, Scottsdale, AZ 85258
- ·Contact numbers: Anna Jagiello (480) 477-2309; Chris Geissler (480) 477-2481
02-03-2026
First Trust Portfolios L.P. filed Amendment No. 1 to Form S-6 (Form 487) on March 2, 2026, for FT 12791, the Global Commodities Opportunity Portfolio, Series 60, a unit investment trust seeking above-average capital appreciation through a diversified portfolio of common stocks with commodities exposure. The trust has initial net assets of $164,261, 16,792 units outstanding, and a net asset value per unit of $9.782, with a public offering price of $10.00 per unit subject to a maximum sales charge of 1.85%. The trust has a term until mandatory termination on June 2, 2027, with semi-annual income distributions commencing June 25, 2026.
- ·Public Offering Price per Unit: $10.000; Redemption Price per Unit: $9.865; Net Asset Value per Unit: $9.782
- ·Initial Date of Deposit: March 2, 2026; First Settlement Date: March 3, 2026; Effectiveness Date: March 2, 2026 at 2:00 p.m.
- ·Mandatory Termination Date: June 2, 2027
- ·Income Account Distribution Record Date: Tenth day of June and December; Distribution Date: Twenty-fifth day of June and December, commencing June 25, 2026
- ·Deferred sales charge deducted in three monthly installments commencing June 18, 2026
02-03-2026
First Trust Portfolios L.P. launched FT 12792, the UBS Power and Resources Portfolio, Series 2, a unit investment trust with an initial investment in securities of $179,765 and 17,977 units outstanding at a public offering price of $10.00 per unit. Net asset value per unit stands at $9.703 after deducting fees including a maximum sales charge of 2.75%, deferred sales charge of $0.225 per unit, creation and development fee of $0.050 per unit, and organization costs of $0.022 per unit. The trust seeks above-average capital appreciation through a diversified portfolio of common stocks and has a mandatory termination date of March 2, 2028.
- ·Public offering price per unit: $10.000; Redemption price per unit: $9.775; Net asset value per unit: $9.703
- ·Deferred sales charge deducted in three monthly installments commencing June 18, 2026
- ·Estimated 1-year cost on $10,000 investment: $318; 2-year: $338 (assuming 5% annual return)
- ·First settlement date: March 3, 2026; Income distributions commence March 25, 2026
- ·Trust term: approximately two years, mandatory termination March 2, 2028
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the newly listed YieldMax® ABNB Option Income Strategy ETF (ticker: ABNY) on NYSE Arca, Inc., which seeks current income via synthetic covered call strategies on Airbnb, Inc. (ABNB) while providing limited exposure to ABNB's share price upside but full downside risk. Total annual fund operating expenses are 1.02%, including a 0.99% management fee, with portfolio turnover at 43% for the fiscal year ended October 31, 2025; hypothetical expense examples show costs of $104 for 1 year and $1,248 for 10 years on a $10,000 investment.
- ·Adviser (Tidal Investments LLC) covers most Fund expenses except advisory fees, interest, taxes, brokerage, AFFE, 12b-1 fees, and extraordinary expenses.
- ·Fund uses synthetic covered call or covered call spread strategies with FLEX and standardized options; holds U.S. Treasuries as collateral.
- ·No direct investment in ABNB; distributions may include return of capital (ROC).
02-03-2026
BlackRock ETF Trust II submitted a Rule 497(j) certification on March 2, 2026, confirming that the prospectus and Statement of Additional Information for the iShares Emerging Markets Bond Active ETF do not differ from those in Post-Effective Amendment No. 81 to its Form N-1A registration statement, which was filed electronically on February 25, 2026. The certification was signed by Janey Ahn, Secretary of the Fund. No financial metrics, changes, or performance data were disclosed in this administrative filing.
- ·Post-Effective Amendment No. 81 filed on February 25, 2026 (Securities Act File No. 333-236575, Investment Company Act File No. 811-23511)
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, announcing increases to expedited delivery charges for numerous variable and fixed deferred annuity products, as well as other insurance policies. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no markup or maximum cap. No prior fee amounts or broader financial impacts were disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for a wide range of variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Weekday charges are now $23 and Saturday charges are $38, passed through directly from third-party services with no added fees or profits to the company. No prior fee amounts or broader financial impacts were disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, III, IV, V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing increases in expedited delivery charges for numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, fees are now $23 for Monday-Friday deliveries and $38 for Saturday, passed through directly to contract holders with no added profits to the issuer. No prior fee amounts were disclosed, and these charges remain subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Charges issued through Jackson National Separate Account - I, III, IV, V.
02-03-2026
Lord Abbett Affiliated Fund, Inc. submitted a Form 497J filing on March 2, 2026, certifying under Rule 497(j) that the form of prospectus and statement of additional information has not changed from Post-Effective Amendment No. 126 to its Registration Statement on Form N-1A, filed on February 25, 2026. The certification was signed by Christian Corkery, Vice President and Assistant Secretary. No material updates or changes to definitive materials were reported.
- ·1933 Act File No. 002-10638
- ·1940 Act File No. 811-00005
- ·Fiscal year end: October 31
- ·State of incorporation: MD
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement (497VPU) dated March 2, 2026, announcing increased expedited delivery charges for numerous variable and fixed deferred annuity products and life insurance policies, effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders without markup or maximum limit. No prior fee amounts were disclosed, representing a cost increase for customers requesting expedited services.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025 and July 21, 2025
- ·Issued through Jackson National Separate Account - I, Jackson National Separate Account - III, Jackson National Separate Account - IV, and Jackson National Separate Account - V
- ·Numerous specific document codes listed (e.g., JMV23537 04/25, JMV21086 04/25) for affected contracts
02-03-2026
BlackRock ETF Trust II filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectus and Statement of Additional Information for the iShares High Yield Municipal Active ETF match those in Post-Effective Amendment No. 82 to its Form N-1A registration statement, which was electronically filed on February 25, 2026. The certification was signed by Janey Ahn, Secretary of the Fund. No financial performance data or material changes were disclosed.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, to various prospectuses dated April 28, 2025, and July 21, 2025, for multiple variable annuity, fixed annuity, index-linked annuity, and variable universal life insurance products. The supplement discloses increases in expedited delivery charges, passed through directly from third-party providers with no added fees or profits: $23 for Monday-Friday and $38 for Saturday. These charges are subject to change without a maximum cap.
- ·Supplement applies to Jackson National Separate Accounts - I, III, IV, V.
- ·Charges updated in Initial Summary Prospectuses, Updating Summary Prospectuses, and Notice Documents dated April 28, 2025, and July 21, 2025.
02-03-2026
American Beacon Funds submitted a Rule 497(j) certification confirming that the prospectuses and Statements of Additional Information for six specific funds—American Beacon Balanced Fund, American Beacon Garcia Hamilton Quality Bond Fund, American Beacon International Equity Fund, American Beacon Large Cap Value Fund, American Beacon Small Cap Value Fund, and American Beacon IMC International Small Cap Fund—match those in Post-Effective Amendment No. 443 to its Registration Statement. The filing references 1933 Act File No. 033-11387 and 1940 Act File No. 811-04984. This is a routine compliance certification with no financial metrics or material changes reported.
- ·1933 Act File No. 033-11387
- ·1940 Act File No. 811-04984
- ·Post-Effective Amendment No. 443
- ·Contact: (817) 391-6170
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, updating multiple variable and fixed deferred annuity products, summary prospectuses, and related documents to disclose increased expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday, passed directly to contract holders with no added fees or profits to the issuer. No prior fee amounts or percentage increases were specified.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Covers Jackson National Separate Accounts - I, III, IV, V
02-03-2026
Tidal Trust II filed a Summary Prospectus (Form 497K) for the YieldMax® AAPL Option Income Strategy ETF (APLY), dated March 2, 2026, outlining its strategy to seek current income via synthetic covered call or covered call spread options on Apple Inc. (AAPL) shares, with indirect exposure to AAPL price returns subject to a cap on gains. Total annual fund operating expenses are 1.04%, including a 0.99% management fee, and portfolio turnover was 20% for the fiscal year ended October 31, 2025. The fund does not invest directly in AAPL, bears full downside risk, and may distribute return of capital.
- ·Fund uses standardized exchange-traded and FLEX options on AAPL for synthetic long exposure, covered call writing, and U.S. Treasuries as collateral.
- ·Call options sold have strike prices approximately 0%-15% above current AAPL share price with 1-month or less expiration.
- ·Fiscal year end: December 31.
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement (497VPU) dated March 2, 2026, announcing increased charges for expedited delivery services applicable to numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, the new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. No prior fee amounts or performance metrics were disclosed, resulting in no quantifiable period-over-period changes.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Covers Jackson National Separate Accounts - I, III, IV, V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, updating multiple variable and fixed deferred annuity products, as well as some life insurance policies, to disclose increased expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. These charges remain subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
- ·Previous prospectus codes listed (e.g., JMV23537 04/25, etc.)
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, to various existing prospectuses and summary prospectuses for its flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, expedited delivery charges have increased to $23 for Monday-Friday services and $38 for Saturday services, with charges passed directly to customers without added fees or profits to the company.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Charges for expedited delivery are subject to change and not subject to a maximum.
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges applicable to multiple variable annuities, fixed annuities, index-linked annuities, and variable universal life insurance products. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. These charges remain subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing an increase in expedited delivery charges for various flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, the new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to customers with no added fees or profits to the company. No prior fee amounts or performance impacts are disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Covers Jackson National Separate Accounts - I, IP, III, IV, V
- ·References specific document codes such as JMV23537 04/25, JMV21086 04/25, and others listed in the filing
02-03-2026
Lord Abbett Securities Trust filed a Rule 497(j) certification on March 2, 2026, confirming no changes to the prospectus or statement of additional information from Post-Effective Amendment No. 183 filed on February 25, 2026. This routine regulatory filing lists multiple funds under the trust, including Lord Abbett Fundamental Equity Fund, Alpha Strategy Fund, and others across various share classes. No material updates or financial data were disclosed.
- ·Post-Effective Amendment No. 183 filed February 25, 2026
- ·1933 Act File No. 033-58846
- ·1940 Act File No. 811-07538
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing increased expedited delivery charges effective the same date for a wide range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no markup or maximum cap. No prior fee amounts or quantitative impact on revenues were disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, II, III, IV, and V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing an increase in expedited delivery charges effective the same date for numerous variable and fixed deferred annuity products and related policies. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders with no added company fees or profits. No prior fee amounts were disclosed, preventing direct comparison.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Charges are subject to change and not subject to a maximum.
- ·Issued through Jackson National Separate Account - I, III, IV, V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, updating multiple annuity and life insurance products to disclose increased expedited delivery charges effective the same date. New charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders with no added company fees or profits. This change applies to a wide range of products including ELITE ACCESS II®, JACKSON ADVANTAGE®, and others, across various Jackson National Separate Accounts.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025 and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for numerous variable and fixed deferred annuity products, as well as some variable life insurance policies and index-linked annuities. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly from third-party providers with no added profit to the company. No prior fee amounts or broader financial impacts are disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, II, III, IV, V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing increases in expedited delivery charges effective the same date for a broad range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. The new pass-through charges, with no added fees or profits to the company, are $23 for Monday-Friday deliveries and $38 for Saturday deliveries. These updates apply to products such as ELITE ACCESS II®, JACKSON ADVANTAGE®, PERSPECTIVE II®, and others listed in prior prospectuses dated April 28, 2025, and July 21, 2025.
- ·Charges are pass-through with no added fees or profits to the issuer and are subject to change without a maximum.
- ·Applies to Jackson National Separate Accounts - I, III, IV, V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, applicable to numerous variable annuity, fixed deferred annuity, index-linked annuity, and variable universal life insurance products, announcing an increase in expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. These charges are subject to future changes without a maximum cap.
- ·Charges issued through Jackson National Separate Account - I, II, III, IV, V
- ·Prior prospectuses dated April 28, 2025 and July 21, 2025
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing increased expedited delivery charges effective the same date for a wide range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. This change applies to products like ELITE ACCESS II®, JACKSON ADVANTAGE®, and others, and fees are subject to future changes without a maximum.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, II, III, IV, and V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, applicable to numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance products, announcing increases in expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. These charges remain subject to future changes without a maximum cap.
- ·Applicable to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, II, III, IV, and V
- ·Charges passed through directly with no added fees or profits to the issuer
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing an increase in expedited delivery charges effective the same date for a wide range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, II, III, IV, V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, announcing increased expedited delivery charges for numerous variable and fixed deferred annuity products, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company.
- ·Filing applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Charges are subject to change and not subject to a maximum
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, effective the same date, disclosing increases in expedited delivery charges for a wide range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly from third-party services with no added fees or profits to the company. These charges are subject to future changes without a maximum cap.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, III, IV, and V.
- ·References numerous specific contract codes such as JMV23537 04/25, JMV21086 04/25, and others.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, disclosing increased expedited delivery charges for multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to customers with no markup or profit to the issuer. No prior fee amounts or financial performance metrics are provided for comparison.
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement effective March 2, 2026, increasing expedited delivery charges for numerous variable and fixed deferred annuity products, as well as some life insurance policies. Weekday charges rise to $23 and Saturday charges to $38, passed through directly to contract holders with no added fees and subject to future changes. No prior fee amounts were disclosed, and this update applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Supplement applies to Jackson National Separate Accounts - I, III, IV, V.
- ·Charges for expedited delivery are not subject to a maximum and may change in the future.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, updating multiple variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance products to disclose increased expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to customers with no added fees or profits to the issuer. No prior fee amounts or performance metrics are provided, indicating a minor operational adjustment.
- ·Charges are subject to change and not subject to a maximum
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
02-03-2026
Stone Ridge Trust filed a Form 497J certification on March 2, 2026, confirming that the prospectus and statement of additional information for the Stone Ridge High Yield Reinsurance Risk Premium Fund (Classes I: SHRIX; M: SHRMX) remain unchanged from Post-Effective Amendment No. 112 filed on February 25, 2026. The filing was submitted pursuant to Rule 497(j) under the 1933 Act, with File Nos. 333-184477 and 811-22761. Signed by Daniel Whitney, this is a routine regulatory update with no material changes to fund documents.
- ·SEC File Numbers: 333-184477; 811-22761
- ·Post-Effective Amendment No. 112 filed February 25, 2026
- ·Contact: (212) 257-4781
02-03-2026
Stone Ridge Trust submitted a Rule 497(j) filing certifying that the prospectus and statement of additional information for Stone Ridge Diversified Alternatives Fund remain unchanged from Post-Effective Amendment No. 113 to its Form N-1A registration statement, filed on February 26, 2026. The filing confirms compliance under the 1933 Act for File Nos. 333-184477 and 811-22761.
- ·SEC File Numbers: 333-184477; 811-22761
- ·Post-Effective Amendment No. 113 filed February 26, 2026
- ·Trust business address: One Vanderbilt Avenue, 65th Fl., New York, NY 10017
- ·Contact phone: (212) 257-4871
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement (Form 497VPU) dated March 2, 2026, announcing an increase in expedited delivery charges for a wide range of flexible premium variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Effective March 2, 2026, the new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added markup. This update applies to numerous products listed in prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Supplement references specific document codes such as JMV23537 04/25, JMV21086 04/25, and others for integration with existing prospectuses.
- ·Charges are subject to change and not subject to a maximum, as they are passed through directly.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable, fixed deferred annuities, and index-linked annuities, now set at $23 for Monday-Friday and $38 for Saturday. These pass-through charges have no added fees or profit to the issuer but are subject to future changes without a maximum cap. The update supplements prospectuses dated April 28, 2025, and others.
- ·Supplement applies to JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
- ·Initial Summary Prospectus dated September 22, 2025 for ELITE ACCESS ADVISORY II®.
- ·Updating Summary Prospectuses dated April 28, 2025 for multiple products.
- ·Notice Documents dated April 28, 2025 for PERSPECTIVE II®, PERSPECTIVE ADVISORS II SM, and others.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added profits to the issuer. No prior fee amounts were disclosed, limiting direct comparability.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Covers JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, disclosing increases in pass-through expedited delivery charges for multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, with no added fees or profits to the company. No prior charge amounts or performance impacts are specified.
- ·Charges apply to contracts issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
- ·Supplement references numerous prospectus identifiers dated April 28, 2025, and September 22, 2025.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement announcing an increase in expedited delivery charges for multiple variable and fixed deferred annuity products, effective March 2, 2026. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added profits to the issuer. This change applies to a wide range of products including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II.
- ·Filing applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
- ·Charges are subject to change and not subject to a maximum.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable and fixed deferred annuity products, rising to $23 for Monday-Friday deliveries and $38 for Saturday deliveries. These charges are passed directly to contract holders with no added fees or profits to the issuer and are subject to future changes without a maximum cap. No prior fee amounts or quantitative impact on sales or profitability were disclosed.
- ·Applicable to numerous prospectus codes including JMV23537NY 04/25, JMV21086NY 04/25, and others listed in the supplement.
- ·Charges apply to contracts issued through JNLNY Separate Account - I, I, II, and IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for various flexible premium variable and fixed deferred annuities, single premium deferred index-linked annuities, and related products. Weekday charges are now $23 and Saturday charges are $38, passed through directly with no added fees. No prior fee amounts or percentage changes were disclosed.
- ·Charges apply to contracts referenced in filing codes such as JMV23537NY 04/25 and others listed.
- ·Fees are subject to change and not subject to a maximum.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increased expedited delivery charges for various flexible premium variable and fixed deferred annuities, index-linked annuities, and related products. The new charges, passed through directly from third-party services with no added fees or profits to the issuer, are $23 for Monday-Friday deliveries and $38 for Saturday deliveries. No prior fee amounts or performance metrics were disclosed, providing no basis for period-over-period comparisons.
- ·Filing applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Charges are subject to change and not subject to a maximum.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement dated March 2, 2026, effective the same date, disclosing increased expedited delivery charges for multiple variable and fixed deferred annuity products. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. These charges are subject to future changes and have no maximum limit.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable, fixed deferred, and index-linked annuity products. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. These charges remain subject to future changes without a maximum cap.
- ·Applicable to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. These charges remain subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, I, II, and IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. No prior charge amounts were disclosed, but the update confirms the fees are subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement dated March 2, 2026, announcing increased expedited delivery charges effective the same date for multiple variable, fixed deferred annuities, and index-linked annuities including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new pass-through fees, with no added markup by the company, are $23 for Monday-Friday deliveries and $38 for Saturday deliveries. These charges are subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, IIP, and IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for multiple variable, fixed deferred, and index-linked annuity products. Weekday charges rose to $23 and Saturday charges to $38, passed through directly without company markup or maximum limits. No prior fee amounts were disclosed, and these charges remain subject to future changes.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, I, II, and IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement dated March 2, 2026, announcing increased expedited delivery charges for various flexible premium variable and fixed deferred annuities, effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to customers without markup or profit to the issuer. No prior fee amounts or performance metrics are disclosed, resulting in no period-over-period comparisons.
- ·Supplement applies to numerous specific prospectus identifiers (e.g., JMV23537NY 04/25, JMV21086NY 04/25) issued through JNLNY Separate Account - I, II, and IV.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing an increase in expedited delivery charges for various flexible premium variable and fixed deferred annuities and index-linked annuities. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. This update applies to multiple products including ELITE ACCESS II®, PERSPECTIVE II®, JACKSON MARKET LINK PRO® II, and others listed in prior prospectuses dated April 28, 2025.
- ·Charges are subject to change and not subject to a maximum
- ·Filing references numerous specific prospectus identifiers (e.g., JMV23537NY 04/25, JMV21086NY 04/25)
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increased expedited delivery charges for multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added profits to the issuer. This change applies to numerous specified prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Supplement applies to JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
- ·Fees are subject to change and not subject to a maximum, passed through directly with no added fees or profits to the issuer.
- ·References specific filing identifiers like JMV23537NY 04/25 and others.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, disclosing increased expedited delivery charges for multiple variable and fixed deferred annuity products, now set at $23 for Monday-Friday services and $38 for Saturday. These charges are passed directly to contract holders with no markup or profit to the issuer. No prior fee levels or financial performance metrics are provided.
- ·Charges apply through JNLNY Separate Account - I, II, and IV.
- ·Supplement references numerous specific prospectus documents dated April 28, 2025, and September 22, 2025.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, announcing increased expedited delivery charges for multiple variable, fixed deferred, and index-linked annuity products. Charges are now $23 for Monday-Friday deliveries and $38 for Saturday, passed directly to contract holders with no markup or maximum limit. No prior fee amounts or performance metrics were disclosed.
- ·Charges apply to contracts issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV
- ·Supplement references numerous prospectus codes dated April 28, 2025, and September 22, 2025
02-03-2026
Effective March 2, 2026, Jackson National Life Insurance Company of New York increased expedited delivery charges applicable to multiple variable and fixed deferred annuity contracts, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II, to $23 for Monday-Friday deliveries and $38 for Saturday deliveries. These charges are passed through directly to contract holders with no added fees or profits to the issuer and are subject to future changes without a maximum limit. The supplement updates various prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Charges apply through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
- ·Update referenced in multiple filing codes such as JMV23537NY 04/25 and NV3784ND 04/25.
02-03-2026
Jackson National Life Insurance Company of New York issued a prospectus supplement effective March 2, 2026, disclosing increased charges for expedited delivery services applicable to multiple variable and fixed deferred annuity products, including ELITE ACCESS II®, PERSPECTIVE II®, and JACKSON MARKET LINK PRO® II. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders with no added company markup. No prior fee amounts or performance impacts are disclosed.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and September 22, 2025.
- ·Issued through JNLNY Separate Account - I, JNLNY Separate Account II, and JNLNY Separate Account IV.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, applicable to numerous variable and fixed deferred annuity products and life insurance policies, announcing increased expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the company. These charges are subject to future changes without a maximum limit.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, Jackson National Separate Account - III, Jackson National Separate Account IV, and Jackson National Separate Account V.
02-03-2026
ETF Series Solutions filed a Rule 497(j) certification stating that the prospectus and Statement of Additional Information for the McElhenny Sheffield Managed Risk ETF have not materially changed from the version in Post-Effective Amendment No. 1109 to its Form N-1A registration statement, dated February 28, 2026, and filed on February 26, 2026. The filing confirms no updates are required. Signed by Noelle-Nadia A. Filali, Assistant Secretary.
- ·File Nos.: 333-179562 and 811-22668
- ·Post-Effective Amendment No. 1109 filed February 26, 2026
- ·Trust address: 615 East Michigan Street, Milwaukee, Wisconsin 53202
- ·Contact: noellenadia.filali@usbank.com
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement on March 2, 2026, disclosing increases in expedited delivery charges for numerous variable and fixed deferred annuity products, as well as variable universal life insurance policies and index-linked annuities. Effective March 2, 2026, the charges are now $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to customers with no added fees or profits to the issuer. No prior fee amounts or performance metrics are provided, resulting in no quantifiable period-over-period changes.
- ·Applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, and V
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement (497VPI) dated March 2, 2026, announcing increases in expedited delivery charges effective the same date for a wide range of variable annuities, fixed deferred annuities, index-linked annuities, and variable universal life insurance products. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or profits to the issuer. No prior fee amounts or quantitative impact on financials were disclosed.
- ·Charges for expedited delivery are subject to change and not subject to a maximum
- ·Applies to contracts issued through Jackson National Separate Account - I, III, IV, V
- ·Supplement references numerous specific prospectus identifiers (e.g., JMV23537 04/25, JMV21086 04/25)
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing an increase in expedited delivery charges for a wide range of variable and fixed deferred annuity products, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. Effective March 2, 2026, the new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders with no markup or maximum limit. No prior fee levels or financial impacts were disclosed.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, announcing increased expedited delivery charges effective the same date for a wide range of variable and fixed deferred annuity products, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. Weekday charges rose to $23 and Saturday charges to $38, passed through directly without markup or profit to the company, and subject to future changes with no maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, III, IV, and V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, effective the same date, increasing expedited delivery charges applicable to numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Weekday charges rose to $23 and Saturday charges to $38, passed through directly to contract holders with no markup or maximum limit. These updates apply to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Charges issued through Jackson National Separate Account - I, Jackson National Separate Account - III, Jackson National Separate Account - IV, and Jackson National Separate Account - V
- ·Applicable to numerous form identifiers dated 04/25 and 07/25, including JMV23537, JMV21086, and others listed in the supplement
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance products issued through its separate accounts. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or maximum limit. No prior fee amounts or performance metrics were disclosed.
- ·Applicable to Jackson National Separate Account - I, Jackson National Separate Account - II, Jackson National Separate Account - III, Jackson National Separate Account - IV, and Jackson National Separate Account - V
- ·Charges are subject to change and not subject to a maximum
02-03-2026
Fidelity Salem Street Trust submitted a Form 497J filing on March 2, 2026, certifying under Rule 497(j) that the prospectuses and Statements of Additional Information for eight specified funds remain unchanged from the most recent post-effective amendment. The certification covers funds including Fidelity Inflation-Protected Bond Index Fund, Fidelity SAI Municipal Income Fund, and others. This is a routine compliance filing with no material updates or financial disclosures.
- ·SEC File Numbers: 002-41839 and 811-02105
- ·Effectiveness Date: March 2, 2026
02-03-2026
Jackson National Life Insurance Company filed a prospectus supplement dated March 2, 2026, applicable to numerous variable and fixed deferred annuities, life insurance policies, and index-linked annuities, announcing an increase in expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed directly to contract holders with no added company fees or profits. These charges remain subject to future changes without a maximum limit.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, Jackson National Separate Account - III, Jackson National Separate Account IV, and Jackson National Separate Account V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement dated March 2, 2026, applicable to numerous variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance products, announcing an increase in expedited delivery charges effective the same date. The new charges are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added fees or maximum limits. This update affects a wide range of products including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, III, IV, and V.
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, announcing increases in expedited delivery charges for numerous variable and fixed deferred annuity products, including ELITE ACCESS II®, JACKSON ADVANTAGE®, and PERSPECTIVE II®. The new fees are $23 for Monday-Friday deliveries and $38 for Saturday deliveries, passed through directly to contract holders with no added profits to the company. These charges are subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025.
- ·Issued through Jackson National Separate Account - I, III, IV, V.
02-03-2026
The Innovator U.S. Small Cap Power Buffer ETF™ — March (KMAR), a series of Innovator ETFs® Trust, seeks to deliver returns matching the iShares Russell 2000 ETF up to an 18.10% cap (17.31% net of 0.79% management fee) with a 15% buffer (14.21% net) against losses over the Outcome Period from March 1, 2026, to February 28, 2027, but only for investors holding shares for the full period. Outcomes are produced via FLEX Options referencing the Underlying ETF, with no guarantee of realization and potential forfeiture of gains above the cap or exposure to losses beyond the buffer. The Fund reported 0% portfolio turnover for the fiscal period ended October 31, 2025.
- ·Prospectus and SAI dated February 27, 2026
- ·Fund website: www.innovatoretfs.com/kmar for daily outcomes and holdings
- ·Contact: (800) 208-5212 or info@innovatoretfs.com
02-03-2026
Jackson National Life Insurance Company issued a prospectus supplement effective March 2, 2026, disclosing increases in expedited delivery charges for a wide range of variable and fixed deferred annuities, index-linked annuities, and variable universal life insurance policies. Weekday charges are now $23 and Saturday charges are $38, passed through directly to contract holders with no added fees or profits to the issuer. These charges remain subject to future changes without a maximum cap.
- ·Supplement applies to prospectuses and summary prospectuses dated April 28, 2025, and July 21, 2025
- ·Issued through Jackson National Separate Account - I, III, IV, V
02-03-2026
The summary prospectus for Innovator U.S. Equity Ultra Buffer ETF™ — March (UMAR), a series of Innovator ETFs Trust, details its defined outcome strategy tied to an S&P 500 ETF tracker for the Outcome Period March 1, 2026, to February 28, 2027, offering upside capped at 12.07% pre-fees (11.28% net of 0.79% management fee) and a buffer against 5%-35% losses (net 4.21%-34.21%). Outcomes require holding shares for the full period, with risks including cap limitations, buffer gaps for late entrants, and potential underperformance over multiple periods due to reset caps and buffers; portfolio turnover was flat at 0% for the fiscal year ended October 31, 2025.
- ·Expense example on $10K investment: 1 Year $81, 3 Years $252, 5 Years $439, 10 Years $978 (assuming 5% annual return).
- ·Prospectus dated February 27, 2026.
- ·Fund website: www.innovatoretfs.com/umar for daily outcomes and holdings.
02-03-2026
Fidelity Summer Street Trust filed a Form 497J on March 2, 2026, certifying under Rule 497(j) that the Prospectus(es) and Statement(s) of Additional Information for Fidelity New Markets Income Fund and its Advisor classes (FNMIX, FGWMX, FGYMX, FGZMX, FGBMX, FGVMX) do not differ from those in the most recent post-effective amendment. No material changes to the documents were reported. The certification was signed by Nicole Macarchuk, Secretary of the Trust.
- ·SEC File Nos. 002-58542 and 811-02737
- ·Former names: Fidelity High Income Fund (name change 1989-03-09), Fidelity Aggressive Income Fund (name change 1981-02-05)
- ·Effectiveness Date: March 2, 2026
02-03-2026
The Innovator International Developed Power Buffer ETF™ — March (IMAR) has initiated a new Outcome Period from March 1, 2026, through February 28, 2027, seeking to match the performance of the iShares MSCI EAFE ETF up to a 13.00% cap (after 0.85% management fees) while providing a 14.15% buffer against initial losses. The fund employs FLEX Options and may invest directly in the Underlying ETF, with total annual operating expenses at 0.85% and a portfolio turnover rate of 0% for the fiscal year ended October 31, 2025. Outcomes are only guaranteed for shares held for the full period, with caps resetting potentially limiting long-term gains relative to the Underlying ETF.
- ·Outcomes based on MSCI EAFE Index performance (price return if solely FLEX Options; inclusive of dividends if direct investment in Underlying ETF).
- ·Website for daily updates: www.innovatoretfs.com/imar.
- ·Fund prospectus and SAI dated February 27, 2026.
02-03-2026
The Innovator U.S. Equity Buffer ETF™ — March (BMAR) launched a new Outcome Period from March 1, 2026, to February 28, 2027, seeking to track the S&P 500 ETF with a 16.97% upside cap (16.18% net of 0.79% fees) and a 9% buffer against losses (8.21% net). While providing defined outcomes via FLEX Options, the strategy caps gains and exposes investors to losses beyond the buffer, with outcomes only realized for full-period holders and potential underperformance over multiple periods due to reset caps and buffers. Portfolio turnover was flat at 0% for the fiscal year ended October 31, 2025.
- ·Hypothetical expense example costs on $10,000 investment: 1 Year $81; 3 Years $252; 5 Years $439; 10 Years $978 (assuming 5% annual return).
- ·Prospectus and SAI dated February 27, 2026.
- ·Fund website: www.innovatoretfs.com/bmar for daily updates on caps, buffers, and outcomes.
02-03-2026
The Innovator U.S. Equity Power Buffer ETF™ — March (PMAR), a series of Innovator ETFs® Trust, launches a new Outcome Period from March 1, 2026, to February 28, 2027, seeking to match S&P 500 ETF returns up to a 12.79% cap (12.00% net of 0.79% fees) while buffering the first 15% of losses (14.21% net), but caps limit upside potential and buffers do not apply to mid-period entrants who may face full downside risks. Holding shares across multiple periods risks forfeiting gains above new caps and locking in prior losses beyond buffers. Annual operating expenses are 0.79%, with 0% portfolio turnover for the fiscal year ended October 31, 2025.
- ·Prospectus and SAI dated February 27, 2026.
- ·Fund policy: at least 80% of net assets in investments providing exposure to State Street® SPDR® S&P 500® ETF Trust.
- ·Hypothetical outcomes table shows Fund performance capped at 12.79% for Underlying ETF gains >=15%, 0% for losses -15% to 0%, and linear losses beyond -15%.
02-03-2026
Innovator Growth-100 Power Buffer ETF™ — March (NMAR), a series of Innovator ETFs Trust, filed a summary prospectus for its new Outcome Period from March 1, 2026, to February 28, 2027, seeking to track the Invesco QQQ Trust (Nasdaq-100 Index ETF) with an upside cap of 15.09% net of 0.79% management fees and a 14.21% buffer against initial losses. The fund uses FLEX Options and may hold the underlying ETF directly, but outcomes require holding shares for the full period, with no guarantee of realization and potential forfeiture of gains above the cap in subsequent periods. Portfolio turnover was 0% for the fiscal year ended October 31, 2025.
- ·Prospectus and SAI dated February 27, 2026.
- ·Hypothetical example costs for $10,000 investment: 1 Year $81; 3 Years $252; 5 Years $439; 10 Years $978 (assuming 5% annual return).
- ·Fund website: www.innovatoretfs.com/nmar for daily updates on cap, buffer, and outcomes.
02-03-2026
Fidelity Advisor Series II filed a Rule 497(j) certification on March 2, 2026, confirming that the Prospectuses and Statements of Additional Information for Fidelity Advisor Strategic Income Fund (including Class A FSTAX, Class C FSRCX, Class M FSIAX, and Class I FSRIX) and related funds do not differ from those in the most recent post-effective amendment. This is a routine compliance filing with no material changes reported.
02-03-2026
02-03-2026
Fidelity Covington Trust submitted a Rule 497(j) certification to the SEC, confirming that the Prospectuses and Statements of Additional Information for seven ETFs remain unchanged from the most recent post-effective amendment filed electronically. The ETFs include Fidelity International High Dividend ETF (FIDI), Fidelity International Value Factor ETF (FIVA), Fidelity Emerging Markets Multifactor ETF (FDEM), Fidelity International Multifactor ETF (FDEV), Fidelity Fundamental Developed International ETF (FFDI), Fidelity Fundamental Global ex-U.S. ETF (FFGX), and Fidelity Fundamental Emerging Markets ETF (FFEM). This is a routine compliance filing with no financial data, performance metrics, or material updates disclosed.
- ·Filing reference numbers: File Nos. 033-60973 and 811-07319
- ·SEC Accession Number: 0000945908-26-000085
- ·Effectiveness Date: March 02, 2026
02-03-2026
02-03-2026
Fidelity Municipal Trust submitted a Rule 497(j) certification on March 2, 2026, confirming that the Prospectuses and Statements of Additional Information for 10 municipal income funds, including Fidelity Municipal Income Fund, Fidelity Limited Term Municipal Income Fund, and state-specific funds like Fidelity Michigan Municipal Income Fund, do not differ from those in the most recent post-effective amendment filed electronically. The certification was signed by Nicole Macarchuk, Secretary of the Trust. No changes to fund documents were reported.
- ·SEC File Nos.: 002-55725 and 811-02628
- ·Effectiveness Date: March 2, 2026
- ·Filer CIK: 0000035373
- ·State of Incorporation: MA
- ·Fiscal Year End: December 31
02-03-2026
Fidelity Investments filed a Form 497J on March 2, 2026, certifying that the prospectuses and Statements of Additional Information for Fidelity Contrafund, Fidelity Advisor New Insights Fund, Fidelity Contrafund K6, and Fidelity Series Opportunistic Insights Fund have not changed from the most recent post-effective amendment filed electronically. The certification was signed by Nicole Macarchuk, Secretary of the Trust. No updates, changes, or financial data were reported.
- ·SEC File Nos.: 002-25235 and 811-01400
- ·Filed pursuant to Rule 497(j) under the Securities Act of 1933
02-03-2026
Fidelity School Street Trust filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectuses and Statements of Additional Information for several funds, including Fidelity Intermediate Municipal Income Fund, Fidelity Advisor Multi-Asset Income Fund, Fidelity Multi-Asset Income Fund, Fidelity Series International Credit Fund, and Fidelity Series International Developed Markets Bond Index Fund, remain unchanged from the most recent post-effective amendment. The filing was signed by Nicole Macarchuk, Secretary of the Trust. No material changes or performance data were reported.
- ·SEC File Nos.: 002-57167 and 811-02676
- ·Filer CIK: 0000215829
- ·Trust address: 245 Summer Street, Boston, MA 02210
02-03-2026
Thrivent Mutual Funds filed a Rule 497(j) certification on March 2, 2026, confirming that the prospectus and statement of additional information in Post-Effective Amendment No. 106 to their Form N-1A registration statement (filed February 26, 2026) would not differ from versions required under Rule 497(c). The certification pertains to 1933 Act File No. 033-12911 and 1940 Act File No. 811-05075. No material changes or financial data were disclosed.
- ·Amendment filed electronically on February 26, 2026
- ·Registrant address: 901 Marquette Avenue, Suite 2500, Minneapolis, Minnesota 55402-3211
- ·Contact: (612) 844-7190
02-03-2026
Fidelity Advisor Series I filed a Rule 497(j) certification on March 2, 2026, confirming that the Prospectus and Statement of Additional Information for Fidelity Advisor Mid Cap II Fund (including Class A FIIAX, Class C FIICX, Class M FITIX, Class I FIIMX, and Class Z FZAMX) remain unchanged from the most recent post-effective amendment. The filing references SEC File Nos. 002-84776 and 811-03785. No financial metrics, changes, or performance data were disclosed.
- ·SEC File Nos. 002-84776 and 811-03785
- ·Filed pursuant to Rule 497(j) under the Securities Act of 1933
02-03-2026
First Trust filed a Summary Prospectus (497K) for the FT Vest Gold Strategy Quarterly Buffer ETF (BGLD), detailing its target outcome strategy tied to the SPDR Gold Trust, offering upside participation up to an 11.51% cap before fees (11.28% after) and a buffer against -5% to -15% losses before fees (-5.23% to -15.23% after) over the March 2 to May 29, 2026 Target Outcome Period. Total annual operating expenses are 0.91%, with 0% portfolio turnover in the most recent fiscal year, though outcomes apply only to full-period holders and reset caps may limit long-term gains relative to the underlying ETF. The filing notes no guarantee of outcomes and potential for full investment loss.
- ·Subsidiary organized under Cayman Islands laws, holds FLEX Options; Fund invests up to 25% of assets in Subsidiary
- ·Prospectus dated March 2, 2026; Statement of Additional Information dated May 1, 2025
- ·Exchange: Cboe BZX Exchange, Inc.; SEC File Number: 333-125751
02-03-2026
Hennessy Funds Trust (CIK 0000891944) filed a post-effective amendment to its registration statement on Form 485BPOS under the 1940 and 1933 Acts, effective March 2, 2026, updating prospectuses for 19 series including Hennessy Cornerstone Large Growth Fund (HFLGX/HILGX), Hennessy Focus Fund (HFCSX/HFCIX), and Hennessy Technology Fund (HTECX/HTCIX). The filing details standard investment risks for each fund, such as loss of money, industry concentration, foreign securities, and tax law changes, with no financial performance metrics or period-over-period comparisons disclosed. No material changes in fund assets, returns, or operations are reported.
- ·Fiscal year end: June 30
- ·State of incorporation: Delaware
- ·Business address: 7250 Redwood Boulevard, Suite 200, Novato, CA 94945
- ·Mail address: c/o US Bancorp Fund Services, LLC, 615 E Michigan St, Milwaukee, WI 53202
- ·Former name: Henlopen Fund (changed 1992)
02-03-2026
Tidal Trust II filed a Summary Prospectus dated March 2, 2026, for the newly organized Nicholas Nuclear Income ETF (NUKX), listed on NYSE Arca, Inc., with primary objective of capital appreciation and secondary current income via equity in Nuclear Industry Companies (25-75% allocation), uranium exposure (25-50%), and options overlays (25-50%). Total annual operating expenses are 1.07% (management fee 0.99%, other expenses 0.02%, acquired fund fees 0.06%), with estimated costs of $109 for 1 year and $340 for 3 years on a $10,000 investment assuming 5% return. The fund warns of high portfolio turnover, sector concentration risks, options limiting upside/downside, and potential NAV decline from return-of-capital distributions.
- ·Fund is non-diversified with expected high annual portfolio turnover.
- ·Distributions expected weekly, may include return of capital reducing NAV.
- ·Cayman Islands subsidiary used for up to 25% of assets to access non-qualifying income investments.
- ·Statutory prospectus and SAI dated February 4, 2026.
02-03-2026
Thrivent Core Funds filed a Rule 497(j) certification on March 2, 2026, confirming that the form of their prospectus and statement of additional information matches Post-Effective Amendment No. 24 to the Registration Statement on Form N-1A, electronically filed on February 26, 2026. The certification was submitted by John D. Jackson, Secretary and Chief Legal Officer. No financial data, changes, or material updates were disclosed.
- ·1933 Act File No. 333-218855
- ·1940 Act File No. 811-23149
- ·Post-effective Amendment No. 24
02-03-2026
Stradley Ronon attorneys submitted a Rule 497(j) certification for FlexShares Trust confirming that prospectuses and Statements of Additional Information dated March 1, 2026, for each series do not differ from those in Post-Effective Amendment No. 95 (File Nos. 333-173967 and 811-22555), filed via EDGAR on February 25, 2026 (Accession No. 0001193125-26-068554) with an effective date of March 1, 2026. This is a routine compliance filing with no indicated changes or financial impacts.
- ·Post-Effective Amendment No. 95 Accession No. 0001193125-26-068554
- ·Registrant File Nos. 333-173967 and 811-22555
02-03-2026
Columbia Funds Series Trust I submitted a Rule 497(j) certification on March 2, 2026, confirming that the prospectuses and Statement of Additional Information for five specified municipal bond funds—Columbia Strategic California Municipal Income Fund, Columbia Intermediate Duration Municipal Bond Fund, Columbia Massachusetts Intermediate Municipal Bond Fund, Columbia New York Intermediate Municipal Bond Fund, and Columbia Strategic New York Municipal Income Fund—do not differ from those in Post-Effective Amendment No. 433 filed on February 26, 2026. The filing addresses File No. 002-99356 /811-04367. No changes or material updates to fund documents were indicated.
- ·Post-Effective Amendment No. 433 filed electronically on February 26, 2026.
- ·SEC File Number: 002-99356 /811-04367.
- ·Fiscal Year End: June 30.
- ·Central Index Key: 0000773757.
02-03-2026
Manning & Napier Fund, Inc.'s Equity Series (Class S: EXEYX, Class W: MEYWX) updated its summary prospectus dated March 1, 2026, highlighting low net expense ratios after waivers (1.05% for Class S, 0.05% for Class W) and a portfolio turnover of 59%. However, as of December 31, 2025, the Series underperformed its MSCI USA IMI benchmark across most periods, with Class S returns of 8.79% (1-year), 9.65% (5-year), and 13.35% (10-year) versus index returns of 16.81%, 12.82%, and 13.84%, respectively, though Class W showed slight outperformance over 10 years at 14.13%.
- ·Class W shares commenced operations on March 1, 2019.
- ·No minimum initial investment for Class W shares (available only to Manning & Napier discretionary clients).
- ·Prospectus and SAI available online at www.manning-napier.com/documents or by calling 1-800-466-3863.
02-03-2026
Nationwide Variable Account II issued a prospectus supplement dated March 2, 2026, correcting an incorrect class reference for the NVIT Fidelity Institutional AM® Emerging Markets Fund (Class I) in the Nationwide Destination Navigator (2.0) and Nationwide Destination B (2.0) summary prospectuses originally dated May 1, 2025. The fund reports average annual total returns as of December 31, 2024, of 6.28% for 1 year (positive), -2.63% for 5 years (decline), and 1.30% for 10 years (modest/flat). Current expenses stand at 1.18%, reflecting a temporary fee reduction.
- ·Correction stems from prior supplement dated May 29, 2025.
- ·Investment Advisor: Nationwide Fund Advisors; Investment Sub-Advisor: FIAM LLC.
02-03-2026
This March 2, 2026 supplement to the Nationwide Destination B (2.0) and Nationwide Destination Navigator (2.0) summary prospectuses, dated May 1, 2025, corrects an incorrect class reference for the NVIT Fidelity Institutional AM® Emerging Markets Fund from a prior supplement dated May 29, 2025. Updated performance as of December 31, 2024, shows a positive 1-year return of 6.28% and 10-year return of 1.30%, but a negative 5-year return of -2.63%. Current expenses are 1.18%, reflecting a temporary fee reduction.
- ·Corrects incorrect class reference for NVIT Fidelity Institutional AM® Emerging Markets Fund from supplement dated May 29, 2025
02-03-2026
02-03-2026
Nationwide Jefferson National VA Separate Account 1 filed a prospectus supplement dated March 2, 2026, correcting incorrect fee and return information for the NVIT International Equity Fund (Class II), which is no longer available for transfers or new purchase payments effective October 24, 2025. Updated expenses are 1.23% (reflecting a temporary fee reduction) with no low cost fund platform fee. Average annual total returns as of December 31, 2024, show 11.01% (1-year), 6.92% (5-year), and 5.77% (10-year).
- ·Prospectus references: Monument Advisor and Monument Advisor Select dated May 1, 2025; Monument Advisor New York and Monument Advisor Select New York dated July 1, 2025.
- ·Previous supplement with errors dated October 10, 2025.
- ·SEC File Number: 333-288440.
03-03-2026
Haemonetics Corporation repaid in full its outstanding 0.00% Convertible Senior Notes due 2026 on March 2, 2026, paying an aggregate $300 million in cash representing the principal amount. The repayment was funded by cash on hand and borrowings under the company's revolving credit facility, with no holders exercising conversion rights and related capped call transactions expiring at maturity.
- ·Filing date: March 3, 2026
- ·Repayment date (earliest event): March 2, 2026
03-03-2026
Tonix Pharmaceuticals Holding Corp. (TNXP) received Nasdaq approval to uplist its common stock from the Nasdaq Capital Market to the Nasdaq Global Select Market, effective at market open on March 3, 2026. This transition reflects compliance with higher financial and corporate governance standards, potentially boosting visibility, liquidity, and institutional investor access. CEO Seth Lederman described the uplisting as a key milestone to drive shareholder value.
- ·TONMYA is the first new fibromyalgia treatment in over 15 years.
- ·Company's 10-K for year ended December 31, 2024, filed March 18, 2025.
03-03-2026
RAPT Therapeutics, Inc. announced the final results of the tender offer by Redrose Acquisition Co., a wholly-owned subsidiary of GlaxoSmithKline LLC (indirectly GSK plc), which expired on March 2, 2026, with 30,137,567 shares (93.36% of outstanding shares) validly tendered, satisfying the minimum condition. All tendered shares were accepted for payment at $58.00 per share in cash. The merger is expected to complete on March 3, 2026, making RAPT a wholly-owned subsidiary of Parent, with shares to be delisted from Nasdaq Global Select Market.
- ·Offer and withdrawal rights expired one minute past 11:59 P.M., Eastern Time, on March 2, 2026.
- ·Merger without stockholder vote under Section 251(h) of the DGCL.
- ·Termination of Exchange Act registration and suspension of reporting obligations planned promptly after merger.
- ·CUSIP Number: 75382E208
03-03-2026
Knightscope, Inc. (NASDAQ: KSCP) completed the acquisition of Event Risk LLC, a nationwide provider of armed/unarmed security guarding and executive protection services with consistent double-digit growth, positive EBITDA, and strong Fortune 1000 client relationships. The transaction combines Event Risk's licensed response capabilities with Knightscope's autonomous robotics and AI platforms to create a unified managed security service model, enabling participation in guarding-required RFPs and increasing deployment density/recurring revenue. No specific deal terms or financial impacts were disclosed beyond cash, stock, and contingent consideration.
- ·Lake Street Capital Markets, LLC served as exclusive advisor to Knightscope.
- ·Plans to present integrated security model at GSX conference in Atlanta, Georgia later in 2026.
- ·Intends to evaluate additional acquisitions to expand managed service capabilities.
03-03-2026
Versus Systems Inc. announced the renewal of its partnership with the Texas Rangers for the Filter Fan Cam product, extending through the 2026 Major League Baseball season and building on a successful five-year collaboration. The agreement introduces next-generation enhancements, including a high-performance C++ tracking engine, 60 frames per second camera driver, improved facial tracking, and dynamic face paint filters to boost fan engagement and create revenue opportunities. No financial terms or metrics were disclosed.
- ·Deployment at Globe Life Field during Texas Rangers home games.
- ·Filing date: March 3, 2026
03-03-2026
Viper Energy, Inc. filed an 8-K on March 3, 2026, providing an updated unaudited pro forma condensed combined statement of operations for the year ended December 31, 2025, giving effect to the Sitio Acquisition (consummated August 19, 2025) and Endeavor Drop-Down (consummated May 1, 2025) as if each occurred on January 1, 2025. The filing also includes a press release dated March 2, 2026, announcing the launch of a secondary common stock offering by Diamondback Energy, Inc., EnCap Energy Capital Fund X, L.P., and Tumbleweed Royalty IV, LLC. No specific financial metrics from the pro forma are detailed in the filing body.
- ·Sitio Acquisition agreement dated June 2, 2025; amended 8-K on August 25, 2025
- ·Endeavor Drop-Down agreement dated January 30, 2025; prior 8-K filed May 5, 2025
- ·Exhibit 99.1: Press release dated March 2, 2026
- ·Exhibit 99.2: Pro forma for year ended December 31, 2025
03-03-2026
Mobix Labs, Inc. filed an 8-K on March 3, 2026, attaching its Amended and Restated Bylaws (Exhibit 3.1), which detail governance rules for stockholder meetings. The bylaws specify that special meetings can be called by the Board, Chairperson, CEO, President, or Qualified Stockholders holding at least 10% voting power (with requests subject to 30-90 day windows relative to annual meetings), while annual meetings may be held or postponed by the Board if required by law. Quorum requires one-third of voting power, with notice periods of 10-60 days and other procedural rules outlined.
- ·Special meeting requests must be delivered not earlier than 30 days after annual meeting and not later than 90 days prior to next annual meeting.
- ·Notice of meetings given 10-60 days in advance.
- ·Quorum at stockholder meetings: presence of holders of one-third voting power.
- ·Proxies valid up to 3 years unless specified otherwise.
- ·Record date for notice: not more than 60 nor less than 10 days before meeting.
03-03-2026
Flowco Holdings Inc. (NYSE: FLOC) completed its acquisition of Valiant Artificial Lift Solutions, LLC on March 3, 2026, for total consideration of approximately $200 million net of Valiant's cash, comprising $170 million in net cash funded by its ABL facility and 1.5 million shares of Class A common stock. The deal enhances Flowco's artificial lift portfolio with Valiant's ESP capabilities, enabling earlier well support and expanded presence in the Permian and other basins. CEO Joe Bob Edwards emphasized the cultural alignment and strategic synergies for delivering optimized solutions.
- ·Funded using available capacity under ABL facility
- ·Share amount originally determined based on 10-day volume-weighted average price as of January 30, 2026
- ·References Risk Factors in Form 10-K for fiscal year ended December 31, 2025
03-03-2026
Protagenic Therapeutics, Inc. appointed William (Bill) Nichols, Jr., age 51, as President effective February 3, 2026. Mr. Nichols brings senior commercial leadership experience from bluebird bio, Dova Pharmaceuticals (now Sobi), and Bristol-Myers Squibb. Compensation includes an annual base salary of $350,000, eligibility for a 40% target bonus, and an option grant equal to approximately 1.0% of the company's fully diluted shares.
- ·No arrangements or understandings with other persons for Mr. Nichols' selection as officer.
- ·No family relationships between Mr. Nichols and any directors or executive officers.
- ·No transactions involving Mr. Nichols requiring disclosure under Item 404(a) of Regulation S-K.
03-03-2026
Skyworks Solutions CEO Phil Brace highlighted strong execution with four consecutive quarters of beat and raise, trajectory improvement in content at largest customer Apple, and the historic Qorvo acquisition enhancing GaN and RF capabilities for long-term growth in wireless tech through 2030. However, he noted ongoing challenges including flattish Apple content (stabilization rather than growth), prior loss of half a key socket to Broadcom, inflationary input costs like gold and PCBs, and external overhangs such as memory shortages and tariffs. Overall, Brace expressed optimism tempered by caution, emphasizing technology leadership amid a hyper-competitive market.
- ·Skyworks maintaining low inventory and monitoring book-to-bill amid potential memory shortages.
- ·No price concessions requested by smartphone customers despite memory cost pressures.
- ·Apple shifting to internal modem platform, providing ecosystem clarity.
03-03-2026
Limbach Holdings, Inc. reported record FY2025 revenue of $646.8M, up 24.7% YoY from $518.8M, with ODR revenue surging 40.6% to $485.7M (75.1% of total) and adjusted EBITDA rising 28.4% to $81.8M; Q4 revenue hit a record $186.9M (+30.1% YoY). However, GCR revenue declined 7.0% YoY to $161.1M for the year and 13.0% to $41.9M in Q4, total gross margin fell to 26.2% from 27.8%, and ODR gross margin dropped to 26.7% due to the Pioneer Power acquisition. The company announced a $50M share repurchase program and provided 2026 guidance of $730M-$760M revenue and $90M-$94M adjusted EBITDA.
- ·Q4 2025 gross margin declined to 25.7% from 30.3% YoY; ODR gross margin fell to 25.1% from 32.1% due to Pioneer Power integration.
- ·FY2025 total organic revenue growth was 3.6%; ODR organic growth 17.0%.
- ·2026 guidance: Revenue $730M-$760M, Adjusted EBITDA $90M-$94M, ODR organic growth 9-12%, gross margin 26-27%.
- ·Acquisitions contributed $109.1M to FY2025 revenue growth.
- ·Net cash from operations: Q4 $28.1M (vs $19.3M), FY $45.7M (vs $36.8M).
03-03-2026
Stardust Power Inc. filed a 424B4 prospectus registering up to 2,000,000 shares of common stock (par value $0.0001) for resale by B. Riley Principal Capital II, LLC under a Common Stock Purchase Agreement dated February 12, 2026, enabling the company to elect sales of common stock for up to $10M aggregate gross proceeds. The company will not receive proceeds from the selling stockholder's resales but bears registration expenses, including legal and accounting fees. Common stock traded on Nasdaq under SDST closed at $3.43 on February 27, 2026; no performance declines noted as this is a financing facility disclosure.
- ·One-for-ten reverse stock split effected on September 8, 2025; all share data adjusted accordingly.
- ·Business Combination closing date: July 8, 2024.
- ·Company qualifies as emerging growth company and smaller reporting company with reduced disclosure requirements.
- ·Cash Holdback: 10% of net sales to B. Riley Principal Capital II until reaching Prior Transaction Cash Holdback Amount (one-third of $471,943 cash make-whole).
- ·Beneficial Ownership Limitation: 4.99% of outstanding shares.
03-03-2026
News Corporation disclosed under Item 8.01 that, as part of its ongoing $1 billion stock repurchase program for Class A and Class B common stock, it provided daily transaction information to the Australian Securities Exchange (ASX) as required. Exhibits 99.1 and 99.2 contain the specific disclosures made on respective dates noted therein. The filing includes forward-looking statements on potential repurchases, subject to market conditions and other factors.
- ·Date of earliest event reported: March 2, 2026
- ·Filing Date: March 3, 2026
- ·Securities registered: Class A Common Stock (NWSA, par value $0.01) and Class B Common Stock (NWS, par value $0.01) on Nasdaq Global Select Market
- ·Company address: 1211 Avenue of the Americas, New York, New York 10036
- ·Registrant details: Delaware incorporation, Commission File Number 001-35769, IRS Employer ID 46-2950970
03-03-2026
Cal-Maine Foods, Inc. (CALM) announced the acquisition of shell egg, egg products, and prepared foods assets from Creighton Brothers LLC, including Crystal Lake LLC, for approximately $130 million, subject to customary post-closing adjustments. The transaction is funded entirely with available cash on hand. No prior period comparisons or financial impacts were disclosed in the filing.
- ·Acquisition announced on March 2, 2026
- ·Press release attached as Exhibit 99.1
03-03-2026
SmartStop Self Storage REIT, Inc. disclosed same-store metrics for facilities stabilized since January 1, 2025 (excluding four properties), showing physical occupancy slightly down YoY to 92.1% as of December 31, 2025 (from 92.3%), up to 92.7% in January 2026 (from 92.1%), and flat at 92.7% in February 2026. However, monthly web rates declined YoY across all periods (e.g., -4.1% to $0.93 in Dec, -13.3% to $0.91 in Jan), as did move-in rates (e.g., -15% to $0.85 in Jan), while in-place rates were flat to slightly up (e.g., +0.6% to $1.65 in Feb). This provides a mixed operational picture with stable occupancy but softening new customer pricing.
- ·Same-store facilities defined as stabilized and comparable properties included in consolidated results since January 1, 2025.
- ·Disclosure furnished under Item 7.01, not deemed 'filed' for liability purposes.
03-03-2026
Karyopharm Therapeutics Inc. entered into a Second Amendment to its Credit and Guaranty Agreement and a Forbearance Agreement on February 27, 2026, allowing deferral of certain principal and interest payments until September 2026 and maintaining a $10.0M minimum liquidity covenant through October 10, 2026, conditioned on raising at least $25.0M in equity proceeds by June 10, 2026. This aims to extend the liquidity runway beyond Q2 2026 and anticipated top-line data from the Phase 3 XPORT-EC-042 trial in mid-2026. However, the agreements do not waive defaults, effectiveness depends on the capital raise, and the filing notes substantial doubt about the company's ability to continue as a going concern.
- ·Prepayment premium of 5% extended through June 10, 2026, or to May 8, 2027 if Capital Raise Trigger met
- ·Forbearance on payment defaults under 2028 Notes and 2029 Notes until September 30, 2026
- ·Forbearance on liquidity covenant defaults until October 10, 2026
- ·Annual Report on Form 10-K for year ended December 31, 2025 filed February 13, 2026
03-03-2026
Hycroft Mining Holding Corp filed its 2025 Form 10-K on March 3, 2026, reporting a debt-free balance sheet with $181.7M in cash and cash equivalents (rising to $194.1M by Feb 28, 2026), a 55% increase in measured and indicated gold and silver resources to 16.4M oz gold and 562.6M oz silver, and a perfect safety record with 0.00 TRIFR over 1.4M work hours. The company eliminated a net profits royalty for $2.5M, launched a major 2025-2026 drill program (26,000m core + 8,200m RC), and achieved over 950% total shareholder return in 2025, while being added to the MSCI Small Cap Index. However, the Preliminary Economic Assessment (PEA) technical report has been delayed beyond Q1 2026 due to expanded resource scale requiring additional engineering.
- ·Robust metallurgical recoveries of over 82.8% for gold and 77.5% for silver using pressure oxidation for sulfide mineralization.
- ·Initial drill results at Vortex expanded the zone approximately 70 meters northwest and 90 meters down-dip west, remaining open in all directions.
- ·2026 plans include accelerating drilling on high-grade silver systems, testing new targets, completing trade-off analysis for pressure oxidation vs. roasting, and in-fill RC drilling for potential heap leach restart.
- ·PEA delay due to resource increase to over one billion tonnes, requiring mine plan updates, TSF redesign, and revised production profiles.
03-03-2026
Themes ETF Trust filed Post-Effective Amendment No. 136 to its Form N-1A registration statement on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 78 (filed November 21, 2025) for nine proposed Leverage Shares 3X Target Long Daily ETF series until March 18, 2026. The delayed series target Artificial Intelligence, China Technology, Equal Weight US 500, Gold Miners, India, Magnificent 7, Quantum Computing, Uranium, and World Markets. No financial performance data or period-over-period comparisons are provided, as this is an administrative filing incorporating prior amendments by reference.
- ·File Nos.: 333-271700, 811-23872
- ·Registrant address: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830
- ·Telephone: (646) 206-1788
- ·Incorporates Part C from Post-Effective Amendment No. 135 filed February 27, 2026
03-03-2026
First Trust Series Fund filed a Rule 497K Summary Prospectus dated March 2, 2026, for the First Trust Preferred Securities and Income Fund, outlining shareholder fees (up to 4.50% sales load for Class A), annual operating expenses ranging from 1.06% (Class I after waivers) to 5.10% (Class R3 before waivers), and a strategy investing at least 80% in preferred securities with financial sector concentration. The fund's portfolio turnover was 48% in the most recent fiscal year, while fee waivers cap expenses at 1.15% through March 1, 2027 (then 1.50% until 2036). No performance data or period comparisons are provided.
- ·Fund invests at least 60% in investment grade securities and up to 40% in high yield ('junk bonds').
- ·Concentration of at least 25% in financial sector including banks, REITs, and insurance.
- ·Fee waivers and reimbursements subject to potential recoupment over three years.
03-03-2026
Golub Capital Private Credit Fund issued a quarterly update for the fourth calendar quarter of 2025 on March 2, 2026, furnished under Item 7.01 Regulation FD Disclosure as Exhibit 99.1. The filing confirms the company is a Delaware-incorporated entity with principal offices at 200 Park Avenue, 25th Floor, New York, NY 10166. No specific financial metrics or performance data are detailed in the Form 8-K itself.
- ·Commission File Number: 814-01555
- ·IRS Employer Identification No.: 92-2030260
- ·Registrant’s telephone number: (212) 750-6060
03-03-2026
American Honda Finance Corporation (AHFC) increased its U.S. commercial paper program capacity from $7B to $8.5B on March 2, 2026, a 21.4% expansion to support short-term borrowings from $100K for 1-270 days at fixed interest rates. The filing lists various outstanding Medium-Term Notes, Series A, traded on the NYSE with maturities from 2026 to 2032. No declines or flat metrics reported.
- ·Commercial paper borrowings available for periods from 1 day to 270 days.
- ·All listed Medium-Term Notes trade on the New York Stock Exchange under symbols such as HMC/26A, HMC/26F.
03-03-2026
Leidos, Inc., a subsidiary of Leidos Holdings, Inc. (LDOS), issued $600M of 4.100% senior notes due 2029 and $800M of 5.000% senior notes due 2036, generating approximately $1,387M in net proceeds to fund a portion of the proposed acquisition of ENTRUST pursuant to the January 23, 2026 Stock Purchase Agreement. The notes are senior unsecured obligations guaranteed by Leidos Holdings, with interest payable semi-annually starting September 15, 2026, and include special mandatory redemption at 101% if the acquisition is not completed by August 14, 2026 or later extended date. The issuance is not conditioned on the acquisition closing.
- ·Notes issued under October 2020 Indenture supplemented by officers’ certificate dated March 2, 2026.
- ·Early redemption with make-whole premium before Feb 15, 2029 (2029 Notes) or Dec 15, 2035 (2036 Notes); par redemption thereafter.
- ·Change of control repurchase offer at 101% of principal.
- ·Acquisition Agreement dated January 23, 2026; End Date August 14, 2026.
03-03-2026
BlackRock ETF Trust filed a Summary Prospectus dated February 27, 2026, effective March 3, 2026, for the iShares Prime Money Market ETF (PMMF, NYSE: PMMF), an actively managed ETF seeking high current income consistent with liquidity and principal stability, with low total annual operating expenses of 0.20%. The Fund invests primarily in U.S. dollar-denominated money market instruments maturing in 397 days or less, maintaining a dollar-weighted average maturity of 60 days or less and average life of 120 days or less. While fees are minimal, the prospectus highlights principal risks including credit risk, interest rate risk, repurchase agreement risk, and potential liquidity fees up to 2%.
- ·Securities maturing in 397 days or less
- ·Dollar-weighted average maturity of 60 days or less
- ·Dollar-weighted average life of 120 days or less
- ·Qualifies as money market fund under Rule 2a-7
- ·Cash creations and redemptions (no in-kind)
- ·Prospectus available at https://www.blackrock.com/prospectus or by calling 1-800-474-2737
03-03-2026
American Clean Resources Group, Inc. (ACRG) filed an 8-K on March 3, 2026, disclosing an event under Item 5.02 related to the departure of directors or certain officers, or election/appointment of directors or officers, effective March 2, 2026. No specific details on the individuals involved, reasons for departure, or any compensatory arrangements were provided in the filing metadata. No financial metrics, performance changes, or impacts were reported.
- ·Company CIK: 0000773717
- ·EIN: 840991764
- ·State of Incorporation: NV
- ·Fiscal Year End: December 31
- ·Business Address: 12567 West Cedar Drive, Suite 104, Lakewood, CO 80228-2039
03-03-2026
THOR Industries reported fiscal 2026 Q2 net sales of $2.13B, up 5.3% YoY, with YTD sales at $4.51B (+8.5% YoY), driven by strong North American Motorized segment growth (+29.3% sales, +28.3% units) and Adjusted EBITDA of $98.1M (+12.7% YoY). However, North American Towable sales declined 14.2% YoY with units down 23.0%, European gross margins fell 220 bps to 11.0% amid restructuring costs, and overall gross margin dipped 30 bps to 11.8%. Full-year FY26 guidance remains unchanged at $9.0-9.5B sales and $3.75-4.25 diluted EPS.
- ·North American Towable order backlog $621.5M as of Jan 31, 2026 (-42.1% YoY)
- ·North American Motorized order backlog $1.04B as of Jan 31, 2026 (-7.3% YoY)
- ·European order backlog $1.83B as of Jan 31, 2026 (+11.4% YoY)
- ·European restructuring costs $5.1M in Q2 FY26
- ·FY26 tax rate guidance 24-26% excluding discrete items
03-03-2026
Westinghouse Air Brake Technologies Corporation (Wabtec) filed an 8-K on March 3, 2026, disclosing under Regulation FD that it posted an investor presentation to its investor relations website, attached as Exhibit 99.1. The filing includes standard cautionary language on forward-looking statements referencing initiatives like Integration 3.0, portfolio optimization, and a 5-year outlook established in February 2025. No specific financial metrics, period comparisons, or performance data are provided in the filing itself.
- ·Investor presentation dated March 3, 2026, furnished as Exhibit 99.1 and not deemed 'filed' under Section 18 of the Exchange Act.
- ·5-year outlook originally established in February 2025.
03-03-2026
On March 3, 2026, ONITY GROUP INC. (ONIT) filed an 8-K under Items 7.01 and 9.01, disclosing that Sean O’Neil, Executive Vice President and Chief Financial Officer, hosted an investor presentation at the J.P. Morgan 2026 Global Leveraged Finance Conference. The investor presentation materials are attached as Exhibit 99.1. This information is not deemed 'filed' under Section 18 of the Exchange Act.
- ·Filing registered under Florida jurisdiction, Commission File Number 1-13219, IRS Employer Identification No. 65-0039856.
- ·Principal executive offices: 1661 Worthington Road, Suite 100, West Palm Beach, Florida 33409.
- ·Common Stock ($0.01 Par Value) trades on NYSE under symbol ONIT.
03-03-2026
Chiron Real Estate LP (Issuer) and Chiron Real Estate Inc. (Parent), affiliates of Global Medical REIT Inc., entered into a Master Note and Guaranty Agreement dated March 2, 2026, with NYL Investors LLC and New York Life affiliates, establishing an uncommitted facility for issuing senior promissory notes in series with aggregate principal not exceeding the Available Facility Amount. Notes can be requested in minimum increments of $10M, with maturities and average lives up to 10 years, during an Issuance Period of up to three years. The facility provides flexible access to capital without current obligations or draws.
- ·Issuance Period extends until the earlier of the third anniversary of March 2, 2026, or other termination events.
- ·Individual Notes mature no more than 10 years from issuance date with average life no more than 10 years.
- ·Facility is explicitly uncommitted; New York Life has no obligation to purchase Notes or quote spreads.
03-03-2026
Wyndham Hotels & Resorts appointed Amit Sripathi as Chief Financial Officer effective immediately, succeeding interim CFO Kurt Albert, and named David Wilner as Chief Development Officer – North America, both reporting to President and CEO Geoff Ballotti. These leadership changes aim to drive FeePAR accretive net room growth and shareholder value, building on achievements like 20 consecutive quarters of organic net room growth. The company reaffirmed its full-year 2026 outlook originally provided in Q4 2025 earnings.
- ·Wyndham is the world’s largest hotel franchising company by number of franchised properties
- ·Filing date: March 03, 2026
- ·Sripathi joined Wyndham in 2021; Wilner has nearly 8 years at Wyndham and prior 20 years at La Quinta
- ·Outlook reaffirmed from Q4 2025 earnings released February 18, 2026
03-03-2026
OPENLANE, Inc. announced an Investor Day event on March 3, 2026, beginning at 8:30 a.m. Eastern Time, as previously scheduled. The presentation slides used during the event are attached as Exhibit 99.1 and incorporated by reference under Item 7.01 Regulation FD Disclosure. The filing includes standard forward-looking statements disclaimers referencing risks in the Company's Form 10-K for the year ended December 31, 2025.
- ·Event held in connection with previously announced schedule
- ·Securities: Common Stock, par value $0.01 per share (OPLN on New York Stock Exchange)
- ·Principal executive offices: 11299 N. Illinois Street, Suite 500, Carmel, Indiana 46032
03-03-2026
Honeywell International Inc. announced on March 3, 2026, the filing of a Form 10 registration statement by its wholly owned subsidiary, Honeywell Aerospace Inc., with the SEC in connection with the anticipated spin-off of its Aerospace business into an independent, publicly traded company. A press release detailing the announcement is furnished as Exhibit 99.1. The filing includes extensive cautionary language on forward-looking statements, highlighting risks such as potential delays, failure to complete the Spin-Off, disruptions to operations, and uncertain financial impacts post-separation.
03-03-2026
Kontoor Brands reported Q4 2025 revenue of $1.02B, up 46% YoY driven by 36pp from Helly Hansen acquisition, though excluding HH and 53rd week it grew only 2%; full-year revenue reached $3.15B, up 21% YoY including 18pp from HH, with Wrangler up 6% but Lee down 5%. Adjusted EPS rose 26% to $1.73 in Q4 and 14% to $5.59 FY, with gross margins expanding; 2026 outlook projects revenue growth of 9% to $3.40-3.45B and adjusted EPS up 15-16% to $6.40-6.50, tempered by tariff increases. The company reduced inventory 26% QoQ to $567M, made a $200M debt payment, and repurchased $25M in shares.
- ·Lee international revenue decreased 6% YoY in Q4.
- ·Adjusted operating income ex Helly Hansen increased 9% YoY in Q4 to $110M.
- ·Pro-forma net leverage ratio at 2.0x end Q4.
- ·Quarterly dividend $0.53/share, payable March 20, 2026.
- ·$190M remaining under share repurchase authorization.
- ·2026 outlook assumes 15% tariff on new inventory receipts and 20% on pre-Feb 24 inventory.
- ·Cash from operations 2026 expected ~$425M; capex $45M.
03-03-2026
AutoZone reported Q2 FY26 net sales of $4.3B, up 8.1% YoY, with domestic SSS up 3.4% and total company SSS up 3.3% on a constant currency basis, alongside opening 64 net new stores globally. However, gross margin declined 137 bps to 52.5% due to a LIFO charge, operating profit fell 1.2% to $698.5M, net income dropped to $468.9M from $487.9M, and diluted EPS decreased to $27.63 from $28.29. YTD net sales rose 8.2% to $8.9B, but operating profit declined 4.2% amid higher expenses.
- ·Net inventory per store: negative $105K (improved from negative $161K YoY)
- ·Operating expenses as % of sales: 36.1% vs 36.0% prior year
- ·Adjusted debt to EBITDAR: flat at 2.5x
- ·Expects to open 350-360 stores for full FY26
- ·Conference call: March 3, 2026 at 10:00 a.m. ET; replay through March 31, 2026
03-03-2026
Versant Media Group reported full-year 2025 revenue of $6.69B, down 5.3% YoY from $7.06B amid declines in linear distribution (-5.4%), advertising (-8.9%), and content licensing (-8.5%), while platforms grew 3.9%. Net income attributable to Versant dropped 31.8% to $930M and Adjusted EBITDA fell 14.5% to $2.42B from prior year levels. The company announced a $0.375 per share quarterly cash dividend (payable April 22, 2026) and a Board-approved $1B share repurchase authorization.
- ·Acquired Free TV Networks in January 2026 and INDY Cinema Group in Q4 2025.
- ·Net cash provided by operating activities $2.02B in 2025, down from $2.21B in 2024.
- ·Conference call scheduled for March 3, 2026, at 8:00 a.m. ET.
03-03-2026
Amylyx Pharmaceuticals reported Q4 and FY 2025 financial results, showing reduced R&D expenses of $21.2M (down 7% YoY) and $90.4M (down 13% YoY), SG&A expenses of $15.4M (down 10% YoY Q4) and $62.9M (down 45% YoY FY), and improved net losses of $33.0M (down 12% YoY Q4) and $144.7M (down 52% YoY FY), primarily due to lower spending on AMX0035 offset by avexitide development; however, product revenue was $0, down from $87.4M in FY2024. Cash position stood at $317M as of Dec 31, 2025, down from $344M at Q3 end but up from $177M at end-2024, providing runway into 2028. Pipeline progress includes completed recruitment for Phase 3 LUCIDITY trial of avexitide in PBH with topline data expected Q3 2026.
- ·Avexitide has FDA Breakthrough Therapy Designation for PBH and congenital HI, Orphan Drug Designation for hyperinsulinemic hypoglycemia.
- ·AMX0114 has FDA Fast Track Designation for ALS; Phase 1 LUMINA Cohort 1 (n=12) showed no treatment-related SAEs.
- ·IND-enabling studies for AMX0318 underway, targeting IND filing in 2027.
- ·Total assets $332.6M as of Dec 31, 2025 (up from $193.6M end-2024).
03-03-2026
Brookfield Asset Management Ltd. (BAM) filed an 8-K on March 3, 2026, under Items 8.01 and 9.01, disclosing the issuance of a press release dated March 3, 2026 (Exhibit 99.1). The filing contains no specific financial or operational details from the press release. No performance metrics, positive or negative, are reported.
- ·Securities registered: Class A Limited Voting Shares (BAM) on New York Stock Exchange
- ·Commission File Number: 001-41563
- ·I.R.S. Employer Identification No.: 98-1702516
03-03-2026
ANI Pharmaceuticals, Inc. (ANIP) announced that President & CEO Nikhil Lalwani and members of the executive leadership team will present at the Raymond James & Associates’ 47th Annual Institutional Investors Conference in Orlando, Florida, on March 3, 2026. The company is providing an updated investor presentation (Exhibit 99.1) for use in meetings with investors and analysts. No specific financial metrics or performance data were disclosed in the filing.
- ·Presentation scheduled for March 3, 2026, at the Raymond James 47th Annual Institutional Investors Conference in Orlando, Florida.
- ·Investor presentation filed as Exhibit 99.1 under Item 9.01 and incorporated by reference under Item 7.01.
03-03-2026
Advantage Solutions Inc. reported Q4 2025 revenues of $932.1M, up 4.5% YoY, driven by strong 21.6% growth in Experiential Services, but full-year revenues declined 0.7% to $3.54B amid 10.9% drop in Branded Services. Adjusted EBITDA decreased 7.3% to $87.7M in Q4 and 6.8% to $331.8M for the year, reflecting declines across Branded (down 29.1% Q4) and Retailer Services (down 22.5% Q4), partially offset by Experiential's 114.8% Q4 surge. The company ended with $241M cash (up ~$40M sequentially), ~$55M from divestitures, and anticipates flat to low-single-digit revenue growth and flat to down mid-single-digit Adjusted EBITDA in 2026.
- ·Net Leverage Ratio: 4.4x as of Dec 31, 2025
- ·FY 2026 Outlook: Adjusted Unlevered Free Cash Flow $250-275M; Net Interest Expense $160-170M; Capex $50-60M
- ·Conference call: March 3, 2026, 8:30 am EDT
03-03-2026
Strata Critical Medical reported Q4 2025 revenue of $66.8 million, up 83.5% YoY to a record high, driven by 35.3% organic Logistics revenue growth to $49.2 million and $17.6 million from the new Clinical segment post-Keystone acquisition; full-year 2025 revenue hit $197.1 million (+34.3% YoY) with Adjusted EBITDA of $14.1 million, both beating guidance. However, full-year net loss from continuing operations widened 24.2% YoY to $20.1 million, Q4 operating loss increased 8.5% to $6.4 million, and Q4 operating cash flow was negative $8.3 million amid non-recurring items and working capital needs. The company raised FY2026 guidance to $260-275 million revenue and $29-33 million Adjusted EBITDA.
- ·Gross margin expanded 80bps YoY to 21.6% in Q4 2025 and 70bps to 20.9% FY2025.
- ·Closed $30M undrawn asset-backed credit facility with JP Morgan, expandable to $50M.
- ·Q4 2025 capital expenditures $2.0M primarily for aircraft maintenance and vehicles.
- ·Acquired one additional aircraft in early 2026 for new geographies.
- ·Keystone acquisition closed mid-September 2025.
03-03-2026
Destiny Media Technologies Inc. held its Annual General Meeting on February 27, 2026, where stockholders elected five directors—Frederick Vandenberg, Hyonmyong Cho, S. Jay Graber, David Summers, and David Mossberg—with For votes ranging from 83% to 89% and minimal withholdings. Proposal Two to ratify Davidson and Company LLP as the independent registered public accounting firm for the fiscal year ending August 31, 2026, passed overwhelmingly with 99.5% For votes and negligible opposition.
- ·Annual General Meeting held on February 27, 2026
- ·Filing date: March 3, 2026
- ·Auditor ratification for fiscal year ending August 31, 2026
- ·Exact For votes for Hyonmyong Cho: 3,304,968; Withheld: 416,587
- ·Exact For votes for S. Jay Graber and David Summers: 3,328,348 each; Withheld: 393,207 each
- ·Exact For votes for David Mossberg: 3,304,968; Withheld: 416,587
03-03-2026
Esperion Therapeutics (NASDAQ: ESPR) announced a definitive agreement to acquire Corstasis Therapeutics, adding Enbumyst™ (bumetanide nasal spray), the first FDA-approved nasal loop diuretic for edema in CHF, hepatic, and renal diseases, targeting a U.S. market exceeding $4B. The deal includes an upfront $75M cash payment, up to $180M in regulatory/commercial milestones, and low double-digit royalties on sales, expected to leverage Esperion’s cardiovascular infrastructure for double-digit revenue growth. Transaction closes in Q2 2026, subject to customary conditions, with no current financial declines noted but risks to consummation highlighted.
- ·FDA approval for Enbumyst: September 12, 2025
- ·Conference call: March 3, 2026 at 8:00 am ET
- ·Financed through existing credit facilities and Japanese royalties monetization
- ·Legal advisors: Gibson, Dunn & Crutcher LLP (Esperion), Arnold & Porter Kaye Scholer LLP (Corstasis)
03-03-2026
Best Buy reported Q4 FY26 enterprise revenue of $13.8B, down 1% YoY with comparable sales declining 0.8% due to weakness in home theater and appliances, partially offset by gains in computing and mobile; domestic online comparable sales fell 2.3%. However, operating income margin expanded significantly to 5.2% from 1.6%, driving GAAP diluted EPS to $2.56 from $0.54, while full-year FY26 revenue grew 0.4% to $41.7B with comparable sales up 0.5% YoY and adjusted EPS slightly up to $6.43 from $6.37. The company raised its quarterly dividend 1% to $0.96 per share and issued FY27 guidance for revenue of $41.2B-$42.1B and adjusted EPS of $6.30-$6.60.
- ·Q4 FY26 domestic online sales as % of domestic revenue: 39.0% vs 39.5% prior year.
- ·International Q4 FY26 gross profit rate declined to 20.5% from 21.4%.
- ·Q4 FY26 share repurchases: $73M; FY26 total: $273M dividends + $801M repurchases.
- ·FY27 Q1 guidance: comparable sales ~1%, adjusted operating income rate ~3.9%.
- ·Quarterly dividend payable April 14, 2026 to shareholders of record March 24, 2026.
- ·Q4 FY26 cash and equivalents: $1.7B vs $1.6B prior year.
03-03-2026
Netlist reported Q4 2025 net sales of $75.7M, up 79% QoQ and 121% YoY from $34.3M, with FY 2025 sales at $188.6M, up 28% YoY from $147.1M; gross profit surged to $6.9M in Q4 (up 2,620% YoY) and $11.4M FY (up 297% YoY). However, the company still posted a Q4 net loss of $2.2M (improved 82% YoY) and FY net loss of $24.8M (improved 54% YoY), alongside a working capital deficit of $6.4M and stockholders’ deficit of $5.2M as of Dec 27, 2025.
- ·Accounts payable decreased to $20.6M from $42.3M YoY.
- ·Deferred revenue increased to $30.6M from $0.04M YoY.
- ·Operating expenses declined to $36.95M FY 2025 from $58.11M FY 2024.
- ·Investor conference call scheduled for March 3, 2026 at 12:00 p.m. ET.
03-03-2026
GigaCloud Technology Inc's Audit Committee dismissed KPMG Huazhen LLP as its independent registered public accounting firm effective March 2, 2026, and appointed Grant Thornton LLP for the fiscal year ending December 31, 2026, primarily due to the mandatory five-year audit partner rotation requirement. KPMG's audit reports for fiscal years ended December 31, 2025 and 2024 contained no adverse opinions, qualifications, or modifications, and there were no disagreements or reportable events during those periods or the subsequent interim through March 2, 2026. The company issued a press release announcing the change on March 3, 2026.
- ·KPMG furnished a letter to the SEC dated March 3, 2026, agreeing with the company's statements (Exhibit 16.1).
- ·No prior consultations with Grant Thornton on accounting, auditing, or reporting matters during fiscal years 2024-2025 or interim period.
03-03-2026
908 Devices Inc. reported Q4 2025 revenue of $17.4M, up 21% YoY, and full-year 2025 revenue of $56.2M, up 18% YoY, with positive Adjusted EBITDA of $0.7M in Q4 but a full-year Adjusted EBITDA loss of $9.6M and net loss from continuing operations of $33.3M. Recurring revenue grew 22% YoY to $19.5M (35% of total), installed base expanded 24% to 3,736 devices, and cash position strengthened to $113.0M; however, GAAP gross margin remained flat at 51% for the full year. The company guides for 2026 revenue of $64.5M-$67.5M, implying 15-20% growth.
- ·OEM and funded partnership revenue: $1.0M in Q4 2025 (vs $0.7M Q4 2024); $3.0M FY 2025 (vs $1.6M FY 2024)
- ·Recurring revenue: 32% of Q4 2025 total revenue (vs 35% FY)
- ·Operating expenses Q4 2025: $6.1M (down from $23.4M Q4 2024 due to one-time items including goodwill impairment and contingent consideration changes)
- ·2026 revenue guidance: $64.5M to $67.5M
03-03-2026
EVgo Inc. reported record Q4 2025 total revenue of $118M, up 75% YoY, and FY 2025 revenue of $384M, up 50% YoY, with charging network revenue hitting $64M in Q4 (+37% YoY) and $218M for the year (+40% YoY); network throughput grew 18% YoY to 99 GWh in Q4 and 32% to 366 GWh FY. The company achieved positive Adjusted EBITDA of $25M in Q4 and $12M FY, a milestone, but reported net losses of $11M Q4 (improved 69% YoY) and $95M FY (improved 25% YoY), alongside high GAAP capex of $49M Q4 (+108% YoY) and FY operating cash flow slightly negative at -$8M. 2026 guidance projects revenue of $410-470M but Adjusted EBITDA of -$20M to $20M, signaling potential flat or declining profitability.
- ·EVgo public network stalls: 3,890 as of Dec 31, 2025 (+13% YoY)
- ·EVgo dedicated network stalls: 140 (+27% YoY)
- ·EVgo eXtend™ stalls: 1,070 (+106% YoY)
- ·Q4 gross margin: 38.0% (+2,350 bps YoY); FY: 21.0% (+960 bps YoY)
- ·Autocharge+ accounted for 30% of Q4 charging sessions
- ·PlugShare: 7.8M registered users, 10.1M check-ins since inception
- ·2026 guidance: Total revenue $410M-$470M; Adjusted EBITDA -$20M to $20M
03-03-2026
Target Corporation (TGT) reported fourth-quarter 2025 net sales of $30.5B, down 1.5% YoY from $30.9B, with comparable sales declining 2.5% due to a 3.9% drop in store sales partially offset by 1.9% digital growth, though Food & Beverage, Beauty, Toys, Essentials, and Home categories grew and non-merchandise sales rose over 25%. Full-year 2025 net sales decreased 1.7% to $104.8B from $106.6B, GAAP EPS fell to $8.13 from $8.86, and Adjusted EPS was $7.57 in line with expectations despite declines in operating income. For 2026, guidance calls for ~2% net sales growth, operating margin up ~20 bps to 4.8%, and EPS of $7.50-$8.50.
- ·Q4 gross margin rate improved to 26.6% from 26.2% YoY due to lower shrink and supply chain costs.
- ·Full-year SG&A expense rate flat at 20.6% YoY on a GAAP basis, but Adjusted rose to 20.9%.
- ·Net interest expense increased to $445M full-year from $411M due to higher debt levels.
- ·Cash provided by operating activities $6.6B full-year, down from $7.4B.
- ·Inventory decreased to $12.3B from $12.7B as of Jan 31, 2026.
03-03-2026
Passage BIO, Inc. filed a Form 8-K on 2026-03-03 disclosing results of operations and financial condition under Item 2.02, Regulation FD disclosure under Item 7.01, and financial statements and exhibits under Item 9.01. This multi-item filing pertains to financial results with no specific revenue, earnings, or balance sheet metrics provided. No positive or negative performance indicators, guidance changes, or scheduled events were detailed.
03-03-2026
CalciMedica reported a net loss of $29.6M for 2025, up from $13.7M in 2024, driven by $16.9M worse other income/expense including fair value adjustments and interest on a new promissory note, though R&D expenses rose modestly to $15.2M (+5%) and G&A fell to $7.9M (-19%). Cash position stood at $13.0M, sufficient into Q4 2026, amid clinical updates including no drug-related toxicity in the discontinued Phase 2 KOURAGE AKI trial and plans to finalize Auxora pivotal program design in AP during 1H 2026. CM5480 preclinical data in PAH was published, with IND anticipated in 2027.
- ·Phase 2 KOURAGE trial discontinued in Jan 2026 due to IDMC-recommended reevaluation of mortality imbalance, possibly from baseline disease severity; FDA discussions planned for Q2 2026.
- ·High-dose Auxora in CARPO trial: 100% reduction in new-onset severe respiratory failure (p<0.05), stratified win ratio 1.640 (p<0.05); no drug-related TESAEs or deaths.
- ·Total assets declined to $13.6M from $19.8M; stockholders' equity turned negative at -$6.6M from +$14.4M.
03-03-2026
On March 2, 2026, Trinseo PLC received NYSE notice to delist its ordinary shares (TS: NYSE) due to average market capitalization below the $15M continued listing standard over 30 trading days, resulting in immediate trading suspension. This follows December 12, 2025 notices for prior non-compliance with $50M market cap/equity thresholds and 30-day average share price below $1.00. Delisting via Form 25 will be effective 10 days post-filing, with potential OTC Pink trading but risks including Irish stamp duty at 1%, DTC ceasing settlements, and reduced liquidity.
- ·Trading in ordinary shares suspended immediately upon NYSE notice.
- ·Post-delisting transfers subject to Irish stamp duty at 1% unless exempt.
- ·DTC will cease clearing/settling trades and transfer positions to Computershare.
- ·No impact expected on business operations, partner/employee relationships, or SEC reporting.
03-03-2026
Antero Resources Corporation announced on March 3, 2026, its participation in the Raymond James & Associates’ 47th Annual Institutional Investors Conference. Presentation materials for the conference are available on the Company's website at www.anteroresources.com. The disclosure under Item 7.01 is not deemed 'filed' for liability purposes.
03-03-2026
On March 3, 2026, TXNM Energy, Inc. entered into a Distribution Agreement with sales agents BofA Securities, Inc., MUFG Securities Americas Inc., and Scotia Capital (USA) Inc., and forward purchasers Bank of America, N.A., MUFG Securities EMEA plc, and The Bank of Nova Scotia, enabling the potential sale of up to $125 million of its common stock through at-the-market offerings. The agreement also allows for forward stock purchase transactions, with no obligation to make any sales and commissions up to 2% of gross sales price per share. The company expects net proceeds from physical settlements of forward agreements but may elect cash or net share settlements, potentially receiving no proceeds or owing amounts.
- ·Sales may be made on NYSE, through market makers, electronic networks, or privately negotiated transactions including blocks.
- ·Forward Agreements allow Forward Purchasers to borrow and sell shares to hedge; Company receives no proceeds from borrowed share sales.
- ·Registration Statement on Form S-3ASR effective February 28, 2025, supplemented by prospectus dated March 3, 2026.
- ·Agreement terminable by Company or counterparties upon prior written notice.
03-03-2026
Saia, Inc. filed an 8-K on March 3, 2026, announcing the issuance of a press release with shipment and tonnage data for January and February 2026 under Item 8.01 Other Events. The press release is attached as Exhibit 99.1. No specific quantitative data from the press release is detailed in the filing body.
- ·Filing covers shipment and tonnage data specifically for January 2026 and February 2026
- ·Filed under Items 8.01 (Other Events) and 9.01 (Financial Statements and Exhibits)
03-03-2026
Scholar Rock reported Q4 and full year 2025 net losses widening to $91.0M ($0.88/share) and $377.9M ($3.29/share) from $66.5M ($0.61/share) and $246.3M ($2.47/share) in 2024, driven by sharp G&A increases to $45.0M (Q4) and $176.2M (full year) despite slight Q4 R&D decline, with no revenue recorded. Positively, cash stood at $367.6M as of Dec 31, 2025 bolstered by $60.4M warrant exercises, and a new $550M debt facility was secured from Blue Owl Capital to fund apitegromab commercialization. Pipeline advances include planned BLA resubmission and US launch in 2026 post-FDA reinspection of Catalent, EMA decision mid-2026, and Phase 2 initiations for FSHD and OPAL ongoing.
- ·Stock-based compensation Q4 2025: $19.4M (net loss), $5.3M (R&D), $14.1M (G&A); full year 2025: $75.6M (net loss), $20.7M (R&D), $54.9M (G&A)
- ·Debt facility matures February 2032
- ·No revenue recorded in any periods
03-03-2026
Roivant Sciences Ltd. announced via press release that the U.S. FDA has accepted the New Drug Application (NDA) for brepocitinib, filed by its subsidiary Priovant Therapeutics, for the treatment of dermatomyositis and granted Priority Review. This regulatory milestone advances the potential approval timeline for the drug. No financial or comparative performance data was disclosed.
- ·Filing date: March 3, 2026
- ·Press release date: March 3, 2026
- ·U.S. FDA granted Priority Review to the NDA
03-03-2026
Ziff Davis, Inc. entered into a Securities Purchase Agreement on March 2, 2026, to sell its Connectivity division to Accenture Inc. for an aggregate purchase price of $1.2 billion in cash, subject to customary adjustments and regulatory approvals. The transaction closing is uncertain due to required approvals and other conditions, as highlighted in forward-looking statements noting risks such as economic downturns and regulatory hurdles. A press release was issued on March 3, 2026, with full details to be provided in a separate 8-K filing.
- ·Filing includes Exhibit 99.1: Press Release dated March 3, 2026.
- ·Separate Current Report on Form 8-K will provide additional information on the Purchase Agreement.
- ·Registrant details: Delaware incorporation, Commission File Number 0-25965, I.R.S. Employer Identification No. 47-1051457, principal offices at 360 Park Ave S., 17th Floor, New York, New York 10010.
03-03-2026
L.B. Foster reported strong Q4 2025 results with net sales of $160.4M, up 25.1% YoY driven by 23.7% Rail and 27.3% Infrastructure growth, Adjusted EBITDA of $13.7M (+89.0% YoY), and operating cash flow of $22.2M used to reduce debt to $42.8M (leverage 1.0x). However, new orders fell 5.5% YoY, gross margins declined 260 bps to 19.7% due to UK Rail weakness and restructuring charges, and full-year 2025 sales grew only 1.7% to $540.0M with gross profit down 3.7%. The company issued 2026 guidance for net sales of $540-580M and Adjusted EBITDA of $41-46M.
03-03-2026
The Cigna Group announced David M. Cordani will retire as CEO effective July 1, 2026, transitioning to Executive Chair, with President and COO Brian Evanko succeeding him as CEO and joining the Board. Under Cordani's nearly 17-year tenure, the company grew from serving 46 million customers with $18B annual revenue to 180 million customer relationships and $275B revenue, delivering over 750% total shareholder return. The company reaffirmed its 2026 financial outlook with no changes indicated.
- ·Brian Evanko has nearly 30 years with the company.
- ·David M. Cordani has served nearly 17 years as CEO.
- ·Leadership transition period through July 1, 2026.
03-03-2026
On March 3, 2026, Canton Strategic Holdings, Inc. (Nasdaq: CNTN) issued a press release announcing the election of Mark Wendland to the Board of Directors of the Canton Foundation. The filing incorporates the press release as Exhibit 99.1 under Items 8.01 and 9.01. No financial metrics, performance changes, or other quantitative data were disclosed.
03-03-2026
Civeo reported Q4 2025 revenues of $161.6M, up 7% YoY from $151.0M, with Adjusted EBITDA rising 90% to $21.7M, driven by Australian growth (+9% revenues) and Canadian margin improvement (from -13% to 8%). However, full-year 2025 revenues declined 6% YoY to $638.8M from $682.1M amid Canadian occupancy pressures, resulting in a wider net loss of $20.1M versus $17.1M in 2024, despite Adjusted EBITDA growth to $88.2M (+10% YoY). The company repurchased 2.3M shares for $53.6M (17% of shares outstanding), nearing completion of its initial 20% repurchase authorization, and announced a new 10% authorization.
- ·Full year 2026 guidance: revenues $650M-$700M, Adjusted EBITDA $85M-$90M, capex $25M-$30M.
- ·Net leverage ratio of 1.9x as of Dec 31, 2025.
- ·Q4 2025 free cash flow $15.3M (vs $2.1M in Q4 2024).
- ·Conference call scheduled for March 3, 2026 at 11:00 a.m. ET.
03-03-2026
MarketWise, Inc.'s Board of Directors declared a quarterly cash dividend of $0.25 per share and a special cash dividend of $0.20 per share for holders of Class A common stock on March 2, 2026. A comparable distribution of $0.25 per unit was approved for holders of MarketWise, LLC units. Both the dividend and distribution will be paid on March 31, 2026, to holders of record as of March 18, 2026.
- ·Filing submitted under Items 7.01 (Regulation FD Disclosure) and 9.01 (Financial Statements and Exhibits) of Form 8-K
03-03-2026
Prime Medicine reported FY2025 financial results showing revenue growth of 55% YoY to $4.6M, driven by collaboration revenue, while R&D expenses increased 3.5% to $160.6M, G&A rose 4.3% to $52.3M, and net loss widened 3% YoY to $201.1M amid higher license costs and facility expenses offset by workforce reductions. Cash, cash equivalents, investments, and restricted cash totaled $191.4M as of Dec 31, 2025, down 6% from $204.5M prior year but providing runway into 2027. Pipeline progress includes planned IND/CTA for Wilson Disease in 1H2026 and AATD mid-2026, with initial data in 2027, and BLA submission for PM359 in CGD following FDA alignment.
- ·Total assets $342.7M as of Dec 31, 2025 (up from $297.5M YoY)
- ·Total liabilities $221.9M as of Dec 31, 2025 (up from $144.4M YoY)
- ·Collaboration revenue - related party $4.6M FY2025 (vs $1.6M FY2024)
- ·Net loss per share $(1.35) FY2025 (improved from $(1.65) FY2024)
03-03-2026
Pinterest announces a $1 billion strategic investment from Elliott Investment Management affiliates via convertible senior notes, with proceeds funding a $1 billion accelerated share repurchase (ASR) under a new $3.5 billion share repurchase program authorized by the Board. The company plans an additional $500 million in open-market repurchases via a 10b5-1 plan plus $473 million YTD under the prior program, totaling approximately $2 billion in near-term repurchases in H1 2026. Business highlights include record 2025 revenue, over 600 million MAU, and more than 80 billion monthly searches, with executives expressing confidence in undervalued shares and growth opportunities.
- ·Convertible notes: $1B principal, 1.75% annual interest, initial conversion price ~$22.72/share, mature March 1, 2031.
- ·ASR: $1B payment on March 5, 2026; expected completion by Q2 2026; final shares based on VWAP.
- ·Prior repurchase program authorized November 2024.
03-03-2026
Golden Matrix Group, Inc. (GMGI) filed an 8-K on March 3, 2026, covering Items 3.03 (Material Impairments), 5.03 (Charter/Bylaws Amendments), 8.01 (Other Events), and 9.01 (Exhibits), marked as a Material Event with a subcategory of Charter/Bylaws Amendments. The filing, sized at 1 MB, provides no detailed financial metrics, period-over-period comparisons, or specific outcomes on impairments or amendments in the available EDGAR listing. No improvements or declines are quantifiable from the provided data.
- ·CIK: 0001437925
- ·SIC: 7372 (SERVICES-PREPACKAGED SOFTWARE)
- ·Fiscal Year End: December 31
- ·Business Address: 3651 Lindell Road, Ste D131, Las Vegas, NV 89103
- ·Acc-no: 0001477932-26-001129
03-03-2026
Massimo Group (MAMO) appointed Crystal Mingqui Xu as Chief Financial Officer effective March 2, 2026, as announced on March 3, 2026. Ms. Xu, 46, brings over 23 years of experience in financial management, SEC reporting, and compliance from roles at Nasdaq-listed firms including Haoxi Health Technology Limited (HAO) and Ebang International Holdings Inc. (EBON). She will receive an annual base salary of $100,000, with eligibility for discretionary bonuses and company benefits.
- ·No family relationships between Ms. Xu and any director or executive officer.
- ·No related party transactions or arrangements requiring disclosure under Item 404(a) of Regulation S-K.
- ·Employment Agreement filed as Exhibit 10.1.
03-03-2026
BioCardia, Inc. filed an 8-K on March 3, 2026, disclosing under Regulation FD a press release on late breaking echocardiography results from its Phase III CardiAMP HF Trial for ischemic heart failure with reduced ejection fraction (HFrEF). The results were presented by Dr. Amish Raval, M.D., National Co-Principal Investigator, in a late breaking clinical trial oral presentation session at the Technology and Heart Failure Therapeutics conference.
03-03-2026
Compass Diversified Holdings (CODI) elected Eugene Kim and Glenn Richter to its Board of Directors effective March 1, 2026, increasing the board size from seven to eight following Alexander S. Bhathal's resignation on February 28, 2026, due to other commitments. Kim, with over 25 years in private equity and investment banking, joins the Audit and Compensation Committees, while Richter, a former CFO of International Flavors & Fragrances Inc. and other major firms, joins the Audit and Nominating & Corporate Governance Committees. Company leadership expressed enthusiasm for their expertise in transactions, finance, operations, and transformations to support long-term value creation.
- ·Mr. Kim previously served as Managing Director at Compass Partners International and held roles at Goldman Sachs International and UBS/Warburg Dillon Read.
- ·Mr. Richter served as Senior Executive Vice President and CFO at TIAA, and CFO at RR Donnelley and Sears Roebuck & Co.
- ·Annual Report on Form 10-K for year ended December 31, 2025 filed with SEC on February 27, 2026.
03-03-2026
Hepion Pharmaceuticals, Inc. (OTCQB:HEPA) in-licensed a novel ctRNA biomarker assay from Cirna Diagnostics LLC for early diagnosis and surveillance of hepatocellular carcinoma (HCC) in high-risk cirrhosis patients, complementing its recently acquired mSEPT9 PCR-based assay as part of a strategic shift to liquid biopsy diagnostics. The ctRNA platform, validated across cohorts, offers earlier detection than DNA-based tests and potential expansion to other solid tumors. The global liquid biopsy market is valued at $10B, with the U.S. projected to reach nearly $9B by 2035, addressing current HCC surveillance that misses up to 75% of early-stage cancers.
- ·HCC represents 75-90% of liver cancer cases and is the sixth most common cancer worldwide, third deadliest globally.
- ·ctRNA assay detects mutant circulating tumor RNA for improved specificity in surveillance and early detection.
03-03-2026
Adial Pharmaceuticals entered into a collaboration framework agreement with Molteni Farmaceutici for a proposed exclusive partnership on AD04 commercialization in Europe, expecting an upfront payment, milestone payments, tiered royalties (high single digits to low double digits), and nearly $60M in total potential aggregate value from royalties and milestones upon execution of a definitive agreement. However, the Special Meeting of Shareholders on February 26, 2026, failed to convene due to lack of quorum, necessitating additional meetings every 90 days to seek approval for issuing up to 13,823,512 shares underlying New Warrants. This development advances AD04's European pathway but underscores challenges in obtaining timely stockholder approval.
- ·Molteni granted exclusivity period for due diligence and planning.
- ·New patent filing could extend Loss of Exclusivity (LOE) from 2031 to 2045.
- ·Genetic screening simplified from blood draw to cheek swab.
- ·Inducement Agreement dated November 25, 2025, requires meetings every 90 days until approval or warrants expire.
03-03-2026
Oxford Square Capital Corp. reported Q4 2025 net asset value per share of $1.69, down from $1.95 QoQ and $2.30 YoY, driven by a $12.9M net decrease in net assets from operations including $16.0M unrealized depreciation and $2.3M realized losses. Net investment income was $5.4M ($0.07/share), slightly down QoQ from $5.6M despite total investment income rising to $10.4M from $10.2M, while expenses increased to $5.0M from $4.7M. The board declared monthly distributions of $0.035/share for April-June 2026.
- ·Weighted average credit rating 2.2 (fair value) and 2.3 (principal) as of Dec 31 2025, flat QoQ.
- ·Conference call held March 3, 2026 at 9:00 AM ET.
- ·Non-affiliated/non-control investments fair value $251.7M (Dec 2025) vs $256.2M (Dec 2024).
03-03-2026
On March 2, 2026, Innventure, Inc. executives Michael Otworth and John Scott filed Form 4s disclosing the withholding of shares to cover tax obligations on vested RSUs settled on February 26, 2026. This non-discretionary transaction complied with Rule 16b-3 and award terms, with no open-market sales involved. Post-settlement, Otworth beneficially owns 3,274,030 shares and Scott owns 1,814,998 shares, indicating continued alignment with shareholders.
- ·Form 4 filings occurred on March 2, 2026, for RSU settlement on February 26, 2026.
- ·Withholding based on closing price of common stock on settlement date.
- ·Transaction exempt from Section 16(b).
03-03-2026
PEDEVCO Corp. announced that its board of directors approved a 1-for-20 reverse stock split of its common stock. The reverse split is expected to become effective at 12:01 AM ET on March 13, 2026, with trading on a post-split basis beginning on the NYSE American at market open on the same day under the unchanged ticker 'PED' but with a new CUSIP number 70532Y402. No fractional shares will be issued; instead, holders will receive cash payments in lieu based on the closing price prior to the effective time.
- ·No change in trading symbol 'PED' post-split.
- ·Cash in lieu of fractional shares calculated as fraction multiplied by closing price on trading day before effective time.
- ·Information furnished under Item 7.01 is not 'filed' and not subject to liabilities under Section 18 of the Exchange Act.
03-03-2026
SRx Health Solutions, Inc. secured limited waivers and consents from certain existing investors under prior Note and Series A financings to enable a new securities purchase agreement for Series B Preferred Stock and related warrants. The waivers permit the new offering without triggering participation rights from the July 2025 Note Financing ($7.65M principal notes) and October 2025 Series A Financing ($15.23M proceeds). Series B Preferred will rank pari passu with Series A Preferred regarding dividends and liquidation preferences.
- ·Waivers executed by Existing Investors as Required Holders under Series A Purchase Agreement.
- ·Form of Waiver filed as Exhibit 10.1.
03-03-2026
Emergent BioSolutions Inc. (NYSE: EBS) announced the appointment of John D. Fowler, Jr. to its board of directors effective March 1, 2026, with him serving on the Audit and Finance Committee. Mr. Fowler brings over three decades of leadership in healthcare and financial services, including senior roles at Wells Fargo Securities, Deutsche Bank, JPMorgan, and Salomon Brothers. The appointment aims to support the company's ongoing turnaround, transformation, and strategic priorities in global health preparedness.
- ·Mr. Fowler previously served as president of Large Scale Biology Corporation, founding partner of Bio-Strategic Directors, and managing partner of Baycrest Capital.
- ·Mr. Fowler earned a Juris Doctor from University of Virginia School of Law, MBA from University of Virginia Darden School of Business, and BA in History from University of Virginia.
- ·Company has been operating for over 25 years in public health protection.
03-03-2026
Safe Harbor reported 29% YoY growth in emerging US cannabis markets' average deposit balances over the 12 months ended February 4, 2026, now representing 31% of total average deposit balances, driven by over 100 new customer depository accounts and strategic entry into high-growth states. However, total average deposit balances grew more modestly at 4.5% YoY. The company has facilitated more than $26B in cannabis-related transactions across 41 states and territories.
- ·Emerging markets include: New Markets Coming Online (Delaware, Minnesota, Kentucky, Alabama, Mississippi); Licensing Expansion (New York, New Jersey, Maryland, Connecticut, Missouri, Ohio); Operator Footprint Expansion (Pennsylvania, Illinois, Virginia, Florida).
- ·Average deposit balances defined as trailing 14-day average daily deposit balances at financial institution partners.
- ·Emerging US markets defined as states with cannabis programs launched or materially expanded within the past five years.
03-03-2026
MVB Financial Corp., holding company for MVB Bank Inc., redeemed all $40.0 million aggregate principal amount of its 4.25% Fixed-to-Floating Rate Subordinated Notes due 2030 on March 2, 2026, which qualified as Tier 2 capital and bore 7.67% interest at redemption. The redemption was funded by a $20.0 million draw on its revolving line of credit and cash on hand. No other period-over-period metrics or performance changes were reported.
- ·Redemption date: March 2, 2026; Filing date: March 3, 2026
- ·Notes structured to qualify as Tier 2 capital for regulatory purposes
03-03-2026
Atara Biotherapeutics, Inc. issued a press release on March 3, 2026, announcing that Pierre Fabre Pharmaceuticals, Inc. has submitted a request for a Type A meeting with the FDA to discuss plans addressing issues raised in the Complete Response Letter (CRL) for the EBVALLO™ Biologics License Application (BLA), issued on January 9, 2026. The update pertains to Tabelecleucel. The press release is filed as Exhibit 99.1.
- ·Form 8-K filed under Items 8.01 and 9.01.
- ·Registrant details: Delaware incorporation, CIK 0001604464, Nasdaq: ATRA.
03-03-2026
Theravance Biopharma's Phase 3 CYPRESS study for ampreloxetine failed to meet its primary endpoint (OHSA Composite Score), leading to the program's wind down, while YUPELRI net sales grew 12% YoY to $266.6M in FY2025 and 6% YoY to $70.6M in Q4 2025. The company holds $326.5M cash at Q4 2025 (no debt), expects ~$400M by end-Q1 2026 including recent milestones, and anticipates $60-70M annualized cash flow from Q3 2026 after 60% cost reductions (~$70M savings from 2025's ~$110M opex). The Strategic Review Committee is accelerating evaluation of alternatives, including a potential sale, to maximize shareholder value.
- ·Restructuring impacts ~50% of workforce, including full R&D wind down and 50% G&A cut, over next two quarters.
- ·YUPELRI co-promotion: 65% profit/loss to Viatris, 35% to Theravance.
- ·TRELEGY milestones from Royalty Pharma triggered by GSK global net sales thresholds.
- ·$2.6B Irish tax attributes.
- ·Preliminary financials subject to change in upcoming 10-K.
03-03-2026
Sportsman’s Warehouse Holdings, Inc. reported preliminary FY2025 net sales of $1,209.2 million, up 1.0% YoY, with same-store sales also increasing 1.0% to $1,205.6 million, marking the first positive full-year SSS growth since 2020, alongside Adjusted EBITDA of $27.5 million. The balance sheet improved with ending inventory down $29.1 million or 8.5% to $312.9 million, net debt down 6.1% to $90.0 million, free cash flow of $7.6 million, and total liquidity of $107.8 million. However, the company identified approximately five underperforming stores for potential closure, contributing about -$1.5 million to FY2025 Adjusted EBITDA, and expects impairment charges related to leasehold improvements and operating lease assets.
- ·Q4 Adjusted EBITDA of approximately $9.6 million.
- ·Full FY2025 financial results to be reported on March 31, 2026.
- ·Preliminary results subject to change upon completion of year-end accounting and audit.
03-03-2026
Aphoenity International Holdings Inc. (formerly Luduson G Inc., ticker LDSN) changed its domicile from Delaware to Wyoming via statutory conversion on July 21, 2025, with continuity of assets, liabilities, and securities. Effective October 1, 2025, the company name changed to Aphoenity International Holdings Inc., and on November 18, 2025, it implemented a 1,000-for-1 reverse stock split (with fractional shares rounded up) and updated its EIN to 98-1872097, while maintaining par value at $0.0001 per share.
- ·Trading symbol: LDSN (OTC)
- ·CIK: 0001737193
- ·SIC: 7374 (Services-Computer Processing & Data Preparation)
- ·Principal address: 35/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong
- ·Phone: +852 2824 8560
03-03-2026
Tidal Trust III submitted a Rule 497(j) certification confirming no changes to the prospectus and Statement of Additional Information for the Fundstrat Granny Shots US Large Cap ETF since the most recent Post-Effective Amendment No. 174, effective February 27, 2026, and filed February 25, 2026. The filing, dated March 3, 2026, ensures continuity in definitive materials without any updates or revisions.
- ·File Nos. 333-221764, 811-23312
- ·Contact: (262) 226-4032 or jmassey@tidalfg.com
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